1.0 Objective The objective of this surveillance is to verify implementation of configuration management requirements. These surveillance activities provide a basis for evaluating the effectiveness of the contractor's program for implementation and control of configuration management and for establishing compliance with DOE requirements.
2.1 DOE 430.1, Life Cycle Project Management
2.2 DOE-STD-1073-93, Guide for Operational Configuration Management 3.0 Requirements Implemented This surveillance is conducted to implement requirements of the Functions, Responsiblities and Authorities Manual (FRAM), Section 2, Configuration Management, FRAM #s 3 and 4. These requirements are drawn from DOE 430.1 and DOE-STD-1073-93.
DOE 430.1, Section 6.f, states, “The process for the operation and maintenance of physical assets shall ensure, as a minimum, the following: …(4) A configuration management process to ensure the integrity of the physical assets and system.
Specific CM requirements mandated under the S/RIDs system shall take precedence for that individual facility.
4.0 Surveillance Activities The Facility Representative confirms the facility has established a configuration management plan in accordance with DOE 430.1 requirements. The Facility Representative reviews the plan, ensuring the inclusion of critical attributes and verifies implementing procedures have been established and are being followed.
CONFIGURATION MANAGEMENT IMPLEMENTATION Surveillance No.: ___________________________
Date Completed: ____________________________
Activity - Verification of configuration management implementation YesNo N/A ___ ___ ___ 1. Does the facility have a configuration management program plan and does it address each of the following topics (DOE-STD-1073-93 Section 126.96.36.199.c):
___ ___ ___ a. Scope of the structures, systems, and components (SSCs) to be included in the CM program and scope criteria?
___ ___ ___ b. Objectives of each program activity?
___ ___ ___ c. Description of each program activity?
___ ___ ___ d. Basis for the technical content of each program activity?
___ ___ ___ e. Organizational structure and staffing – roles and responsibilities?
___ ___ ___ f. Interfaces – interface controls should include clear assignments of key roles and responsibilities. Also, are interface control documents/memorandums of understanding placed under configuration control (DOE-STD-1073-93 Section 188.8.131.52)?
___ ___ ___ g. Requirements and mechanisms for controlling changes?
___ ___ ___ h. Requirements and mechanisms for statusing the configuration?
___ ___ ___ i. Requirements and mechanisms for assessing the project’s program?
___ ___ ___ j. Implementation priorities?
___ ___ ___ k. Milestone deliverables?
___ ___ ___ l. Implementation schedules?
___ ___ ___ m. Cost estimates?
___ ___ ___ 2. Based on information obtained in item 1, above:
___ ___ ___ a. Are there implementing procedures, as necessary, for the attributes (DOE-STD- 1093-73, Section 184.108.40.206)?
___ ___ ___ b. For SSCs (including facility specific computer software), have design requirements been categorized into types (DOE-STD-1093-73 220.127.116.11.a) – SSCs involving safety design requirements (those necessary to protect off-site personnel, on-site personnel, and facility workers from nuclear and other hazards), environmental design requirements (those necessary to protect the environment from significant damage or to satisfy environmental requirements or permits), and mission design requirements (those necessary to avoid substantial interruptions of the programmatic mission or severe cost impacts) – and incorporated into an equipment database correlating each SSC with the SSC grade, design requirements, technical topics involved, and associated documentation (DOE-STD-1093-73 Section 18.104.22.168.c)? Note: Each SSC should be assigned a grade based on the most important type of design requirements applicable to it. The SSC grade is used as the basis for the degree of control on all activities associated with the SSC (DOE-STD-1093-73 Section 22.214.171.124).
___ ___ ___ c. Are facility modifications being categorized, documented and added to the equipment database described above (DOE-STD-1093-73 Section 126.96.36.199.d)?
___ ___ ___ d. Has a database been established for documents (e.g., SSC-specific drawings, procedures, and vendor information) (DOE-STD-1093-73 Section 188.8.131.52)?
___ ___ ___ e. Has a policy and criteria for the use of the equipment and document database been defined (DOE-STD-1093-73 Section 184.108.40.206)?
___ ___ ___ f. As determined by interview, are those designated as interfaces aware of their configuration management responsibilities (DOE-STD-1093-73 Section 220.127.116.11)?
___ ___ ___ g. Does the facility provide training on CM concepts, terminology, definitions, and procedures (DOE-STD-1093-73 Section 18.104.22.168)?
___ ___ ___ h. Is the implementation schedule established being adhered with?
___ ___ ___ i. Is a secure master file of original documents or master copies established and maintained (DOE-STD-1093-73 Section 22.214.171.124)?
___ ___ ___ j. Are current controlled copies of documents maintained in the facility and readily available for use (DOE-STD-1093-73 Section 126.96.36.199)?
___ ___ ___ k. Are periodic program effectiveness assessments being performed (DOE-STD-1093-73 Section 188.8.131.52)?
___ ___ ___ l. Is the current configuration management plan adhered with (For Project Hanford Management Contract the following question line may be used to assess adherence)?
___ ___ ___ (1). Are changes to configuration clearly identified, documented, validated, approved at the appropriate level, implemented, verified and closed HNF-MP-013, Section 3.5)?
___ ___ ___ (2). Does change documentation clearly identify the nature of the change, the basis for the change, its impacts and other information sufficient to provide a basis for making the change authorization decision (HNF-MP-013, Section 3.5)?
___ ___ ___ (3). Are vendors and subcontractors assessed against applicable CM requirements (HNF-MP-013, Section 3.4.1)?
___ ___ ___ (4). Are defined metrics utilized to assess CM performance (SRID Nuclear Facility CM Template, ANSI/EIA-649, Section 5.1.5)?
___ ___ ___ (5). Are grading decisions being documented and reviewed by the project semi-annually or upon the addition or deletion of items (HNF-MP-013 Section 184.108.40.206)?
___ ___ ___ (6). Does the equipment database, as a minimum, include systems, structures, and components that are in the CM system, grade of each system and component, reference to appropriate requirements and design basis documents for each SSC, cognizant engineer, design authority, responsible organization, and source of requirements (HNF-MP-013, Section 220.127.116.11)?
___ ___ ___ (7). Do instructions provided to vendors and subcontractors contain applicable configuration management requirements (HNF-MP-013, Section 3.1.6)?