Assessmens Element

DOESTD107393

Change packages should be used to capture the change request, the various technical reviews and

evaluations, the management review, and the implementation results. Related information (such as the

change request, design package, installation package and, post-modification testing) should be

combined into a single file or change package. This information should be kept in one location until

installation is complete. Furthermore, consideration should be given to assigning an individual the

responsibility for tracking physical change status and ensuring that the change package is complete at

all times up to and including turnover to the document control organization after installation. Many

facilities have successfully used system engineers to perform this function.

2.4.3 SPECIFIC APPLICATION OF GRADED APPROACH: CHANGE CONTROL ELEMENT

Like document control, change control is a process. Once a design requirement is established for an

included SSC or a change is proposed, that information should be controlled by the change control

element. The level of effort is influenced primarily by the number of specific SSCs included in the CM

program and the number of changes that are proposed. However, management may exercise options

to limit the degree or rigor and detail when reviewing and approving changes based upon the

importance of the SSCs involved. For example, adjusting the degree of technical reviews and

management sign-offs to be commensurate with the SSC grade is appropriate.

2.5 ASSESSMENTS ELEMENT

The assessments element may be considered fully developed on completion of the following

Initial CM programmatic and physical configuration assessments

Detailed action plans and procedures for conducting post-implementation assessments

Ongoing assessment programs established by procedure and effectively implemented

Senior management should retain overall responsibility for management assessments (i.e., all initial

and post-implementation assessments and the periodic program effectiveness assessments). Direct

participation of senior management during these assessments is essential. This process should also

involve other levels of management, as appropriate. Management assessment results should be

documented. Senior management should take prompt action and document resulting decisions in

response to recommendations resulting from the management assessment process. Follow-up should

include an evaluation of the effectiveness of management's actions.

2.5.1 INITIAL ASSESSMENTS

2.5.1.1 Vertical Slice Assessments

The following is a description of the vertical slice assessment process. An overview of that process is

presented as Figure 216.

Identify the systems to be assessed. System selection is determined using judgment and anticipated

need to obtain a representative cross-section of existing SSCs, control programs, and document types.

For large, complex facilities, two or more vertical slice assessments are usually needed to detect

patterns and major existing problems the larger the number, the more accurate the results. As defined

by the CM program criteria, at least two representative vertical slice assessments should be performed,

with one on a safety system related to the principal facility hazard.

Collect and compare system-related information. A comparison is made between the available design

basis information and design requirements to determine consistency and technical adequacy. Special

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