Management Assessment

DOE-STD-1051-93

the completion of all corrective actions. Based on the results of the follow-up

monitoring, the item can be closed or new corrective actions formulated.

4.3.3 Management A sses s ment

Undesirable performance trends noted in quantitative indicators or as a result of

management performance monitoring should be assessed to determine the root

causes of this performance. Corrective actions should be developed and

implemented to correct undesirable conditions.

D etermination of Root Causes of Problems

Problems that are identified by management assessment or by outside

organizations should be analyzed to determine underlying root causes so

effective corrective actions can be developed and implemented. The root causes

can be defined as those causal factors that, when corrected, will preclude a

recurrence of the problem. Particular emphasis should be placed on problems or

causal factors identified as having generic implications.

Root cause determination methods should be applied to event investigations,

undesirable trends in quantitative indicators, and performance deficiencies noted

in monitoring reports. For example, if a deficient condition exists because of

personnel performance, the root cause may be due to one or more of the

following examples:

Erroneous, incomplete, or unusable procedures

Insufficient or incorrect training

Insufficient supervision caused by lack of monitoring, accountability, or

improper standards

System or equipment design deficiencies

Corrective A ctions

Corrective actions should address the root causes rather than the

sy mptoms of the problem. Input should be considered from appropriate plant

and staff members when determining corrective actions. Corrective

action should be developed with input from those tasked with implementing

the actions to achieve ownership of the corrective actions. Plant line

management should approve corrective actions and ensure the actions are

implemented in a timely manner. Input from organizations, such as quality