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Suggested Citation:"Front Matter." National Research Council. 2007. Assessment of the Results of External Independent Reviews for U.S. Department of Energy Projects. Washington, DC: The National Academies Press. doi: 10.17226/11887.
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Assessment of the Results of External Independent Reviews for U.S. Department of Energy Projects

Committee on Assessing the Results of External Independent Reviews for U.S. Department of Energy Projects

Board on Infrastructure and the Constructed Environment

Division on Engineering and Physical Sciences

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.
www.nap.edu

Suggested Citation:"Front Matter." National Research Council. 2007. Assessment of the Results of External Independent Reviews for U.S. Department of Energy Projects. Washington, DC: The National Academies Press. doi: 10.17226/11887.
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THE NATIONAL ACADEMIES PRESS

500 Fifth Street, N.W. Washington, DC 20001

NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance.

This study was supported by Contract Number DE-AT01-05ME15810, TO#13 between the U.S. Department of Energy and the National Academy of Sciences. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project.

International Standard Book Number 13: 978-0-309-10639-9

International Standard Book Number 10: 0-309-10639-7

Additional copies of this report are available from the

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Copyright 2007 by the National Academy of Sciences. All rights reserved.

Printed in the United States of America

Suggested Citation:"Front Matter." National Research Council. 2007. Assessment of the Results of External Independent Reviews for U.S. Department of Energy Projects. Washington, DC: The National Academies Press. doi: 10.17226/11887.
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THE NATIONAL ACADEMIES

Advisers to the Nation on Science, Engineering, and Medicine


The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.


The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering.


The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine.


The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council.


www.national-academies.org

Suggested Citation:"Front Matter." National Research Council. 2007. Assessment of the Results of External Independent Reviews for U.S. Department of Energy Projects. Washington, DC: The National Academies Press. doi: 10.17226/11887.
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Suggested Citation:"Front Matter." National Research Council. 2007. Assessment of the Results of External Independent Reviews for U.S. Department of Energy Projects. Washington, DC: The National Academies Press. doi: 10.17226/11887.
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COMMITTEE ON ASSESSING THE RESULTS OF EXTERNAL INDEPENDENT REVIEWS FOR U.S. DEPARTMENT OF ENERGY PROJECTS

JOSEPH P. COLACO,

CBM Engineers, Inc., Houston, Texas,

Chair

DON JEFFREY BOSTOCK,

Lockheed Martin Energy Systems, Inc. (retired), Oak Ridge, Tennessee,

Vice Chair

DAVID B. ASHLEY,

University of Nevada, Las Vegas

ALLAN V. BURMAN,

Jefferson Solutions, Inc., Washington, D.C.

ROBIN L. DILLON-MERRILL,

Georgetown University, Washington, D.C.

G. BRIAN ESTES, Consulting Engineer,

Williamsburg, Virginia

WILLIAM A. FIFE,

DMJM-Harris, Inc., New York, New York

CHRIS T. HENDRICKSON,

Carnegie Mellon University, Pittsburgh, Pennsylvania

LINDA K. NOZICK,

Cornell University, Ithaca, New York

GARY H. SANDERS,

California Institute of Technology, Pasadena, California

SCOTT B. SMITH,

U.S. Army (retired), University of Nevada, Las Vegas

Consultant

LLOYD A. DUSCHA,

U.S. Army Corps of Engineers (retired), Reston, Virginia

Staff

LYNDA L. STANLEY, Director,

Board on Infrastructure and the Constructed Environment

MICHAEL D. COHN, Program Officer

DANA CAINES, Financial Associate

PAT WILLIAMS, Senior Project Assistant

Suggested Citation:"Front Matter." National Research Council. 2007. Assessment of the Results of External Independent Reviews for U.S. Department of Energy Projects. Washington, DC: The National Academies Press. doi: 10.17226/11887.
×

BOARD ON INFRASTRUCTURE AND THE CONSTRUCTED ENVIRONMENT

HENRY HATCH,

U.S. Army Corps of Engineers (retired), Oakton, Virginia,

Chair

MASSOUD AMIN,

University of Minnesota, Minneapolis

REGINALD DesROCHES,

Georgia Institute of Technology, Atlanta

DENNIS DUNNE,

dddunne and associates, Scottsdale, Arizona

PAUL FISETTE,

University of Massachusetts, Amherst

LUCIA GARSYS,

Hillsborough County, Florida

THEODORE C. KENNEDY,

BE&K, Inc., Birmingham, Alabama

SUE McNEIL,

University of Delaware, Wilmington

DEREK PARKER,

Anshen+Allen, San Francisco, California

WILLIAM WALLACE,

Rensselaer Polytechnic Institute, Troy, New York

CRAIG ZIMRING,

Georgia Institute of Technology, Atlanta

Staff

LYNDA STANLEY, Director,

Board on Infrastructure and the Constructed Environment

MICHAEL COHN, Program Officer

KEVIN LEWIS, Program Officer

DANA CAINES, Financial Associate

PAT WILLIAMS, Senior Project Assistant

Suggested Citation:"Front Matter." National Research Council. 2007. Assessment of the Results of External Independent Reviews for U.S. Department of Energy Projects. Washington, DC: The National Academies Press. doi: 10.17226/11887.
×

Acknowledgment of Reviewers

This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s (NRC’s) Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report:

Philip R. Clark, GPU Nuclear Corporation (retired),

David N. Ford, Texas A&M University,

G. Edward Gibson, University of Alabama,

Paul H. Gilbert, Parsons, Brinckerhoff, Quade, and Douglas, Inc.,

Fletcher H. Griffis, Polytechnic University,

Carl N. Strawbridge, U.S. IPER Project, and

Michael L. Telson, University of California.

Although the reviewers listed have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Harold K. Forsen, retired senior vice president, Bechtel Corporation. Appointed by the NRC, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

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Peer review is an essential component of engineering practice and other scientific and technical undertakings. Peer reviews are conducted to ensure that activities are technically adequate, competently performed, and properly documented; to validate assumptions, calculations, and extrapolations; and to assess alternative interpretations, methodologies, acceptance criteria, and other aspects of the work products and the documentation that support them. Effective peer reviews are conducted in an environment of mutual respect, recognizing the contributions of all participants. Their primary objective is to help the project team achieve its goals. Reviews also contribute to quality assurance, risk management, and overall improvement of the management process.

The U.S. Department of Energy (DOE) conducts different types of peer reviews at the different stages of a project, including reviews to assess risks and other factors related to design, safety, cost estimates, value engineering, and project management. Independent project reviews (IPRs) are conducted by federal staff not directly affiliated with the project or program and management and operations (M&O) contractors. External independent reviews (EIRs) are overseen by the Office of Engineering and Construction Management and conducted by contractors external to the department. EIRs are the primary focus of this report. However, the committee found that, in many cases, IPRs are explicitly used as preparation for or as preliminary reviews prior to EIRs. Thus, because IPRs are integral to the review process in DOE, they are also discussed because they might have an effect on EIRs.

In October 2000, DOE issued Order 413.3, Program and Project Management for the Acquisition of Capital Assets (DOE, 2000). The order established a series of five critical decisions (CDs), or major milestones, that require senior management review and approval to ensure that a project satisfies applicable mission, design, security, and safety requirements: approve mission need, approve alternative selection and cost range, approve performance baseline, approve start of construction, and approve start of operations or project closeout.

Assessment of the Results of External Independent Reviews for U. S. Department of Energy Projects summarizes the results.

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