DOE Conceptual Design SRP
DOE Conceptual Design SRP
2nd Edition
Environmental Management
Standard
Review Plan (SRP)
Conceptual Design Review Module
March 2010
Standard Review
R Plan
n (SRP)
Concep
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Revview Modulee
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March 2010
Standard Review Plan, 2nd Edition, March 2010
FOREWORD
The Standard Review Plan (SRP)1 provides a consistent, predictable corporate review framework
to ensure that issues and risks that could challenge the success of Office of Environmental
Management (EM) projects are identified early and addressed proactively. The internal EM
project review process encompasses key milestones established by DOE O 413.3A, Change 1,
Program and Project Management for the Acquisition of Capital Assets, DOE-STD-1189-2008,
Integration of Safety into the Design Process, and EM’s internal business management practices.
The SRP follows the Critical Decision (CD) process and consists of a series of Review Modules
that address key functional areas of project management, engineering and design, safety,
environment, security, and quality assurance, grouped by each specific CD phase.
This Review Module provides the starting point for a set of corporate Performance Expectations
and Criteria. Review teams are expected to build on these and develop additional project-
specific Lines of Inquiry, as needed. The criteria and the review process are intended to be used
on an ongoing basis during the appropriate CD phase to ensure that issues are identified and
resolved.
1
The entire EM SRP and individual Review Modules can be accessed on EM website at
http://www.em.doe.gov/Pages/Safety.aspx , or on EM’s internet Portal at https://edoe.doe.gov/portal/server.pt
Please see under /Programmatic Folder/Project Management Subfolder.
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TABLE OF CONTENTS
I. INTRODUCTION ...............................................................................................................1
II. PURPOSE ............................................................................................................................1
III. ROLES AND RESPONSIBILITIES ...................................................................................2
IV. REVIEW SCOPE AND CRITERIA ...................................................................................3
V. REVIEW PLANS AND DOCUMENTATION ..................................................................5
VI. REFERENCE MATERIAL .................................................................................................6
APPENDIX A - PERFORMANCE OBJECTIVES AND CRITERIA ...................................... A-1
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ACRONYMS
CD Critical Decision
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I. INTRODUCTION
Design Reviews are an integral part of the contractor and federal project management process.
As stated in DOE O 413.3A, Program and Project Management for the Acquisition of Capital
Assets:
Prior to CD-1 approval, the Program Secretarial Officer will perform a Technical
Independent Project Review (IPR) to ensure safety and security is effectively integrated
into design and construction for high risk, high hazard, and Hazard Category 1, 2, and 3
nuclear facilities. The review should ensure safety documentation is complete, accurate
and reliable for entry into the next phase of the project.
Design Reviews
Beginning at CD-1 and continuing through the life of the project, as appropriate, Design
Reviews are performed by individuals external to the project. Design Reviews are
performed to determine if a product (drawings, analysis, or specifications) is correct and
will perform its intended functions and meet requirements. Design Reviews must be
conducted for all projects and must involve a formalized, structured approach to ensure
the reviews are comprehensive, objective, and documented.
II. PURPOSE
This Review Module is a tool that assists Department of Energy (DOE) federal project review
teams in evaluating the adequacy of the conceptual design package prior to CD-1 approval. It
focuses on the conceptual design package key elements including requirements analysis, safety
design basis, alternatives analysis, systems engineering, value management, risk analysis, and
acquisition strategy. This module has been developed to ensure that the conceptual design
process has effectively integrated requirements identification and analysis, acquisition strategies,
and concept exploration to evolve a cost-effective, preferred solution to meet a mission need
(DOE O 413.3A). Upon completion of the CDR the team will have sufficient evidence to
support the Federal Project Director (FPD) in their decision regarding approval of CD-1.
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A successful CDR depends on an experienced and qualified team. The team should be
augmented with appropriate subject matter experts (SMEs) selected to complement the specific
technical concerns of the project being reviewed. The specific types of expertise needed will be
dependent on the type of facility being reviewed, as well as other factors such as complexity,
hazards, and risks.
