Graded-Approach Document.

DOE-EM-STD-5505-96

5.4.1.1 Graded-Approach Document. A good way to start the information review process is

to review the activity-specific graded-approach document (plan, matrix, etc.) for conduct of

operations. The graded-approach document is approved by DOE and is used by activity

management to document conformance with requirements. The graded-approach document

indicates whether a specific guideline applies to an activity, tells where and how each of the

elements of conduct of operations is applied within the contractor's existing policies and

procedures, and identifies any deviations or exemptions from the guidelines. In other words, an

approved graded-approach document is an agreement between DOE and the contractor that

defines the basis for activity operations and provides the requirements to which the activity will be

assessed. Appendix D contains a sample graded-approach matrix.

During the pre-assessment information review, assessors should review the graded-approach

document for conduct of operations and determine which guidelines apply to the activity and

which activity policies and procedures implement these requirements. Assessors should then

review these policies and procedures to familiarize themselves with how the guidelines are applied

at the activity.

Assessors will normally evaluate operations against activity-specific procedures. If there are no

activity procedures, assessors should use site procedures. If site procedures are not available, the

assessment should be based directly on the guidelines of applicable Directives and Regulations

related to conduct of operations. Also, if there is no approved graded-approach document, then

assessors should evaluate operations against all applicable guidelines for conduct of operations.

5.4.1.2 Activity-Specific Information. In planning for an assessment, it is important that the

assessment team be familiar with the activity management structure, the functions performed at

the activity, the processes and hardware, and the importance and function of critical systems.

Typically, the following documents provide this information:

Safety Analysis Reports