Types of Documents

DOESTD107393

An objective test of whether a CM program is effective is through comparison of the design documents,

the facility documents, and the physical configuration for consistency. Within the DOE CM program, the

term "document" includes paper copies (procedures, manuals, records, etc.), electronic media (such

as word processor files and computer databases), and any other source(s) of information used to

design or operate the facility or make sound technical decisions.

Types of Documents. Many types of documents are important to a CM program. These document

types can be grouped into two broad categories: (1) design documents that are used primarily by the

design organization and (2) facility documents that are used primarily by the facility operating

organization.

The design documents include both the design output documents that define the design requirements

and the design basis documentation, which captures the rationale behind the design requirements.

Design documents include design specifications, design change packages, design drawings, design

baseline analyses, setpoint calculations, design engineering procedures, system descriptions, seismic

pipe hanger design and support detail drawings, summary design documents (such as SARs),

correspondence with DOE that provides design commitments, and other documents that define the

facility design. Appendix II-B provides further examples of design documents.

The facility documents include the as-built documentation, facility procedures to support operational

activities, and facility operational records. Facility documents include: emergency and normal

operations procedures, maintenance procedures, and test procedures; as-built drawings; facility

equipment/component lists; vendor manuals and bulletins; Technical Safety Requirements; equipment

performance and maintenance records; radiation survey maps; correspondence with DOE that provides

operating commitments; and other documents that support facility operations. Training lesson plans,

examinations, and associated material are also important facility documents that should receive

attention within the CM program.

Each type of document may have associated with it different objectives regarding storage, retrievability,

control, and tracking. As-built drawings of safety systems might have the most stringent objectives for

prompt revision and immediate access, reflecting their importance to ongoing operation. In contrast,

certain design basis records might be stored remotely, with the capability to be retrieved within 1 week of

request.

Document Owners. Ownership of documents within a CM program is essential for controlling the

documents and avoiding unauthorized changes. The owners are the functional groups assigned

responsibility by facility management for developing and maintaining the technical adequacy of these

documents. Typically, the operations organization would be the document owner for normal and

emergency operating procedures; the engineering organization might be responsible for facility drawings,

and the procurement organization would be responsible for purchase documents. The document owner,

not a central document control organization, establishes the document types to be controlled within the

CM program. The owner also establishes document's relative importance to users, which influences its

storage, retrievability, control, and tracking objectives. A central document control organization may be

established to support the owners by ensuring that documents important to the CM program are properly

stored, controlled, tracked, and retrieved. The document owners maintain active involvement in any

activity that can affect the technical adequacy of the documents assigned to them.

Document Control vs. Records Management. The terms "document control" and "records

management" are sometimes used to differentiate active and historical documents. Although the

objectives, techniques, and emphasis for both these processes are somewhat different, for the purpose

of the DOE CM program, many records management functions parallel the document control element

functions. These terms are briefly described as follows:

I-B-8