It is preferred that personnel selected to participate in a design review have design experience.
This is particularly relevant for reviewers who evaluate engineering design elements against
industry standards or other regulatory design requirements. It may not be practical or necessary
for some other subject matter experts, such as various safety disciplines, to have this experience.
It is strongly recommended that the team leader should either be a project or systems engineer
experienced in the management of a multi-disciplined review team (e.g., mechanical, electrical,
chemical, industrial, nuclear) that matches to the extent practicable the contractors design team.
The review team should be augmented with subject matter experts as appropriate to review
specialty matters such as structural analysis, seismic design criteria, criticality, and energetic
reactions.
The roles and responsibilities for all involved in the CDR must be clear and consistent with
various requirements of DOE O 413.3A and the DOE Functions, Responsibilities, and
Authorities Manual (FRAM). The table below provides a compilation of conceptual design
review roles and responsibilities.
Position Responsibility
Provides support and resources to the Federal Project Director and
Review Team Leader in carrying out the design review.
Field Element
Facilitates the conduct of the design review. Assigns office space,
Manager
computer equipment, and support personnel to the team as necessary to
accomplish the review in the scheduled time frame
Identifies the need for a CDR and determines the scope of the review
effort.
In conjunction with the Contractor Project Manager, develops the briefing
materials and schedule for the review activities.
Coordinates the review team pre-visit activities and follows up review
Federal Project team requests for personnel to interview or material to review.
Director Coordinates the necessary training and orientation activities to enable
the review team members to access the facility and perform the review.
Unless other personnel are assigned, acts as the site liaison with the
review team. Tracks the status of requests for additional information.
Coordinates the Federal site staff factual accuracy review of the draft
report.
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Position Responsibility
Leads the development of the corrective action plan if required. Tracks
the completion of corrective actions resulting from the review.
In coordination with the Federal Project Director and the Acquisition
Executive, selects the areas to be reviewed.
Based on the areas selected for review, project complexity and hazards
involved, selects the members of the review team.
Verifies the qualifications: technical knowledge; process knowledge;
facility specific information; and independence of the Team Members.
Leads the design review pre-visit.
Leads the review team in completing the Review Criteria for the various
areas to be reviewed.
Coordinates the development of the data call and forwards to the Federal
Review Team Project Director, a list of documents, briefings, interviews, and
Leader presentations needed to support the review.
Forwards the final review plan to the Acquisition Executive for approval.
Leads the on-site portion of the review.
Ensures the review team members complete and document their
portions of the review and characterizes the findings.
Coordinates incorporation of factual accuracy comments by Federal and
Contractor personnel on the draft report.
Forwards the final review report to the Acquisition Executive for
consideration in making the decision to authorize start of construction.
Participates, as necessary in the closure verification of the findings from
the review report.
Refines and finalizes the criteria for assigned area of the review.
Develops and provides the data call of documents, briefings, interviews,
and presentations needed for his or her area of the review.
Completes training and orientation activities necessary for the review.
Conducts any necessary pre visit document review.
Participates in the on-site review activities, conducts interviews,
document reviews, walk downs, and observations as necessary.
Review Team Based on the criteria and review approaches in the Review Plan,
Member assesses whether his or her assigned criteria have been met.
Documents the results of the review for his or her areas. Prepares input
to the review report.
Makes recommendations to the Review Team Leader for
characterization of findings in his or her area of review.
Resolves applicable Federal and Contractor factual accuracy comments
on the draft review report.
Prepares the final review report for his or her area of review.
