BASELINE REVIEW HANDBOOK

![](media/image1.wmf){width="4.216666666666667in" height="5.0in"}

April 2004

U.S. Department of Energy

National Nuclear Security Administration Service Center

Environmental Programs Department

CONTENTS

[**PREFACE iv**](#__RefHeading___Toc69708887)

[ACRONYMS v](#__RefHeading___Toc69708888)

[1.0 Purpose 1](#purpose)

[2.0 Defining Baseline Reviews 2](#defining-baseline-reviews)

[2.1 What is a Baseline? 2](#what-is-a-baseline)

[2.2 What Project Reviews are Conducted?
2](#what-project-reviews-are-conducted)

[2.3 When Are Baseline Reviews Conducted?
3](#when-are-baseline-reviews-conducted)

[2.4 What Do Baseline Reviews Determine?
3](#what-do-baseline-reviews-determine)

[2.5 Can More Than One Review Occur Simultaneously?
3](#can-more-than-one-review-occur-simultaneously)

[2.6 Who Reviews Baselines? 3](#who-reviews-baselines)

[2.7 Where Do Baseline Reviews Occur?
3](#where-do-baseline-reviews-occur)

[3.0 Baseline Review Preparation 5](#baseline-review-preparation)

[3.1 Select Review Team 5](#__RefHeading___Toc69708899)

[3.2 Assign Review Team Responsibilities
5](#assign-review-team-responsibilities)

[3.2.1 Team Lead Responsibilities 5](#team-lead-responsibilities)

[3.2.2 Team member responsibilities 6](#team-member-responsibilities)

[3.3 Conduct/Attend Kickoff Meeting 6](#conductattend-kickoff-meeting)

[3.4 Distribute Review Tools 7](#distribute-review-tools)

[3.4.1 Requirements and Guidance Documents
7](#requirements-and-guidance-documents)

[3.4.2 EPD Baseline Review Checklist 7](#epd-baseline-review-checklist)

[3.4.3 EPD Baseline Review Questionnaire
8](#epd-baseline-review-questionnaire)

[3.4.4 EPD Baseline Review Comments and Findings Form
9](#epd-baseline-review-comments-and-findings-form)

[3.5 Establish Review Schedule 11](#establish-review-schedule)

[3.6 Review Preliminary Baseline Documentation
11](#review-preliminary-baseline-documentation)

[4.0 Baseline Review 12](#baseline-review)

[4.1 Contractor Baseline Documentation
12](#contractor-baseline-documentation)

[4.2 Other Project Documents 13](#other-project-documents)

[5.0 Review Examples -- What to Look For
14](#review-examples-what-to-look-for)

[5.1 Schedule Review Example 14](#schedule-review-example)

[5.1.1 Schedule Baseline Review Preparation Activities
14](#schedule-baseline-review-preparation-activities)

[5.1.2 Schedule Baseline Review Activities
15](#schedule-baseline-review-activities)

[5.2 Regulatory Review 19](#regulatory-review)

[5.2.1 Regulatory Baseline Review Preparation Activities
19](#regulatory-baseline-review-preparation-activities)

[5.2.2 Regulatory Baseline Review Activities
21](#regulatory-baseline-review-activities)

[5.3 Project Control Review 22](#project-control-review)

[5.3.1 Project Control Baseline Review Preparation Activities
23](#project-control-baseline-review-preparation-activities)

[5.3.2 Project Control Baseline Review Activities
23](#project-control-baseline-review-activities)

[5.4 Cost Estimate Review 25](#cost-estimate-review)

[5.4.1 Cost Estimate Review Preparation Activities
25](#cost-estimate-review-preparation-activities)

[5.4.2 Cost Estimate Baseline Review Activities
27](#cost-estimate-baseline-review-activities)

[Appendix A: EPD Baseline Review Checklist
32](#__RefHeading___Toc69708927)

[Appendix B: Baseline Review Questionaire
38](#__RefHeading___Toc69708928)

[Appendix C: Glossary 42](#__RefHeading___Toc69708929)

[Appendix D: References and Recommended Reading
46](#__RefHeading___Toc69708930)

