External Independent Review (EIR) Process

By Dean Hoffer - OPMO

NOvA WGMApril 19, 2006

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DOE M 413.3-1 Section 9.3.2

• External Independent Reviews are performed by OECM with reviewers from outside of the Department. The scope and schedule are and coordinated with the program and project staff. One of the most common types of External Independent Reviews is the Performance Baseline External Independent Review that is utilized to support validation of the Performance Baseline on all projects. A second common type is the Construction/Execution Readiness External Independent Review that supports Critical Decision-3 for Major System Projects.

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DOE M 413.3-1 Section 9.4Table 9-1. Types of Project Reviews

Review Title Accomplished

Prior to: Required or Optional Responsible Organization Type of Review

Mission Need

CD-0 Optional PSO/Deputy Administrator IPR

Alternative Selection and Cost Range

CD-1 Optional PSO/Deputy Administrator IPR

Performance Baseline

CD-2 Required OECM EIR

Construction or Execution Readiness

CD-3 Required for Major System Projects, Optional for non-MS Projects

OECM for MS projects, PSO for non-MS projects

EIR for MS projects, IPR for non-MS projects

CD = Critical Decision; PSO = Program Secretarial Officer; IPR = Independent Project Review; EIR = External Independent Review; MS = major system.

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DOE M 413.3-1 Section 9.4.3This is an External Independent Review performed by OECM for all projects greater than $5 Million. The primary purpose of this review is to support OECM’s validation of the Performance Baseline, and provide reasonable assurance that the project can be successfully executed. OECM is responsible for developing and finalizing the scope for all Performance Baseline Reviews. The draft scope of work will be provided to the Program Secretarial Officer/ Deputy Administrator’s support office one week after the receipt of the Core Documentation (see below). This will allow OECM and their review team time to identify specific activities to be covered in the review. The project management support office and/or Program Secretarial Officer support staff, as appropriate, will have one week to review, comment, and provide recommendations on the scope of the review for OECM consideration. The final Performance Baseline Review scope will be issued by OECM one week prior to the review start date.

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DOE M 413.3-1 Section 9.4.3 (continued)

• Key review elements for a Performance Baseline Review are:– Resource Loaded Schedule– Total Project Cost and Project Schedule– Work Breakdown Structure– Risk Management– Preliminary Design and Design Review– System Functions and Requirements– Hazards Analysis*– Value Management/Engineering– Project Controls/Earned Value Management System– Project Execution Plan– Start-up Test Plan*– Acquisition Strategy– Integrated Project Team.

*Additional key Review elements from the EIR Standard Operating Procedure.

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DOE M 413.3-1 Section 9.4.3 (continued)

• The following documents should be provided to OECM prior to the review. Other associated material may be requested by the Review Team to ensure a complete and accurate review is performed.

– Detailed Resource Loaded Schedule– Detailed Cost Estimate– System Functions and Requirements Document (also referred to as the “Design-

to" requirements or Design Criteria)– Results of and Responses to Site Preliminary Design Review– Project Execution Plan– Start-up Test Plan (as appropriate)*– Hazards Analysis– Risk Management Assessment– Acquisition Strategy– Value Management/Engineering Report*

*Additional required documents from the EIR Standard Operating Procedure.

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DOE M 413.3-1 Section 9.4.3 (continued)

Tailoring Performance Baseline Reviews• Tailoring is an essential component of the Performance Baseline

Review Process. Tailoring can apply to any project, but has increased applicability to projects that are considered to be routine in nature, such as traditional construction projects, and have relatively low risk. The requirement for tailoring the Performance Baseline Review is the ability of OECM to validate the Performance Baseline. The tailoring action may include:– Use of summary level Resource Loaded Schedules– Use of summary cost and funding documents– Conducting limited interviews with selected members of the Integrated

Project Team over the telephone or in a videoconference– Reviewing key documents with minimal site visit, if any– Reducing the core scope of review requirements

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EIR Standard Operating Procedures (Dated October 20, 2003)

Typical Timeline for Performance Baseline External Independent Review (timeline starts when review documents are received by OECM)

Week 0

Week 1

Week 2

Week 3

Week 4

Week 5

Week 6

Week 7

Week 8

OECM Receives documents EIR Draft Review plan is prepared and submitted for comment

Program/ Project / Site provides comments

EIR team develops Final Review Plan and adds specific Review Questions

Site reviews questions and prepares for EIR

On-site review ending with Outbrief to Project Team

OECM transmits Draft EIR Report for factual accuracy review

Program/ Projects submits factual accuracy comments

OECM transmits Final EIR Report including Corrective Action Plan

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EIR Process Timeline (Best Guess)

1/2005EIR

Requested

1/2005OECM Receives

Documents(Week 0)

4/2005DOE Holds

ESAAB(~7 Weeks After Report Issued)

5/2005 AE Approves

CD-2(~9 Weeks After Report Issued)

1/2005 - 1/2005Forming

EIR Team~2 Weeks

4/2005 - 4/2005Response to Pre-

ESAAB Comments

4/2005 - 5/2005Resolve

Comments from ESAAB

2/2005Conduct EIR

(Week 5)

2/2005Draft Repot Issued

for Factual Accuracy Review

(Week 6)

3/2005Project Submits

Corrective Action Plan to DOE

(~2 Weeks After Report Issued)

3/2005Final EIR

Report Issued(Week 8)

4/2005DOE HoldsPre-ESAAB

(~4 Weeks After Report Issued)

3/2005 - 4/2005OECM 2w Min. Requirement

2Program/ProjectSubmits Factual

Accuracy Comment(Week 7)

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Comments on the EIR Process

• EIR Teams expect to see good documentation (If you say you have done something be able to produce the documentation.)

• Prepare for the EIR at the same time you are preparing for the Baseline Lehman Review

• EIR can be performed in conjunction or separate from the Baseline Lehman Review

• EIR is usually scheduled after passing the CD-2 Lehman Review

• EIR Team Members do not necessarily have laboratory or academic background.