Senior Management Handbook (3.64 MB)

Standard Review PlanSenior Management Handbook

Capital and Major Construction Projects Critical Decision Review and Approval

January 2013

Performance Status & Verification

Our experiences with major nuclear design and construction projects continue to highlight the importance of a focused, technically rigorous, and standardized approach to project reviews performed at Critical Decision (CD) approval points. This approach is fundamental to a positive safety culture and effective nuclear safety management.

Capital and Major Construction ProjectsCritical Decision Review and Approval

Overview

Thomas P. D’AgostinoUnder Secretary for Nuclear Security

DOE O 413.3B, Program and Project Management for the Acquisition of Capital Assets, and DOE-STD-1189-2008, Integration of Safety into the Design Process, provide core DOE requirements and expectations to ensure that project activities are conducted correctly and timely. This is also to ensure that safety is fully integrated, early in the facility lifecycle phases and, ultimately, the entire project.

The Standard Review Plans (SRPs) are designed to be a practical tool for Headquarters and field senior management and the Federal Project Directors (FPDs). They provide detailed lines of inquiry (LOIs) consistent with existing DOE requirements, expectations, and real-life DOE project experience. The LOIs encompass broad disciplines of Project Management; Engineering and Design; Nuclear and Facility Safety; Worker Safety; Environment; Security; and Quality Assurance. Collectively, they provide DOE management and technical staff the tools to ensure that the issues and risks that may challenge the successful execution of nuclear projects are identified early as part of the CD review process and managed proactively throughout the project or facility lifecycle.

The development of the SRPs is a collaborative effort between the Office of Environmental Management (EM) and the Chief of Nuclear Safety (CNS). The National Nuclear Security Administration (NNSA) has developed a similar review tool, such as the Criteria and Review Approach Documents (CRADs). The NNSA CRADs are also designed to be CD- and project review-specific and based on DOE O 413.3B, DOE-STD-1189, other Federal and DOE requirements, and industry best business practices. NNSA works closely with the Chief of Defense Nuclear Safety (CDNS) to ensure that safety in design is built into each nuclear project. Both the EM SRPs and NNSA CRADs provide the technical framework to formalize our institutional processes and requirements associated with the in-depth review of nuclear projects and facilities.

This Handbook provides Headquarters and field senior management who are charged with review and approval of CD deliverables with a set of key questions to further strengthen technical soundness and performance accountability prior to CD approval. These high-level key questions are organized by CD phases and applicable disciplines. Included in this Handbook are also two tables that depict the prerequisite CD activities and the required documents that are subject to DOE review and approval. These tables also present the developmental process of the key documents as the project proceeds through the CD process.

I strongly encourage you to use this Handbook as a key institutional tool available to proactively enhance the successful execution of our projects.

Yes NoHas Pre-Conceptual Planning been performed to address project activities, including program strategic goals and objectives, safety, design, Rough Order of Magnitude cost range, and schedule estimates? (All Project Areas)

For a Major System Project (MSP) with Total Project Cost (TPC) ≥ $750M, has a Mission Validation Independent Review been performed for Program Secretarial Office (PSO) approval? (PM)

For a project with TPC ≥ $100M, has a Mission Need Statement Document been prepared for PSO approval? (PM)

Has the Office of Acquisition and Project Management (APM) conducted an Independent Cost Review for the MSP or for a project designated by the Secretarial Acquisition Executive (SAE)? (PM)

For a nuclear project (Hazard Category 1, 2, or 3), have the Safety-in-Design expectations been documented for approval by the Safety Basis Approval Authority (SBAA)? (ED, NFS, PM)

Has a project prepared a Program Requirements Document that defines the goals the project must meet (note: this applies only to NNSA projects)? (All Project Areas)

Have all the required CD-0 Documents been submitted to APM? (All Project Areas)

Has a Project Data Sheet (PDS) been developed for requesting Project Engineering and Design (PED) funds? (PM, ED)

Has a project (TPC ≥ $10M) initiated monthly Project Assessment and Reporting System (PARS II) reporting? (PM)

Has the project initiated Quarterly Project Reviews (QPRs) with the Acquisition Executive (AE) or designee? (PM)

Key Questions for Critical Decision Review and Approval 1

PM = Project Management, ED = Engineering and Design, NFS = Nuclear and Facility Safety,WS = Worker Safety, E = Environmental, S = Security, QA = Quality Assurance

1

Approval of Mission Need

Yes NoApproval of Mission Need

Yes NoFor an MSP, has an Acquisition Strategy been prepared, with endorsement from APM for PSO approval? (PM)

Has a preliminary Project Execution Plan (PEP) been prepared for SAE or AE approval? (PM)

If required, has a Tailoring Strategy been prepared for SAE or AE approval? (PM)

Has the SAE or AE appointed an FPD? Is the FPD certified at the correct level? (PM)

Has an Integrated Project Team (IPT) been chartered and organized? Is it functioning? (PM)

For a nuclear project, has a Risk and Opportunity Assessment been prepared to support the evaluation of the Safety-in-Design Strategy? (ED, NFS)

