Control and Tracking - s1073ch20035

DOESTD107393

and retention requirements are already established and in place. The document owners may specify

retention times longer - but not shorter - than the minimums specified by DOE 1324.2A, Records

Disposition.

2.3.2.3 Control and Tracking

Figure 212 supplements Figure 211 by providing more detail on the process used to control and

track documents. Control features aim primarily at ensuring that only the currently-approved revisions

of documents are in use. Tracking features support this aim through the maintenance of information on

the current status of documents and the provision of information on pending changes. The major

features for the effective control and tracking of documents within the CM program are discussed

below.

Control Procedures. Procedures specifying the document identification, control, storage, and retrieval

requirements should be developed and implemented to ensure consistency in, and to facilitate

management of, the document control program. These procedures should establish responsibilities

and, methods for each document control function. Document change notices (DCNs) should be used

for the notification of document changes.

Secure File. A secure master file of the original documents or master copies should be established

and maintained. The master copies should not be released from that file; only reproductions should be

provided, either on a regular distribution schedule or in response to specific requests. Strict controls

should be established for the viewing of master copies. Access and security precautions should be

established to ensure that the document master file is controlled and kept current.

Controlled Document Distribution List. A controlled document distribution list should be established

and maintained. That list should Identify both the documents that are to be controlled and the holders

of copies of those documents. Users of documents should identify their document needs to the

document owners, who should determine the users to be included on the controlled document list. The

distribution list should include any satellite document distribution centers.

Identification of Proposed Changes. The document control organization should be notified of any need

to change a document as soon as that need is identified and approved. A DCN may be used for this

purpose. The document control organization, in turn, should provide a receipt acknowledgement of

such a notice to the originator. The document control organization should update the document status

in the document database.

Notification of Pending Changes. Pending changes are those changes for which conceptual design

has been approved and the design change is in process, those changes that have been approved for

implementation, or those approved unincorporated changes that have been implemented in the field,

but for which the document revision has not been completed. The document control organization

should provide notice of pending changes to the persons on the controlled distribution list for the

document involved. A notice of the pending change should also be attached to, or appropriately

referenced on, the affected master document, in order to alert anyone requesting a copy of the

document.

Timely Incorporation of Changes. After the actual document changes are defined and are approved by

the document owner, the changes should be incorporated onto the document master copy in a timely

manner. The backlog of unincorporated changes should be controlled. Consideration should be given

to incorporating small changes in batches. On the other hand, a large backlog of unincorporated

changes adversely affects the value and usability of the documents. The number of unincorporated

changes should be limited by establishing a threshold to trigger the incorporation of the outstanding

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