This Review Module provides a set of review criteria that are organized based on the key
technical and safety areas and disciplines identified in the DOE Orders and guidance. These
review areas are summarized below and include general requirements, requirements analysis,
configuration management, safety design basis, conceptual design report, alternatives analysis,
systems engineering and value management, risk analysis, and acquisition strategy. For each
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review area, Appendix A of this Module provides overall performance objectives and then a
subset of review criteria that satisfy each performance objective. These performance objectives
and review criteria will provide consistent guidance to project-specific design review teams to
develop their Lines of Inquiry (LOIs).
General Requirements
This area of the review is intended to ensure that the conceptual design package meets the
requirements and guidance of the DOE orders and manuals. This review area also addresses the
relationship of the conceptual design to the needs and mission expectations as well as the overall
process goals. The general requirements area also evaluates the programs and processes used to
track and validate technical issues and assumptions used in the conceptual design package
development. Several of the general requirements LOIs are directly related to lessons learned
identified in past DOE projects.
Requirement Analysis
This area is focused on ensuring that the conceptual design package demonstrates a systematic
and comprehensive process for selecting applicable safety and health requirements to be applied
to the design effort. Specifically, the lines of inquiry are designed to ensure that the requirement
analysis process developed the programmatic, system, functional or technical requirements for
hardware, software, facilities, procedures, technical data, and personnel training.
The purpose of this review area is to ensure that the conceptual design package has adequately
implemented the safety-in-design process to integrate safety in the design development process.
This review area also addresses the requirement for the completion a preliminary hazards
analysis for the preferred alternative and the associated identification of safety class, safety
significant and important to safety systems, structures and components.
This review area is designed to ensure that the conceptual design report meets all of the
requirements and includes the key elements as identified in DOE orders and guidance
documents.
Alternatives Analysis
This review area ensures that the conceptual design process and documentation adequately
analyzed the appropriate alternatives before ultimately deciding upon the preferred alternative.
Each of the alternatives considered must be rigorously evaluated to ensure that the conceptual
design process is adequately executed and that the preferred alternative is the best available
alternative to meet the mission needs.
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This review area is focused on the evaluation of the systems engineering and value management
process as applied to the development of the conceptual design package. The implementation of
systems engineering and value management processes are an essential element to the ultimate
success of a project design.
Risk Analysis
The purpose of this review area is to ensure that the project risks associated with the alternatives
including the preferred alternative are systematically identified, and managed using a
documented and adequate process. Risk identification and management is essential to the overall
success of the project, and the risks associated with all of the considered alternatives need to be
considered as part of the determination of the preferred alternative.
Acquisition Strategy
The results of a CDR will be used by the DOE Federal Project Director and ultimately the
Acquisition Executive to help determine whether project funds may be authorized by approval of
CD-1. It is important to clearly document the methods, assumptions and results of the CDR.
The overall Standard Review Plan provides guidelines for preparing a Review Plan and a final
report.
The following activities should be conducted as part of the Review Plan development and
documentation/closure of the review:
• The review team members should develop specific lines of inquiry utilizing the topics and
areas listed in the respective appendices of this module.
• The individual lines of inquiry should be compiled and submitted to the manager authorizing
the review for concurrence prior to starting the review.
• The project-specific review plan should be compiled with a consistent and uniform
numbering scheme that provides for a unique identifier for each line of inquiry, arranged by
subject area (e.g. Management-Personnel and Qualifications, Management-Processes and
Systems, Technical-Civil) such that the results of each line of inquiry can be documented and
tracked to closure.
• The lines of inquiry should be satisfied via document review and personnel interviews and
any combination of these methods. The method used the basis for closure, comment, finding
and the result of the inquiry should all be documented and tracked.
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The report produced from the review should follow the format (but in abbreviated form) of an
External Independent Review (EIR) or Independent Project Review (IPR) report with the focus
on a composite listing of the lines of inquiry and the results of each.
• DOE O 413.3A, Program and Project Management for the Acquisition of Capital Assets
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The site should provide the technical bases and assumptions that support the answers provided to each Line of
Inquiry. If possible, the review teams should independently verify the technical bases and assumptions.
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