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APPEND TX C Committee Fact Finding and Briefing Activities and Documents Reviewed October 2001 Through October 2002 FACT FINDING AND BRIEFINGS 2001 October 22 Informal meeting with Bruce Carnes, director, Office of Man- agement and Budget Evaluation (OMBE) November 6 Informal meeting with Robert Card, under secretary, DOE November 13 Government/industry forum on the owner's role in project man- agement and preproject planning, Washington, D.C. Robert Card, under secretary, DOE Bruce Carnes, director, OMBE Edward Merrow, president, IPA, Inc. James Porter, vice president, E.I. du Font de Nemours and Company Steven Harker, project benchmarker, Weyerhaeuser Corp. Joe Gregory, projects coordinator, ChevronTexaco November 13-15 Committee meeting 6, Washington, D.C., Review of project management and contracting reforms and improvements in project planning and project manager knowledge, skills, and abilities (KSAs) 82

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APPENDIX C 83 Office of Management and Budget Evaluation Jim Rispoli, director OECM Office of Science Patricia Dehmer, associate director, Office of Basic Energy Science Iran Thomas, deputy associate director, Office of Basic Energy Science Jim Carney, engineer, Construction Management Support National Nuclear Security Agency Lowell Ely, engineer, Office of International Cooperation Edwin Wilmot, engineer, Defense Programs Joel Leeman, engineer, Defense Programs Dennis Miotla, director, Office of Facilities Management Shaa Jaghoory, engineer, Office of Facilities Management Roland Frenck, engineer, Project Management and Engi- neering Support Environmental Management James Owendoff, director, Office of the Assistant Secretary Scott Van Camp, hydrologist, Project Completion Steve Meador, engineer, Office of Site Closure Marvin Garcia, engineer, Office of Project Management Mike Goddu, GHJ Consulting, Management culture at DOE 2002 February 5-7 Committee meeting 7, Oakland, California, Project manage- ment policies and procedures and process improvement Oakland Operations Office (OAK) Camille Yuan-Soo Hoo, manager, OAK Barry Savnik, lead engineer, Engineering & Facilities Man- agement John Gonzales, director, Engineering & Facilities Manage- ment university of California (UC) Lab Administrator's Office Buck Koonce, director, UC DOE, Stanford Site Office (SSO) Hanley Lee, engineer, SSO Ev Valle, engineer, SSO Stanford Linear Accelerator Center (SLAC) John Muhlestein, director, SLAC Jonathan Dorfan, director, Linac Coherent Light Source

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84 APPENDIX C Lowell Klaisner, engineer, Large Area Space Telescope William Althouse, engineer David Burke, SLAC, Next Linear Collider NNSA, Livermore Site Office (LSO) Mike Hooper, assistant manager for national security Sam Brinker, engineer, NNSA, Terascale Simulation Facility (TSF) Barry Williams, engineer, NNSA, Energetic Material Pro- cessing Center (EMPC) Sam Brinker, engineer, NNSA, Tritium Facility Modifica- tion (TFM) (originally called the Hydrogen Isotope Research Capability (HIRC)) Anita Martin, engineer, NNSA, Sensitive Compartmented Information Facility (SCIF) Barry Williams, engineer, NNSA, Engineering Technology Complex Upgrade (ETCU) Scott Samuelson, NIF federal project manager, National Ignition Facility (NIF) Lawrence Livermore National Laboratory (LLNL) Bernie Mattimore, deputy assistant director for laboratory services, Jim Brady, director, Projects Division Bob Logan, program manager, Parson's Infrastructure & Technology Group Incorporated Roy Neyer, engineer, TSF Mark Sueksdorf, engineer, EMPC Rick Visoria, engineer, TFM Roger White, engineer, SCIF Mark Sueksdorf, engineer, ETCU Ed Moses, project manager, NIF DOE, Berkeley Site Office (BSO) Dick Nolan, director, BSO Joe Krupa, institutional manager, BSO Barry Savnik, engineer, BSO, Molecular Foundry Kathy Johnescu, engineer, BSO, Building 77 Rehabilitation Phase 2, Research Support Building and Building 62 Rehabilitation Lawrence Berkeley National Laboratory (LB NL) Charles Shank, director, LBNL Sally Benson, deputy director, LBNL Kem Robinson, project integration and management officer, Super Nova Acceleration Probe (SNAP) James Krupnick, engineer, Molecular Foundry

