Specific Application of Graded Approach: Document Control Element

DOESTD107393

As defined in the program criteria, the document database should have the capability to identify

documents within the CM program on the basis of their relationship to particular SSCs (such as a

particular pump), types of SSCs (such as motor-operated valves), technical topics (such as fire

protection), and other relational data (such as the specific vendor) necessary for the adequate

identification of documents. This information should be integrated with the types of information

discussed above (e.g., information regarding pending changes) for document control and tracking.

Consideration should be given to assigning key words or using fully searchable text files for the most

important documents.

Availability and retrieval times should be based on the needs of document owners and users. If the

documents are necessary for the day-to-day operation of the facility, they should be available on a real-

time or short-turnaround basis (e.g., controlled copies of procedures and P&IDs should be located in a

central area such as the control room). Conversely, if the documents are not routinely needed and, if

time permits, a retrieval time of 24 hours or more may be acceptable; this is typical, for example, of

design basis information used by the design engineering organization for physical change preparation.

Many documents included in the CM program fall into the latter category; immediate access is not

needed. The selection of appropriate retrieval times calls for formally soliciting and considering input

from the document owners and the ultimate users of the documents. This should be followed by

periodic monitoring to ensure that document retrieval requirements continue to be adequate. Many

facilities employ satellite document distribution centers to encourage the use of controlled copies and to

facilitate timely retrieval from diverse work locations.

In addition to DOE 5700.6C, ANSI/ASME NQA-1, Quality Assurance Program Requirements for

Nuclear Facilities, NQA-1 Supplement 6S-1, Supplementary Requirements for Document Control, and

Supplement 17S-1, Supplementary Requirements for Quality Assurance Records, also provide useful

guidance on document control.

2.3.3 SPECIFIC APPLICATION OF GRADED APPROACH: DOCUMENT CONTROL ELEMENT

The document control element is a process, and as such, the graded approach should not be used to

eliminate any steps or functions. The identification of types and specific documents to be controlled by

the CM program is a function that can be adjusted based on SSC grade. For any facility SSC, there is

a fairly standard list of types of documents that could be included in the CM program: lists of materials,

flow diagrams, electrical diagrams, isometric drawings, instrumentation logic and schematic diagrams,

and calculations and analysis. In many cases, especially for the less important SSCs, many of these

types of documents are not applicable or have never existed. Therefore, the inputs limit the scope.

Additionally, for each SSC, a conscious decision should be made regarding how much documentation

needs to be controlled to maintain configuration. For the most important SSCs, such as those with

safety design requirements, it might be appropriate to control every document type and specific

document that is available or can be retrieved. For low-importance SSCs, it might be appropriate to

control only basic documents, such as the design requirements, flow diagrams, and test requirements.

Documents that are not selected for inclusion within the special controls of the CM program would

remain available in the normal document control system.

Furthermore, management options may limit the degree of rigor and detail in the performance of the

CM document control functions based on document importance, which in turn is based on the

importance of the associated SSC and the priorities assigned by the document owners.

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