16
DOE G 414.1-5
3-2-06
resolve the findings, entering them in a CAP, and receiving management approval of the CAP,
the third generalized step in the feedback and improvement core safety function begins.
The completion and implementation of all corrective actions to resolve each reported problem
finding in the CAP usually demands the most time and is the most tedious phase of the corrective
action program. During this time, other pressing issues and commitments will require the
attention of managers and workers. To ensure that planned corrective action completion dates
are met and actions are implemented, managers should continuously direct, prioritize, and
sufficiently staff CAP completion and implementation activities. Managers assigned
responsibility for each corrective action should be held accountable to track and report successful
completion progress, and to notify senior management of any problems encountered that could
affect scheduled completion dates.
Periodic (i.e., monthly or quarterly) site/organization-wide reports and senior management
briefings on the status of the corrective action plan may also be considered.
Changes, extensions, and exceptions to any of the corrective actions in the CAP should be
authorized only by the senior manager who approved the CAP, as outlined in paragraph 5.3.
Change requests should include an explanation for the proposed change and what specifically is
requested for change. If the request includes a change in the corrective action planned
completion date, the specific revised completion date requested should be listed with explanation
for that date. Approved changes should be entered in the tracking and reporting system as soon
as possible.
6.1
TRACKING AND REPORTING THE STATUS OF CORRECTIVE ACTION
PLAN IMPLEMENTATION
An integral part of a successful corrective action program is the capability to maintain a
systematic approach for tracking and reporting the status of the corrective actions to successful
closure and implementation. This may be accomplished manually or electronically.
Maintaining and updating this information provides consistent data for tracking and analyzing
program status and trends. The process used to track and report corrective action progress
should be readily accessible and provide sufficient data to appraise, analyze, and report the status
of corrective actions affecting the safety, mission performance, and security of the
site/organization.
Characteristics of an effective corrective action tracking and reporting system for consideration
include:
·
The number of data elements to enter, track, trend, and report information should be
standardized and relevant for the reader to fully comprehend what, how, when, and by
whom the problem finding will be effectively resolved so it will not recur. An excessive
number of data elements to track and report may become too cumbersome and complicated,
and may over-burden the ability of the system to provide qualitative and consistent
information.