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APPENDIX C 85 Bob Camper, head, LBNL Facilities Department, Building 77 Rehabilitation Phase 2, Research Support Building and Building 62 Rehabilitation March 19-21 Presentation and participation in DOE/OECM annual project management workshop, Arlington, Virginia April 2 Informal meetings with John Gordon, under secretary, NNSA; Jessie Roberson, assistant secretary, EM; Robert Card, under secretary, DOE April 3-5 Committee meeting 8, Washington, D.C., Roundtable discus- sions with EM, SC, NNSA, and OECM Session 1 Current status of strategic and front-end planning and process improvement initiatives Session 2 Current practices in risk assessment and risk man- agement, and lessons learned from ARM pilot projects Session 3 Revisions to O 413.3 and field response to policy directives Session 4 Implementation of PARS and its application for project management and oversight Bruce Carnes, CFO, director, OMBE, DOE policy and man- agement initiatives Jay Rhoderick, EM Project Management Support Office, Envi ronmental Management update (top-to-bottom review, new administration, project management process improve- ment, project data CD-0 through CD-2) Dan Lehman, director, SC Construction Management Support, Office of Science update (process improvement initia- tives, project data CD-0 through CD-2 recent project reviews and ESAAB approvals, lessons learned from NuMI and SNS) Willie Clark, director, NNSA Project Management Support Office, Defense Programs update (Stanford survey, pro- cess improvement, recent project reviews and ESAAB approvals, project data CD-0 through CD-2) James Rispoli, director, Office of Engineering and Construc- tion Management, OECM update (administration and staffing, 2002 workshop and awards, professional devel- opment and training, project oversight initiatives) Dave Treacy, engineer, OECM, Revised Program and Project Management Manual .

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86 June 4-6 July 16 July 22 APPENDIX C Committee meeting 9, Oak Ridge, Tennessee, Briefings and . . alscusslons Oak Ridge Operations Office (ORO) Gerald Boyd, ORO assistant manager, Environmental Man- agement Judith Penry, CFO, Office of Assistant Manager, personnel and personnel training resources Robert Brown, assistant manager, Assets Utilization, acquisition strategies for restoration projects Jack Howard, engineer, Office of Assistant Manager, acqui- sition strategies for restoration projects Les Price, SNS federal project manager, role of the federal project manager Spallation Neutron Source Project Office (SNS) Thom Mason, SNS project director, Spallation Neutron Source (SNS) Barry Miller, director of procurement, SNS, innovative pro- curement George Malosh, assistant manager for laboratories, ORNL/ SC issues Jeff Smith, deputy director for operations, ORNL, ORNL/ SC issues: SNS management team, lessons learned (front- end planning, project control systems, scope to cost, con- tractor resources, training) Asa Kelley, BWX Technologies, Y-12, Improving Project Management Capabilities, Bill Brumley, manager, Y-12 site office, tours of B NFL project to dismantle, remove, and decontaminate the process equipment and support systems materials within K-33 and related gaseous diffusion plant buildings and the SNS construction site Informal meetings NA-54, SC-80, and EM-6 project manage- ment support personnel Informal meetings for progress updates with James Rispoli and OECM staff; James Decker and Daniel Lehman, SC; Everitt Beckner, Dave Beck, Dave Crandall, Greg Rudy, Willie Clark, and Roland Frenck, NNSA; Bruce Carnes, OMBE; and Paul Golan, EM

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APPENDIX C 87 October 15-17 Committee meeting 1 1, Richland, Washington, Briefings to the committee and roundtable discussion of current project man- agement issues (implementation of O 413.3, project definition for EM activities, professional development and core compe- tencies, front-end project planning, risk analysis and manage- ment, EVMS and tracking project data, performance based contracting, etc.) Richland Operations Office (RL) Wade Ballard, assistant manager for planning and integra- tion, RL, overview of RL management culture and project management policies and procedures Gene Higgins, director of special initiatives, RL, RL performance-based management Beth Bilson, assistant manager, overview of River Corridor Project Jim Goodenough, lead engineer, project integration team and team training Mike Schlender, deputy manager, RL, closeout discussion Office of River Protection (ORP) Leif Erickson, deputy manager, ORP, overview of ORP management culture and project management policies and procedures Matt McCormick, supervisory engineer, the River Corridor contract and contract transition, waste treatment plant project management Bill Taylor, assistant manager for project delivery, ORP integrated project management John Swailes, assistant manager, systems requirements, Tank Farm contract, performance-based project management DOCUMENTS REVIEWED Memoranda August 18, 2001, memorandum from Deputy Secretary Blake regarding SES performance management Sentember 19, 2001, memorandum from Deputy Secretary Blake regarding project management September 26, 2001, memorandum from Bruce Carnes, director OMBE, regarding acquisition project reporting November 15, 2001, memorandum from Deputy Secretary Blake regarding project acquisition plans and critical decisions

