Post-Implementation Assessments

DOESTD107393

ldentify relevant programmatic strengths and weaknesses and make recommendations for

improvements. Compare the potential weaknesses identified during the document review step with the

problems identified during the effectiveness review step. Recommendations should be made to correct

programmatic weaknesses and prevent these types of problems from occurring in the future. Strengths

should be identified and acknowledged to ensure that resources are properly allocated for sustaining

program strengths. This information should be factored into the associated CM program plans to assist

in CM program development. The CM program management will evaluate the initial assessments,

including recommended corrective actions, and determine the appropriate actions.

2.5.2 POST-IMPLEMENTATION ASSESSMENTS

Post-implementation assessments to determine the adequacy and effectiveness of a program are

conducted shortly after program implementation and prior to final turnover to facility personnel for

ongoing use. These assessments are not compliance audits. Like initial assessments, these post-

implementation assessments employ vertical and horizontal slice methods. Post-implementation

assessments include CM program effectiveness assessments, DIS field validations, and MCA program

effectiveness assessments.

2.5.2.1 CM Program Effectiveness Assessment

Horizontal slice assessments should be performed shortly after each element of the CM program is

implemented (i.e., within 12 months of program element implementation). The main objective of the CM

program effectiveness assessments is to examine newly implemented CM programs and processes

(such as change control, the design requirements process, and document control) to identify and correct

weaknesses prior to authorization for use. These post-implementation CM program assessments also

serve as a model for ongoing, periodic program effectiveness assessments.

The horizontal slice assessment techniques used for the post-implementation CM program

effectiveness assessments are identical to those employed in the initial horizontal slice assessments.

The recommendations for improvement resulting from the initial assessments should be used as a

starting point for the CM program effectiveness assessments. This will ensure that the previously

identified problems have been adequately addressed and resolved. The post-implementation program

effectiveness assessments should go beyond the initial assessment findings to ensure that the newly

developed and upgraded programs are effective. Assessment findings and corrective actions should be

documented.

2.5.2.2 Design Information Summaries Field Validations

As each DIS is issued by the design reconstitution adjunct program, a field validation should be

provided to ensure that the design requirements are accurately reflected in both the physical

configuration and the associated facility documents. Each DIS may receive varying degrees of

technical validation, ranging from a review of specific critical design basis information to detailed vertical

slice assessments of the entire system. Within each DIS, the system engineer or other technically

qualified person should check the critical design requirements information for consistence, with the

hardware and documents on a case-by-case basis.

Full vertical slice assessments should be performed on a sample basis to provide a broader

assessment of the design reconstitution process. The sample should be large enough to, provide

assurance that design basis information and design requirements established by design reconstitution

are accurately reflected in the physical configuration and associated documentation. A representative

sample of at least 5 percent per facility would be prudent. In selecting the sample systems for these

detailed DIS validations, the following criteria should be considered: status of original design and

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