Does the project comply with the One-for-One Replacement legislation (excess space/offset requirement), as mandated in House Report 109-86? (PM)

For a project with a TPC ≥ $100M, has APM developed an Independent Cost Estimate or conducted an Independent Cost Review? (PM)

For a nuclear project, has the development of a Code of Record been initiated to support conceptual design? (ED, NFS)

Has DOE completed the conceptual design review and prepared a Conceptual Design Review Report? (ED)

Have the High-Performance Sustainable Building (HPSB) considerations been evaluated and documented in the Conceptual Design Report, Acquisition Strategy, or PEP? (E)

Has a Safety Design Strategy (SDS) been prepared for SBAA and FPD approval, with CNS concurrence, or reviewed by the CDNS? (ED, NFS)

Has a Conceptual Design Report been prepared? (ED)

Has a Risk Management Plan been prepared? Are all project risks identified, analyzed, and determined to be either avoidable or manageable? (All Project Areas)

Has the PDS been updated from CD-0? (PM)

Key Questions for Critical Decision Review and Approval

Approval of AlternativeSelection and Cost Range

Has the Project Team established a Corrective Action Tracking process and routine methods for addressing issues on the project that promote a strong Nuclear Safety Culture? (All Project Areas)

Yes No


Approval of AlternativeSelection and Cost Range (Continued)

For a nuclear project, has the PSO requested an Independent Project Review (IPR) to ensure early integration of safety into the design process? (ED, NFS)

For a nuclear project, has the contractor prepared a Conceptual Safety Design Report (CSDR) for DOE approval? (NFS)

Has the DOE SBAA approved the CSDR and documented the findings in the Conceptual Safety Validation Report (CSVR), with concurrence from the FPD? (NFS)

For a non-nuclear project (i.e., below the Hazard Category 3 nuclear facility threshold as defined in 10 CFR Part 830, Subpart B), has the contractor prepared a Preliminary Hazard Analysis Report (PHAR)? Has the Field Organization approved the report? (FS, WS)

Has an Integrated Safety Management (ISM) Plan been developed and implemented? (NFS, WS)

Have Safeguards and Security requirements been identified? (S)

Has a National Environmental Policy Act (NEPA) Strategy been completed? Has a determination been issued? Has an Environmental Compliance Strategy been prepared? (E)

Has a Quality Assurance Program been established? For nuclear projects, are NQA-1 standards being implemented? (QA)


For a nuclear project, has a Checkout, Testing, and Commissioning Plan been initiated in preparation for the acceptance and turnover of the structures, systems, and components at CD-4? (PM, ED, NFS)

Has the project begun expenditure of the Project Engineering and Design (PED), Major Item of Equipment (MIE), or Operating Expense (OE) funds? (PM)

Has the project developed an Acquisition Plan, if applicable? (PM)

Has the project continued the monthly PARS II reports? (PM)

Has the project continued the QPRs with the AE or designee? (PM)

Yes NoApproval of Alternative Selection and Cost Range

Yes NoApproval of PerformanceBaseline

Has the project established a Performance Baseline (PB) for FPD approval? (PM)

Has the Acquisition Strategy been updated for PSO approval? (PM)

Has the PEP been updated and approved by the SAE or AE? (PM)

Have Long-Lead Item Procurements been established for SAE or AE approval? (PM)

Has a Project Definition Rating Index Analysis been prepared for FPD approval for projects with a TPC ≥ $100M? (PM)

Has DOE completed the preliminary design review? Has DOE prepared a Preliminary Design Review Report? (ED, NFS)

Have the HPSB considerations been evaluated and documented for the preliminary design? (E)

Has an SDS been updated for SBAA and FPD approval, with CNS concurrence, or reviewed by the CDNS? (ED, NFS)

For a nuclear project, has a Technical Independent Project Review (TIPR) been conducted for preliminary design and approved by the PSO? (ED, NFS)

For a nuclear project, has the Code of Record been placed under configuration control during preliminary design? (ED, NFS)

Has the PDS been updated from CD-1? (PM)

Has a Preliminary Design Report been prepared? (ED)

Has the contractor employed an Earned Value Management System (EVMS) in accordance with ANSI/EIA-748B, or as required by the contract? (PM)

For an MSP, has a Technology Readiness Assessment (TRA) been conducted? Has a Technology Maturation Plan (TMP) been developed, as appropriate? Are they approved by the FPD? (ED, NFS, WS)

Has a Project Management Plan been developed, if applicable? (PM)

Has a Funding Profile been prepared for SAE or AE approval? (PM)


Yes NoApproval of PerformanceBaseline (Continued)

For a nuclear project, has the contractor prepared a Preliminary Safety Design Report (PSDR) for DOE SBAA approval? (NFS)

Has the DOE SBAA approved the PSDR and documented the findings in the Preliminary Safety Validation Report (PSVR)? (NFS)

Has the ISM Plan been updated and implemented? (NFS, WS)

Has the final Environmental Impact Statement (EIS) or Environmental Assessment (EA) been issued? (E)