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88 APPENDIX C February 15, 2002, memorandum from Bruce Carnes, director OMBE, regarding mission need justification and project acquisition plans May 23, 2002, memorandum from Raymond Orbach, director SC, regarding SC direction on project management DOE Reports Acquisition Risk Management Pilot of the High-Level Waste Project at the Idaho Site, November 30, 2001 Charter for EM Energy Systems Acquisition Advisory Board Equivalent, June 2001 A Review of the Environmental Management Program Top-to-Bottom Review Team June 1, 2001, GAO report Follow-up Review of the National Ignition Facility DOE/IO Audit Report Progress of the Spallation Neutron Source Project NNSA April 2002 Annual Report to Congress on Construction Project Accomplishments Update on Implementation of PMCDP 2003 appropriations report regarding NNSA project management OECM outline for IPT training program DOE Project Data Stanford Linear Accelerator Center (SLAC) Office of High Energy Physics, Office of Science Gamma-Ray Large Area Space Telescope (GLAST)/Large Area Telescope (LAT) Instrument CD-0 Approve Mission Need Performance Assurance Implementation Plan Configuration Management Plan Systems Engineering Management Plan Project Management Plan Lawrence Livermore National Laboratory DOE Oakland Operations Office, NNSA Engineering Technology Complex Upgrade (ETCU) Programming and Engineering Design (CD-1) and Construction (CD-3)

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APPENDIX C Project Execution Plan Conceptual Design Report Supplement Safety Question Review Categorical Exclusion Under National Environmental Policy Act (NEPA) Regulations Risk Analysis / Management Plan Lawrence Berkeley National Laboratory (LBNL) LBNL Institutional Plan FY 2002-2006 LBNL Research Review Director's Action Committee Note on Project Management and Integration Officer (PIMO) LBNL Strategic Facilities Plan, February 2001 89 Large Hadron Collider (LHC), The neutral beam absorbers (TAN) Design/ Manufacturing Review LHC Monthly Report, December 2001 Solenoid Tracker at Relativistic Heavy Ion Collider (RHIC) (STAR) experiment Risk Assessment Contingency Model Supernova/Acceleration Probe (SNAP) Mission Definition and Requirements SNAP Research and Development Plan SNAP Top-Level Science and Systems Requirements SNAP Optical Telescope Assembly Definition and Requirements SNAP Spacecraft Bus Evaluation Form SNAP Management Plan Molecular Foundry Proposal for Preconceptual Design* Proposal for Conceptual Design Funds* Approve Mission Need (CD-0~* Filed Budget and Schedule* *Updated CD-O and project planning information provided in July.

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9o Infrastructure Projects Sitewide Water Distribution Phase 1 Baseline Change Proposal Building 77 Rehab, Quarterly Report LBNL infrastructure projects, PARS List DOE 4320.2A Capital Asset Management Process Prioritization DOE Risk-Based Priority Model Building 62 Upgrade, Mission Need Justification Administrative Service Building, Approve Mission Need (CD-0) Building 77 Rehab, Approve Mission Need (CD-0) Sitewide Water Distribution Upgrade, Phase 1, Project Execution Plan Advanced Light Source (ALS) Project Management Manual NNSA Modern PIT Facility APPENDIX C Volume 1 Request for Approval of Mission Need CD-0, Draft February 2002 OECM Acquisition Execution Plan Reviews AEP Exterior Communications Infrastructure Modernization (ECIM), at SNL AEP Engineering Technology Center Upgrade (ETCU), at LLNL AEP Highly Enriched Uranium Materials Facility (HEUMF), at OR Y-12 PPT 2002 award presentation Chemistry and Metallurgy Research (CMR) Facility Upgrades at LLNL PPT 2002 award presentation Chiller Retrofit, at SR PPT 2002 award presentations Strategic Computing Complex, LANL Miscellaneous Briefing Documents Office of Environmental Management May 22, 2002, Jessie Roberson memorandum; implementing change within EM Internal request for proposals for managers to lead response to EM Top-to- Bottom Review March 11, 2002, Proposed Oak Ridge Comprehensive Closure Plan

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APPENDIX C National Nuclear Security Agency April 19, 2002, Beckner/Erickson memorandum; Integrated construction program plan (ICPP) July 22, 2002, Power Point slides "Improving Planning, Prioritization, and Execution within the NNSA Capital Construction Program" Defense Program Integrated Construction Program Team Charter July 16, 2000, NA-54 notes on Progress Towards NRC's 2002 risk management recommendations Office of Science 91 SC organization chart SNS Technical Cost, Schedule, and Management Review, November 2001 Center for Nanophase Materials Science (CNMS) CD-0 approval of mission need, ESAAB report June 2001 CNMS CD-1 Approval of Preliminary Baseline Range, ESAAB report, January 2002 CNMS Preliminary Project Execution Plan, February 2002 CNMS Monthly Progress Report, June 2002 CNMS PARS Report, July 2002 CNMS Quarterly Report, May 2002 Molecular Foundry Nanoscale Research Center (NSRC) CD-0 Approve Mission Need, ESAAB Report, June 2001 NSRC CD-1 Approval of Preliminary Baseline Range, ESAAB Report, May 2002 NSRC Preliminary Project Execution Plan, May 2002 NSRC Conceptual Design Review Report, May 2002 NSRC PARS report, July 2000 ORNL HVAC upgrade, CD-0 through CD-3 Other Reports University of Texas student Project Definition Rating Index (PDRI) evaluations of planning documents provided to the committee by LLNL and LBNL