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DOE G 414.1-5
3-2-06
(i.e., deficiencies, incidents, malfunctions, weaknesses, failures, etc.) at the earliest possible time
before they become more significant; and immediately report these problems. This first step
should be formally defined and fully integrated with the site/organization continuous performance
and safety improvement strategy. This step is further explained in paragraph 4 of the Guide.
3.2
EVALUATE EACH PROBLEM FINDING AND DEVELOP APPROPRIATE
CORRECTIVE ACTIONS AND CORRECTIVE ACTION PLANS
The second generalized step provides the framework for defining a problem by collecting and
evaluating relevant information to determine the facts and causal factors (including root
causes). The site/organization responsible for the function/activity where the problem finding
was identified should have a clear understanding and description of the finding supported by
the facts and causal factors in order to develop the most appropriate, timely corrective actions
to resolve the finding and prevent recurrence. These corrective actions are then incorporated
into the corrective action plan (CAP). Other considerations in corrective action planning
should include determining the actual and potential significance, complexity, and impact of
the problem finding on the safety, reliability and mission performance of the site/organization
and the workers. This second generalized step is considered the cornerstone of the feedback
and improvement process core safety function and oftentimes the most difficult and least
understood. This step is further explained in paragraph 5 of the Guide.
3.3
CLOSE AND IMPLEMENT CORRECTIVE ACTIONS AND RESOLVE EACH
PROBLEM FINDING
The third generalized step in the feedback and improvement core safety function includes
closing and implementing corrective actions to resolve the findings delineated in the CAP.
Completion and implementation status is tracked and reported to ensure timely and adequate
resolution of each finding. The completion and implementation of the CAP can be a tedious
process with potential for ineffectiveness in the corrective action process. Although the
findings have been identified and detailed plans to correct the findings have been developed,
the often long and weary process of actively completing and implementing all of the corrective
actions for each finding in the CAP has the propensity to receive less attention as emphasis is
shifted to other more immediate initiatives, crises, and requirements. It is important that
closure and implementation of the CAP receive continuous management attention, progress
monitored and updated, and status periodically reported. This step is further explained in
paragraph 6 of the Guide.
3.4
CLOSE EACH PROBLEM FINDING AND DETERMINE EFFECTIVENESS
OF CORRECTIVE ACTIONS
The fourth generalized step in the feedback and improvement core safety function includes
completion of all corrective actions for the findings listed in the CAP and an independent
followup assessment by the responsible site/organization to verify closure and review the
Summary :
3.3 CLOSE AND IMPLEMENT CORRECTIVE ACTIONS AND RESOLVE EACH PROBLEM FINDING The third generalized step in the feedback and improvement core safety function includes closing and implementing corrective actions to resolve the findings delineated in the CAP. 3.4 CLOSE EACH PROBLEM FINDING AND DETERMINE EFFECTIVENESS OF CORRECTIVE ACTIONS The fourth generalized step in the feedback and improvement core safety function includes completion of all corrective actions for the findings listed in the CAP and an independent followup assessment by the responsible site/organization to verify closure and review the
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finding,actions,step,cap,problem,safety,each,action,improement,siteorganization,process,generalized,findings