##### Figures and Tables {#figures-and-tables .unnumbered}

[Figure 1: EPD Handbooks iv](#__RefHeading___Toc69708931)

[Figure 2: EPD Baseline Review Checklist Excerpt
8](#__RefHeading___Toc69708932)

[Figure 3: EPD Baseline Review Questionnaire for Contractor (Page 1)
9](#__RefHeading___Toc69708933)

[Figure 4: Baseline Review Comments and Findings Form
10](#__RefHeading___Toc69708934)

[Table 1: Example Baseline Review Schedule
11](#__RefHeading___Toc69708935)

[Figure 5. Gantt Chart Example 14](#__RefHeading___Toc69708936)

[Figure 6. Report Example 15](#__RefHeading___Toc69708937)

[Table 2. Example Regulatory Requirements
20](#__RefHeading___Toc69708938)

[Table 3. Example Regulatory Impacts 21](#__RefHeading___Toc69708939)

[]{#__RefHeading___Toc69708887 .anchor}PREFACE

The National Nuclear Security Administration (NNSA) Service Center (SC)
Environmental Programs Department (EPD) provides handbooks listed in
Figure 1 for supplementing U.S. Department of Energy (DOE) Order 413.3,
*Program and Project Management for the Acquisition of Capital Assets*,
and DOE Manual 413.3-1, *Program and Project Management Manual* (March,
2003). NNSA SC EPD developed these handbooks to provide guidance for the
following DOE sites:

+---------------------------------+------------------------------------+
| -   Energy Technology           | -   Laboratory for Energy-Related  |
|     Engineering Center (ETEC)   |     Health Research (LEHR)         |
|                                 |                                    |
| -   General Atomics (GA)        | -   Lawrence Berkeley National     |
|                                 |     Laboratory (LBNL)              |
| -   General Electric Vallecitos |                                    |
|     (GE)                        | -   Stanford Linear Accelerator    |
|                                 |     Center (SLAC)                  |
| -   Inhalation Toxicology       |                                    |
|     Laboratory (ITL)            |                                    |
+---------------------------------+------------------------------------+

![](media/image2.wmf){width="6.302777777777778in"
height="4.126388888888889in"}This Baseline Review Handbook provides a
primer on reviewing project baselines. In addition, the handbooks
briefly described in Figure 1 provide guidance to Federal and contractor
personnel with NNSA SC project management responsibilities. They
describe project management planning, budgeting, executing, and
reporting processes and processes associated with baseline reviews, cost
estimating, project control systems, decontamination and
decommissioning, long-term environmental stewardship, and value
engineering. EPD personnel with project management responsibilities
maintain these documents. Copies are available through EPD and at
http://www.doeal.gov/erd/policy_and_guidance.htm.