Has a Preliminary Security Vulnerability Assessment been conducted, if applicable? (S)

Has a Quality Assurance Program been updated for preliminary design? (QA)

For projects with a TPC ≥ $100M, has APM conducted an EIR to validate the PB and issued a Performance Baseline Validation Letter to the PSO in accordance with DOE O 413.3B? (PM)

For projects with a TPC < $100M, has the Project Management Support Office conducted an IPR to validate the PB? (PM)

For projects with a TPC ≥ $100M, has APM developed an Independent Cost Estimate to validate the PB? (PM)

Have all the required CD-2 Documents been submitted to APM, including any Baseline Change Proposals (BCPs)? (All Project Areas)

Has the Budget Request for the TPC been submitted? (PM)

Has AE Endorsement been obtained on any changes to the approved funding profile? (PM)

Has an Annual Project Peer Review been initiated for project with TPC ≥ $100M? (PM)



For a non-nuclear project, has the contractor prepared a Hazard Analysis Report (HAR) based on new hazards and design information? Has the Field Organization approved the report? (FS, WS)

Yes NoApproval of Performance Baseline

Yes NoHas the SAE or AE approved the updated CD-2 Project Documentation that reflects major changes from final design, PEP, Performance Baseline, Acquisition Strategy, Project Data Sheet, and funding documents for MIE and OE funds? (PM)

Has the Final Design been completed and reviewed, and is the design sufficiently mature to start procurement or construction? (ED, NFS)

Has the FPD ensured that the Constructability Review was completed as part of final design? (PM, ED, NFS)

Have the HPSB considerations been evaluated and documented for the final design? (E)

Has the contractor employed a certified EVMS in accordance with ANSI/EIA-748B, or as required by the contract? (PM)

For a non-MSP, has the Project Management Support Office conducted an IPR? (All Project Areas)

Has APM developed an Independent Cost Estimate for the project with a TPC ≥ $100M? (PM)

For an MSP, has a PSO-approved TRA been conducted if there are significant technological modifications occurring after CD-2? (ED, NFS, WS)

Has an SDS been updated for SBAA and FPD approval, with CNS concurrence, or reviewed by the CDNS? (ED, NFS)

For a nuclear project, has the contractor prepared a Preliminary Documented Safety Analysis (PDSA) for DOE approval? (NFS)

Has the DOE SBAA approved the PDSA and documented the findings in the Safety Evaluation Report (SER)? (NFS)

Has a Quality Assurance Program been updated for final design, construction, and procurement activities? (QA)

For a non-nuclear project, has the contractor prepared an updated HAR based on new hazards and design information? Has the Field Organization approved the report? (FS, WS)

For an MSP, has APM conducted an EIR for construction or execution readiness? (All Project Areas)

Has the Code of Record been managed and controlled during final design and construction with a process for reviewing and evaluating new and revised requirements? (ED, NFS)

Approval of Start of Construction/Execution


Yes No

Has a Construction Project Safety and Health Plan (CPSHP) been prepared prior to start of construction? Has it been kept current during construction? Has the Field Organization approved the CPSHP?(WS)


Has an Annual Project Peer Review been initiated for projects having a TPC ≥ $100M? (PM)

Have EVMS reviews been conducted to ensure compliance with ANSI/EIA-748B, or as required in the contract? (PM)


Has the PDS been updated? (PM)


Has a Lessons Learned Report regarding upfront project planning and design been submitted to the PSO and APM within 90 days of CD-3 approval? (All Project Areas)

Has the Security Vulnerability Assessment Report been finalized, if necessary? (S)

Approval of Start of Construction/Execution (Continued)

Yes NoApproval of Start of Construction/Execution


Note: The Worker Safety and Health Programs under 10 CFR Part 851, which would include the Construction Project Safety and Health Plans, if applicable, must be developed and approved before any work, including construction work for DOE, is conducted on a DOE site. The Construction Project Safety and Health Plan can be a starting point for the development of a post-construction safety and health program.

Yes NoHas the FPD verified whether the Key Performance Parameters and Project Completion Criteria have been met and the mission requirements have been achieved? (All Project Areas)

Has the project prepared a Project Transition to Operations Plan? (All Project Areas)

For a non-nuclear project, has a Readiness to Operate Assessment been conducted? (All Project Areas)

For a nuclear project, has an Operational Readiness Review (ORR) or Readiness Assessment (RA) been conducted? (All Project Areas)

Has the DSA been finalized? Have the Technical Safety Requirements (TSRs) been established? (NFS)

Has the DOE SBAA reviewed and approved the DSA and TSRs and prepared an SER? (NFS)

For a non-nuclear project, has the HAR been finalized? Has the Field Organization approved the report? (FS, WS)

Has the Environmental Management System (EMS) been revised in accordance with DOE O 450.1A? (E)

Have Contractor Evaluation Documents been prepared and submitted to the AE, PSO, and APM? (All Project Areas)

Is the Code of Record included as part of the turnover documentation? (ED, NFS)

Approval of Start of Operations or Project Completion



Has the PARS II reporting been finalized, including earned value data? (PM)

