Background: This appendix and Appendix F, EVMS Certification Review Detailed Planning and Execution, complement the Section 3 discussions, Certification of a contractor’s EVMS. Strategic Planning Schedule Milestones: Within the context of this guide, strategic planning encompasses the processes by which (a) OECM works with the PSO/NNSA points of contact, the independent review contractor, and the technical consultant to develop EVMS Certification Review Schedule Milestones for the major milestones listed below, and (b) OECM works with the CFO EVMS point of contact to obtain OMB concurrence of the EVMS Certification Review FY goals. The end result of this process is displayed in Table E.1 to this appendix, and as can be seen therein, it captures planned timeframes (initially by month, with a firm date being
established as the milestone nears) for the conduct of all of the following certification process major milestones:
• Planning/Readiness Assessment Meeting: This is usually a one-day meeting that has typically been conducted by a technical consultant to OECM. The primary objective of the meeting is to assess whether the tentatively planned date for executing the on-site review should be maintained, or whether additional actions on the part of the contractor warrant action prior to committing to a date for the review. This is important to ensure sufficient readiness of the contractor such that an additional week-long on-site review
will not be necessary and thus better ensure effective use of limited department resources. • On-Site Review: There are many actions required to ensure a successful on-site review
effort and these are addressed in more detail in Appendix F, Detailed Planning and Execution.
• followup Assessment of Corrective Action Plan Implementation: Appendix F provides an expected timetable for the contractor’s development of an acceptable correction plan, and then the independent review contractor’s assessment of the CAP and its
implementation. The review director (provided by the independent review contractor) has the lead responsibility for final determinations of non-compliances that are to be documented in the form of corrective actions request, and assessment of the acceptability and implementation of the contractor’s corrective action plan.
• Independent Review Contractor Issuance of a Recommendation for Certification to OECM. This usually follows within roughly one week of a determination that the contractor’s CAP has been successfully implemented and is supported by a justifying report to OECM. OECM then prepares a certification letter from DOE to the contractor that is then approved and forwarded by the DOE Office of Management.
• Conduct Surveillance: Surveillances are addressed in Section IV of this guide, and this milestone within this table refers only to those surveillances that are to be led by OECM.
Appendix E DOE G 413.3-10
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Strategic Planning Roles and Responsibilities: Table E.2 identifies the organizations and primary roles and responsibilities related to the development and maintenance of the EVMS certification review milestone schedule depicted in Table E-1.
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F-3
The above schedule is generally developed on a FY basis, and the initial schedule is formulated by the end of the 3Q for the next FY.
Goals October November December January February March April May June July August September
A. Conduct Readiness Assessment Fluor 12/4 PNNL 12/5 CH2M-Hill 3/30 WCH 5/14 BSA 6/12 LPP 8/29 JSA
B. Conduct Review BSC Oct 30 BNI (WTP) Pantex Dec 11 Y12 1/22 Fluor 3/26 PNNL 5/7-11
CH2M-Hill 5/14 WCH 7/30 C. Conduct Follow- up BNI WTP CWI PNNL CH2M-Hill BWXT Y12
BNI WTP UDS 8/27-29 BWXT Y12 CWI D. Issue Certification MRI PNNL CH2M-Hill CWI BNI WTP
Goals October November December January February March April May June July August September
A. Conduct
Readiness Assessment
Parsons SRS NSTec
Las Vegas PRS Fermi Lab
B. Conduct Review BSA 10/1-5 JSA 12/3-7 Parsons, SRS, 1/22-25 LPP (Ohio); Feb 4 NSTec Las Vegas PRS LANL-New Con
LANS Fermi Lab LLNL New Con
C. Conduct Follow- up SNJV WCH BSC SLAC - ten Pantex Fluor BSA
JSA NSTec Fermi Lab PRS
D. Issue Certification BWXT Y-12, CWI WCH Pantex DCS Fluor Hanf Parsons JSA NSTec E. Conduct Surveillance Bechtel Jacobs Co BJC Sandia
FY08 Schedule of EVMS Reviews
Follow-ups not yet scheduled for: Pre FY 08 Reviews: DCS, & UDS FY 08 Reviews: BSA & LPP
All indicated FY 07 Milestones are Complete
FY07 Schedule of EVMS Reviews
Qtr 4
Qtr 1 Qtr 2 Qtr 3
Appendix E
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Table E-2, Strategic Planning of EVMS Certification Reviews; Organizational Roles and Responsibilities
Orgn/Position Roles and Responsibilities
DOE-OECM; EVMS Lead
1. Develop the EVMS Certification Review Schedule Milestones, Table E-1. First draft for coming FY is to be complete by end of 3Q of current FY. This is done by working closely with PSO /NNSA points of contact to understand contractors requiring a review and the review priority, assuring with independent review contractor and technical consultant that the schedule is achievable, and working with the CFO to obtain OMB concurrence with the review goals.
2. Provide oversight of all review efforts to ensure that schedules are maintained or revised (as may be necessary).
3. Provide quarterly status update reports to the CFO (for submission to OMB). PSO /NNSA;
EVMS Points of Contact
1. Understand which of their projects are approaching CD-2 and which contractors need to be certified, and communicate certification needs to DOE-OECM EVMS lead.
2. Ensure that federal project directors concur with the proposed review schedules and they in turn work with their contractors to ensure they are scheduling their resources to support the review efforts.
Independent Review Contractor; Review Director
1. Review proposed milestone schedule and communicate (in light of resource availability and contract funding) whether the schedules can be met or need to be modified.
2. As agreed to schedule milestones are approached, work with review chief and others to complete detailed schedule and execution activities (Note: Review director is lead for all milestone activities except the
planning/readiness assessment meeting; ref: App F for expanded discussion of detailed review planning and execution).
Technical Consultant; Review Chief
1. Establish DOE and contractor points of contact, and work with contractor point of contact to further plan and execute the planning /readiness assessment meeting, and communicate results to OECM and review director.
2. Function as review chief during on-site reviews, and support OECM and review director in their pursuit of meeting the other EVMS certification review schedule milestones.
CFO; EVMS POC
1. Work with OECM EVMS lead and OMB to establish mutually agreeable EVMS certification review goals. 2. Receive quarterly status report updates from OECM EVMS lead and provide to OMB.
DOE-Site: FPD
1. Works with PSO/NNSA points of contact to ensure their EVMS certification review needs are addressed in the EVMS certification review strategic planning process.
2. From on-going surveillance results, determine and communicate via PSO/NNSA points of contact needs for OECM led surveillances.
DOE G 413.3-10 Appendix F
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