Has the Initial Project Closeout Report been prepared within 90 days? (All Project Areas)

Has a Lessons Learned Report been submitted to the PSO and APM within 90 days of CD-4 approval regarding project execution and facility startup? (All Project Areas)

Yes NoApproval of Start of Operations or Project Completion

Yes NoHas the final Project Closeout Report been prepared? (All Project Areas)

Have the Facility Sustainment goals been documented and verified by an independent third-party entity within one year of facility occupancy? (E)

Has the property record in the Facilities Information Management System been established and updated? (PM)

Has the site’s Ten-Year Site Plan been updated? (PM)


(Prior to Operations)

Critical Decision Prerequisite Activitiesand

Key Documents

Tabl

e 1:

Cri

tica

l Dec

isio

n A

ppro

val P

rere

qu

isit

e A

cti

vit

ies

App

rova

l of

Mis

sion

Nee

dA

ppro

val o

f A

lter

nati

ve

Sele

ctio

n an

d C

ost

Ran

geA

ppro

val o

f P

erfo

rman

ce

Bas

elin

eA

ppro

val o

f S

tart

of

Con

stru

ctio

n/E

xecu

tion

App

rova

l of S

tart

of O

pera

tions

or

Pro

ject

Com

plet

ion

Prep

are

Mis

sion

Nee

d St

atem

ent

Perfo

rm p

re-c

once

ptua

l pla

nnin

g ac

tiviti

es

Perfo

rm a

Mis

sion

Val

idat

ion

Inde

pend

ent R

evie

w

Con

duct

Inde

pend

ent C

ost

Rev

iew

(by

APM

)

Doc

umen

t DO

E ex

pect

atio

ns fo

r Sa

fety

in D

esig

n

Prep

are

Prog

ram

Req

uire

men

ts

Doc

umen

t (N

NSA

onl

y)Im

plem

ent a

cer

tifie

d EV

MS

Perfo

rm a

n IP

R fo

r Non

-Maj

or

Syst

em P

roje

cts

(PSO

)

Perfo

rm a

n EI

R fo

r Con

stru

ctio

n or

Exe

cutio

n R

eadi

ness

(APM

)

Upd

ate

and

appr

ove

CD

-2 P

roje

ct

Doc

umen

ts

Perfo

rm a

Per

form

ance

Bas

elin

e Ex

tern

al In

depe

nden

t Rev

iew

(EIR

) or

Inde

pend

ent P

roje

ct R

evie

w (I

PR)

Upd

ate

and

appr

ove

PEP

Esta

blis

h a

Perfo

rman

ce B

asel

ine

Upd

ate

and

appr

ove

Acqu

isiti

on

Stra

tegy

Impl

emen

t an

Earn

ed V

alue

M

anag

emen

t Sys

tem

(EVM

S)

Prep

are

a Pr

ojec

t Man

agem

ent

Plan

(if a

pplic

able

)

Initi

ate

mon

thly

Pro

ject

As

sess

men

t and

Rep

ortin

g Sy

stem

(PAR

S II)

repo

rts

Initi

ate

Qua

rterly

Pro

ject

Rev

iew

s (Q

PRs)

Dev

elop

fund

ing

docu

men

ts fo

r M

ajor

Item

s of

Equ

ipm

ent (

MIE

) or

Ope

ratin

g Ex

pens

e (O

E) p

roje

cts

for t

he d

esig

n, a

nd O

MB

300s

Subm

it all C

D-0

Doc

umen

ts to

APM

Proc

eed

with

con

cept

ual p

lann

ing

and

desi

gn u

sing

ope

ratin

g fu

nds

Prep

are

and

appr

ove

an

Acqu

isiti

on S

trate

gy

Prep

are

a pr

elim

inar

y Pr

ojec

t Ex

ecut

ion

Plan

(PEP

)

Appr

ove

the

appo

intm

ent o

f the

Fe

dera

l Pro

ject

Dire

ctor

(FPD

)

Esta

blis

h an

d ch

arte

r an

Inte

grat

ed P

roje

ct T

eam

(IPT

)

Com

ply

with

One

-for-O

ne

Rep

lace

men

t leg

isla

tion

Prep

are

a Ta

ilorin

g St

rate

gy

Prep

are

a R

isk

Man

agem

ent P

lan

Deve

lop a

n In

depe

nden

t Cos

t Esti

mat

e an

d/or

Inde

pend

ent C

ost R

eview

for

proje

ct wi

th T

PC ≥

$10

0M (A

PM)

Begi

n ex

pend

iture

of P

roje

ct

Engi

neer

ing

and

Des

ign

(PED

), M

IE, o

r OE

fund

s

Con

tinue

QPR

s

Subm

it all C

D-1

Doc

umen

ts to

APM

Con

tinue

mon

thly

PAR

S II

repo

rts

Con

tinue

QPR

s

Obt

ain

AE e

ndor

sem

ent o

n ch

ange

s to

app

rove

d fu

ndin

g pr

ofile

Initi

ate

annu

al p

roje

ct p

eer r

evie

w

for p

roje

cts

with

TPC

≥ $

100M

Subm

it all C

D-2

Doc

umen

ts to

APM

Subm

it bu

dget

requ

est f

or th

e TP

C

Con

tinue

mon

thly

PAR

S II

repo

rting

Subm

it Le

sson

s Le

arne

d re

gard

ing

upfro

nt p

roje

ct p

lann

ing

and

desig

n to

PSO

and

APM

with

in 9

0 da

ys

Con

duct

EVM

S su

rvei

llanc

e

Con

tinue

QPR

s

Con

tinue

mon

thly

PAR

S II

repo

rts

Com

mit

all r

esou

rces

nec

essa

ry

to e

xecu

te p

roje

ct

Initi

ate

annu

al p

roje

ct p

eer r

evie

w

for p

roje

cts

with

TPC

≥ $

100M

Subm

it all C

D-3

Doc

umen

ts to

APM

Verif

y th

at k

ey p

erfo

rman

ce

para

met

ers

and

proj

ect c

ompl

etio

n cr

iteria

are

met

Prep

are

and

issu

e a

Proj

ect

Tran

sitio

n to

Ope

ratio

n Pl

an

Com

plet

e an

d su

bmit

Con

tract

or

Eval

uatio

n D

ocum

ents

(if a

pplic

able

)

Fina

lize

PAR

S re

porti

ng

Subm

it In

itial

Pro

ject

Clo

sure

R

epor

t with

in 9

0 da

ys

Subm

it Le

sson

s Le

arne

d re

gard

ing

proj

ect e

xecu

tion

and

faci

lity

star

tup

with

90

days

Subm

it all C

D-4

Doc

umen

ts to

APM

Esta

blis

h an

d up

date

pro

perty

re

cord

in th

e Fa

cilit

y In

form

atio

n M

anag

emen

t Sys

tem

Perfo

rm fi

nal a

dmin

istra

tive

and

finan

cial

clo

seou

t

Prep

are

final

Pro

ject

Clo

seou

t Rep

ort

Com

plete

and

doc

umen

t ach

ievem

ent

of F

acilit

y Sus

tainm

ent g

oals

Initi

ate

Nat

iona

l Env

ironm

enta

l Po

licy

Act (

NEP

A) s

trate

gy a

nd

anal

yses

Mai

ntai

n En

viro

nmen

tal

Man

agem

ent S

yste

m

Com

plet

e N

EPA

Stra

tegy

Inco

rpor

ate

Gui

ding

Prin

cipl

es fo

r Fe

dera

l Lea

ders

hip

in H

PSB

into

Fi

nal D

esig

n

Inco

rpor

ate

Sust

aina

ble

Envi

ronm

ent S

tew

ards

hip

cons

ider

atio

ns in

to F

inal

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ign

Doc

umen

t Sus

tain

able

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nmen

t Ste

war

dshi

p co

nsid

erat

ions

Docu

men

t High

-Per

form

ance

Su

staina

ble B

uildin

g (H

PSB)

pro

vision

s as

par

t of C

once

ptua

l Des

ign

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e fin

al E

IS o

r EA

Inco

rpor

ate

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ding

Prin

cipl

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r Fe

dera

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ders

hip

in H

PSB

into

Pr

elim

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y D

esig

n

Inco

rpor

ate

Sust

aina

ble

Envir

onm

ent

Stew

ards

hip

cons

ider

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ns in

to

Prel

imin

ary

Des

ign

*

Pro

ject

M

anag

emen

t

Env

iron

men

t

Dev

elop

Pro

ject

Dat

a Sh

eet (

PDS)

Upd

ate

PDS

Com

plet

e C

once

ptua

l Des

ign

Prep

are

Con

cept

ual D

esig

n R

epor

t (C

DR

)

Initi

ate

Cod

e of

Rec

ord

for n

ucle

ar

proj

ects

Con

duct

Inde

pend

ent P

roje

ct

Rev

iew

Con

duct

a T

echn

ical

Inde

pend

ent

Proj

ect R

evie

w (T

IPR

) for

nuc

lear

pr

ojec

ts

Upd

ate

PDS

Com

plet

e Pr

elim

inar

y D

esig

n

Con

duct

a T

echn

olog

y R

eadi

ness

As

sess

men

t (TR

A)

Ensu

re th

at th

e C

ode

of R

ecor

d is

pa

rt of

turn

over

doc

umen

tatio

nPl

ace

the

Cod

e of

Rec

ord

unde

r co

nfig

urat

ion

cont

rol

Ensu

re th

at th

e C

ode

of R

ecor

d is

un

der c

onfig

urat

ion

cont

rol d

urin

g fin

al d

esig

n

Com

plet

e Fi

nal D

esig

n

Com

plet

e Fi

nal D

esig

n R

evie

w

Prep

are

Prel

imin

ary

Des

ign

Rep

ort (

PDR

)Pr

epar

e Fi

nal D

esig

n R

epor

t (FD

R)

Con

duct

an

Ope

ratio

nal R

eadi

ness

R

evie

w (O

RR

) or R

eadi

ness

R

evie

w (R

A) fo

r nuc

lear

pro

ject

s

Con

duct

a fo

rmal

ass

essm

ent o

n R

eadi

ness

to O

pera

te fo

r no

n-nu

clea

r pro

ject

s

Com

plet

e ch

ecko

ut, t

estin

g, a

nd

com

mis

sion

ing

revi

ew fo

r nuc

lear

pr

ojec

ts

Nuc

lear

and

Fa

cilit

y S

afet

y

Dev

elop

a C

heck

out,

Test

ing,

and

C

omm

issi

onin

g Pl

an

Con

duct

Tec

hnic

al In

depe

nden

t Pr

ojec

t Rev

iew

for N

ucle

ar P

roje

cts

Con

duct

Con

cept

ual D

esig

n R

evie

wC

ondu

ct P

relim

inar

y D

esig

n R

evie

w

Sec

urit

yN

one

at th

is C

D S

tage

Iden

tify

gene

ral S

afeg

uard

s an

d Se

curit

y re

quire

men

tsC

ondu

ct a

Pre

limin

ary

Secu

rity

Vuln

erab

ility

Asse

ssm

ent

Fina

lize

Secu

rity

Vuln

erab

ility

Asse

ssm

ent

Impl

emen

t Sec

urity

Vul

nera

bilit

y

Qua

lity

Ass

uran

ceN

one

at th

is C

D S

tage

Upd

ate

the

QAP

for c

onst

ruct

ion,

fie

ld d

esig

n ch

ange

s, a

nd

proc

urem

ent a

ctiv

ities

Initi

ate

chec

kout

, tes

ting,

and

co

mm

issi

onin

g re

view

for n

ucle

ar

proj

ects

Deve

lop a

Tech

nolog

y Mat

urat

ion P

lan

DO

E O

413

.3B

and

EM

Gui

danc

e

Det

erm

ine

maj

or p

oten

tial h

azar

ds

and

safe

ty/ri

sk im

plic

atio

ns

Doc

umen

t maj

or p

oten

tial h

azar

ds

and

safe

ty/ri

sk im

plic

atio

ns a

s pa

rt of

Mis

sion

Nee

d St

atem

ent

Prep

are

Safe

ty D

esig

n St

rate

gy

(SD

S) fo

r nuc

lear

pro

ject

sU

pdat

e th

e SD

SU

pdat

e th

e SD

S

Prep

are

the

Doc

umen

ted

Safe

ty

Anal

ysis

(DSA

) and

Tec

hnic

al

Safe

ty R

equi

rem

ents

(TSR

s) fo

r nu

clea

r pro

ject

s

Prep

are

Con

cept

ual S

afet

y Va

lidat

ion

Rep

ort (

CSV

R)

Prep

are

a Pr

elim

inar

y Sa

fety

Va

lidat

ion

Rep

ort f

or (P

SVR

) for

nu

clea

r pro

ject

s

Prep

are

a Sa

fety

Eva

luat

ion

Rep

ort (

SER

)

Prep

are

a H

AR fo

r non

-nuc

lear

pr

ojec

tsFi

naliz

e th

e H

AR fo

r non

-nuc

lear

pr

ojec

tsU

pdat

e th

e H

AR fo

r non

-nuc

lear

pr

ojec

tsPr

epar

e Pr

elim

inary

Haz

ard A

nalys

is Re

port (

PHAR

) for n

on-n

uclea

r pro

jects

Prep

are

a Pr

elim

inar

y Sa

fety

D

esig

n R

epor

t (PS

DR

)Pr

epar

e C

once

ptua

l Saf

ety

Des

ign

Rep

ort (

CSD

R) f

or n

ucle

ar p

roje

cts

Con

tinue

impl

emen

tatio

n of

ISM

Pla

n

Con

tinue

impl

emen

tatio

n of

the

QAP

Con

tinue

impl

emen

tatio

n of

ISM

Pla

nC

ontin

ue im

plem

enta

tion

of IS

M P

lan

Prep

are

an S

ER

Dev

elop

and

impl

emen

t an

Inte

grat

ed

Safe

ty M

anag

emen

t (IS

M) P

lan

Wor

ker

Saf

ety

Non

e at

this

CD

Sta

gePr

epar

e a

Con

stru

ctio

n Pr

ojec

t H

ealth

and

Saf

ety

Plan

Cont

inue

imple

men

tatio

n of

ISM

S (s

ame

unde

r Nuc

lear a

nd F

acilit

y Saf

ety)

Cont

inue

imple

men

tatio

n of

ISM

S (s

ame

unde

r Nuc

lear a

nd F

acilit

y Saf

ety)

Cont

inue

imple

men

tatio

n of

ISM

S (s

ame

unde

r Nuc

lear a

nd F

acilit

y Saf

ety)

Eng

inee

ring

an

d D

esig

n

*

Prep

are

the

Prel

imin

ary

Doc

umen

ted

Safe

ty A

nalys

is (P

DSA

)

Con

duct

a T

RA

Esta

blis

h Q

ualit

y As

sura

nce

Prog

ram

(QAP

)U

pdat

e th

e Q

AP fo

r ope

ratio

ns

To c

onse

rve

spac

e, a

cron

yms

are

spel

led

out e

arlie

r in

the

body

of t

he H

andb

ook

and

in D

OE

O 4

13.3

B o

r DO

E-S

TD-1

189-

2008

.

Dev

elop

and

impl

emen

t an

ISM

S

Syst

em (s

ame

unde

r Nuc

lear

and

Fa

cility

Saf

ety)

Tabl

e 2:

Key

Doc

umen

ts t

o S

uppo

rt C

riti

cal D

ecis

ion

App

rova

l

App

rova

l of

Mis

sion

Nee

dA

ppro

val o

f Alte

rnat

ive

Sele

ctio

n an

d C

ost R

ange

App

rova

l of

Per

form

ance

Bas

elin

eA

ppro

val o

f S

tart

of

Con

stru

ctio

n/E

xecu

tion

App

rova

l of S

tart

of O

pera

tions

or

Pro

ject

Com

plet

ion

Pro

ject

M

anag

emen

tM

issi

on N

eed

Stat

emen

tAc

quis

ition

Stra

tegy

Perfo

rman

ce B

asel

ine

Upd

ated

PEP

Upd

ated

Acq

uisi

tion

Stra

tegy

Upd

ated

Tai

lorin

g St

rate

gy

Upd

ated

Ris

k M

anag

emen

t Pla

n

Tailo

ring

Stra

tegy

Ris

k M

anag

emen

t Pla

n

Prel

imin

ary

Proj

ect E

xecu

tion

Plan

(PEP

)

Inte

grat

ed P

roje

ct T

eam

C

harte

r (IP

T)IE

R o

r IPR

Rep

ort o

n Pe

rform

ance

Bas

elin

e

Earn

ed V

alue

Man

agem

ent

Syst

em (E

VMS)

Proj

ect T

rans

ition

to O

pera

tion

Plan

Initi

al P

roje

ct C

losu

re R

epor

t (P

ost-C

D-4

)

Fina

l Pro

ject

Clo

sure

Rep

ort

(Prio

r to

Proj

ect C

lose

out)

Key

Perfo

rman

ce P

aram

eter

s an

d Pr

ojec

t Com

plet

ion

Crit

eria

Ve

rific

atio

n

Fina

l Adm

inis

trativ

e an

d Fi

nanc

ial C

lose

out (

Prio

r to

Proj

ect C

lose

out)

Inpu

t to

Faci

lity

Info

rmat

ion

Man

agem

ent S

yste

m (P

rior t

o Pr

ojec

t Clo

seou

t)Le

sson

s Le

arne

d R

epor

t on

Plan

ning

and

Des

ign

(Pos

t- C

D-3

)Le

sson

s Le

arne

d R

epor

t on

Proj

ect E

xecu

tion

and

Star

tup

(Pos

t-CD

-4)

Upd

ated

PEP

Cer

tifie

d EV

MS

Upd

ated

Acq

uisi

tion

Stra

tegy

Upd

ated

Tai

lorin

g St

rate

gy

Upd

ated

Ris

k M

anag

emen

t Pla

n

IER

or I

PR R

epor

t on

Con

stru

ctio

n or

Exe

cutio

n R

eadi

ness

Mod

ified

Per

form

ance

Bas

elin

e,

If ap

plic

able

Env

iron

men

tN

one

at th

is C

D S

tage

Fina

l EIS

or E

A

Envi

ronm

enta

l Man

agem

ent

Syst

em

Faci

lity

Sust

ainm

ent G

oals

Ac

hiev

emen

t Rep

ort

NEP

A St

rate

gy

Hig

h-Pe

rform

ance

Sus

tain

able

Bu

ildin

g (H

PSB)

Pro

visio

ns fo

r C

once

ptua

l Des

ign

Sust

aina

ble

Envi

ronm

ent

Stew

ards

hip

cons

ider

atio

n fo

r C

once

ptua

l Des

ign

HPS

B an

d Su

stai

nabl

e En

viro

nmen

t Ste

war

dshi

p re

ports

for p

relim

inar

y de

sign

HPS

B an

d Su

stai

nabl

e En

viron

men

t Ste

war

dshi

p re

ports

fo

r fin

al d

esig

n an

d co

nstru

ctio

n

*

Nuc

lear

and

Fa

cilit

y S

afet

y

Upd

ated

SD

SU

pdat

ed S

DS

Safe

ty E

valu

atio

n R

epor

t (SE

R)

Saf

ety

Eva

luat

ion

Rep

ort

Fina

l Haz

ard

Anal

ysis

Rep

ort

for n

on-n

ucle

ar p

roje

cts

Non

e at

this

CD

Sta

ge

Safe

ty D

esig

n St

rate

gy (S

DS)

Prel

imin

ary

Haz

ard

Anal

ysis

R

epor

t and

DO

E re

view

repo

rt on

non

-nuc

lear

pro

ject

s

Prel

imin

ary

Safe

ty V

alid

atio

n R

epor

t (PS

VR) f

or n

ucle

ar

proj

ects

Haz

ard

Anal

ysis

Rep

ort a

nd

DO

E re

view

repo

rt on

no

n-nu

clea

r pro

ject

s

Upd

ated

Haz

ard

Anal

ysis

R

epor

t and

DO

E re

view

repo

rt on

non

-nuc

lear

pro

ject

s

Con

cept

ual S

afet

y Va

lidat

ion

Rep

ort (

CSV

R)

Prel

imin

ary

Safe

ty D

esig

n R

epor

t (PS

DR

)Pr

elim

inar

y D

ocum

ente

d Sa

fety

An

alys

is (P

DSA

)

Doc

umen

ted

Safe

ty A

naly

sis

(DSA

) and

Tec

hnic

al S

afet

y R

equi

rem

ents

(TSR

s)C

once

ptua

l Saf

ety

Des

ign

Rep

ort

(CSD

R) f

or n

ucle

ar p

roje

cts

ISM

S Im

plem

enta

tion

ISM

S Im

plem

enta

tion

ISM

S Im

plem

enta

tion

Inte

grat

ed S

afet

y M

anag

emen

t (IS

M) P

lan

Eng

inee

ring

an

d D

esig

nN

one

at th

is C

D S

tage

Cod

e of

Rec

ord

TRA

Rep

ort

IPR

and

/or C

PR R

epor

ts

Upd

ated

PD

Ss

Cod

e of

Rec

ord

IPR

and

/or C

PR R

epor

ts

Proj

ect D

ata

Shee

ts (P

DSs

)

Appr

oved

Cod

e of

Rec

ord

Con

cept

ual D

esig

n an

d R

evie

w

Rep

orts

Prel

imin

ary

Des

ign

and

Rev

iew

R

epor

ts

Tech

nolo

gy R

eadi

ness

As

sess

men

t (TR

A) R

epor

t

Che

ckou

t, Te

stin

g, a

nd

Com

mis

sion

ing

Plan

Fina

l Des

ign

and

Rev

iew

R

epor

ts

Cod

e of

Rec

ord

as p

art o

f tu

rnov

er d

ocum

enta

tion

Che

ckou

t, Te

stin

g, a

nd

Com

mis

sion

ing

Rev

iew

Ope

ratio

nal R

eadi

ness

Rev

iew

(O

RR

) or R

eadi

ness

Rev

iew

(RA)

Form

al a

sses

smen

t on

Rea

dine

ss to

Ope

rate

for

non-

nucl

ear p

roje

cts

Inde

pend

ent P

roje

ct R

evie

w

(IPR

) and

Con

stru

ctio

n Pr

ojec

t R

evie

w (C

PR) R

epor

ts

Che

ckou

t, Te

stin

g, a

nd

Com

mis

sion

ing

Rev

iew

Qua

lity

Ass

uran

ceU

pdat

ed Q

AP a

nd Q

IP fo

r de

sign

Upd

ated

QAP

and

QIP

for

cons

truct

ion

and

proc

urem

ent

Upd

ated

QAP

and

QIP

for

oper

atio

nsN

one

at th

is C

D S

tage

Qua

lity

Assu

ranc

e Pl

an (Q

AP)

and

Qua

lity

Impl

emen

tatio

n Pl

an (Q

IP)

Sec

urit

yPr

elim

inar

y Se

curit

y Vu

lner

abilit

y As

sess

men

t Rep

ort

Fina

l Sec

urity

Vul

nera

bilit

y As

sess

men

t Rep

ort

Non

e at

this

CD

Sta

geId

entif

icat

ion

of S

afeg

uard

s an

d Se

curit

y re

quire

men

ts

Wor

ker

Saf

ety

Non

e at

this

CD

Sta

geIS

MS

Impl

emen

tatio

n IS

MS

Impl

emen

tatio

nIS

MS

Impl

emen

tatio

n

Con

stru

ctio

n Pr

ojec

t Hea

lth a

nd

Safe

ty P

lan

and

DO

E re

view

ISM

Pla

n (s

ame

unde

r Nuc

lear

an

d Fa

cilit

y Sa

fety

)

Thes

e ar

e th

e K

ey D

ocum

ents

requ

ired

by D

OE

O 4

13.3

B to

sup

port

Crit

ical

Dec

isio

n ap

prov

als

*

Points of ContactFor additional information or assistance please contact:

Chip LagdonChief of Nuclear Safety Office of the Under Secretary for Nuclear SecurityPhone: (202) [email protected]

Robert B. RainesAssociate Administrator for Acquisition and Project Management National Nuclear Security AdministrationPhone: (202) [email protected]

Matthew B. MouryDeputy Assistant Secretary for Safety, Security, and Quality ProgramsOffice of Environmental ManagementPhone: (202) [email protected]

Senior Management Handbook (3.64 MB)

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Transcript of Senior Management Handbook (3.64 MB)