[]{#__RefHeading___Toc69708931 .anchor}Figure 1: EPD Handbooks

[]{#__RefHeading___Toc69708888 .anchor}ACRONYMS

ABC activity-based cost

BPR Baseline Performance Report

BCP baseline change proposal

BCWS budgeted cost of work scheduled

BOE bases of estimate

BRMD Budget Resources and Management Division

CCB change control board

CD critical decision

DOE U.S. Department of Energy

EM DOE Office of Environmental Management

EPD Environmental Programs Department

ER Environmental Restoration

ERD Environmental Restoration Division

ETEC Energy Technology Engineering Center

EVMS Earned Value Management System

FPD Federal Project Director

FY fiscal year

GA General Atomics

GE General Electric Vallecitos

GFSI Government Furnished Services and Items

Handbook Baseline Review Handbook

HQ DOE Headquarters

H&S Health and Safety

ICE Independent Cost Estimate

ICER Independent Cost Estimate Review

IPABS Integrated Planning, Accountability, and Budgeting System

IPABS-IS IPABS-Information System

LBNL Lawrence Berkeley National Laboratory

LEHR Laboratory for Energy-Related Health Research

LTES long-term environmental stewardship

Manual DOE Manual 413.3-1, Program and Project Management Manual, March,
2003

M&O management and operating contractor

NNSA National Nuclear Security Administration

OECM Office of Engineering and Construction Management

PAD Program Assumptions Document

PCS project control system

PCSD Project Control System Description

PEM project execution module

PMB performance measurement baseline

PMP Performance Management Plan

POC point of contact

RMP Risk Management Plan

SC Service Center

SLAC Stanford Linear Accelerator Center

WBS work breakdown structure

WM Waste Management

WMD Waste Management Division

# Purpose

The National Nuclear Security Administration (NNSA) Service Center (SC)
Environmental Programs Department (EPD) Baseline Review Handbook
(Handbook) is a reference for EPD personnel reviewing baselines
developed by management and operating (M&O) contractors working on
Office of Environmental Management (EM) funded projects. The Handbook is
a quick reference of the why's, when's, where's, and how's. Examples aid
the reader in understanding the material. More detailed information on
baseline development, baseline components, definitions, and other
project management material is contained in the EPD Project Control
Handbook (April, 2004), DOE Manual 413.3-1, Program and Project
Management Manual, March, 2003 (Manual), and DOE Project Management
Practices, October, 2000, (Practices).

**NOTES:**

-   This handbook does not define terms that are included in the
    referenced documents above.

-   The term contractor as used in this document includes management and
    operating (M&O) contractors working on the Office of Environmental
    Management (EM) funded projects as listed in the preface.

# Defining Baseline Reviews

These sections answer basic questions concerning baseline reviews.

## What is a Baseline?

  ------------------------------------------------------ ----------------------------------------------------
  Conceptually, baselines contain all scope, schedule,   ![](media/image3.wmf){width="0.9779527559055118in"
  and cost documentation necessary to complete projects. height="0.8in"}
  Practically, the baseline consists of the various      
  baseline documents describing scope, schedule, and     
  cost.                                                  

  ------------------------------------------------------ ----------------------------------------------------

## What Project Reviews are Conducted? 

Both the Manual and Practices describe various Office of Engineering and
Construction Management (OECM) -- directed reviews. EM also directs EPD
to conduct reviews. Whether directed by OECM or EM, review objectives
include:

**Independent baseline validations** are conducted following lifecycle
baseline preparation by a team outside the project organization.
Independent validations "prove that it (the baseline) is defensible
relative to scope, schedule, and cost." Baselines "do not generally
require re-validation if changes are managed through a rigorous change
control process."

**Independent reviews** are conducted by outside agencies or by DOE to
"verify the project's mission, organization, development, processes,
baselines, and progress." Reviewers must not be project proponents.

EPD conducts annual baseline reviews, rather than validations. Reviews
focus on baseline integrity in terms of scope, schedule, and cost. More
or less emphasis on these baseline elements depends on reviewers.

![](media/image4.png){width="1.6381889763779527in"
height="1.1937007874015748in"}

## When Are Baseline Reviews Conducted?

Contractors prepare initial baselines or revise existing baselines,
depending on project maturity. This document describes typical review
activities for projects that are at Critical Design (CD-3), but before
CD-4. Typically, reviews are conducted in the 4^th^ quarter of the
fiscal year, enabling contractors to make necessary adjustments prior to
a new fiscal year. It is important for contractors to begin reporting
against approved baselines when new fiscal year work begins.

## What Do Baseline Reviews Determine?

Baseline reviews determine baseline adequacy. Review teams comprised of
an appropriate mix of experts must carefully review and evaluate
baseline documentation, make inquiries when data gaps exist, and
interview contractor staff (Section 3.1).

## Can More Than One Review Occur Simultaneously?

EM or other DOE/NNSA groups and EPD may perform reviews at the same time
either as two teams, each with a different focus, or one combined team.
Concurrent reviews involve significantly more reviewer coordination.
Concurrent reviews are more disruptive to contractor work schedules
because contractors must respond to more reviewers.

## Who Reviews Baselines?

Senior and junior Federal and contractor staff that are knowledgeable
about project scope, schedule, and cost development, maintenance, and
change control review baselines. Reviewers with diverse experience are
selected from EM, EPD, NNSA SC, and site offices. Team selection is
described in Section 3.1.

## Where Do Baseline Reviews Occur?

Baseline reviews usually are performed at the contractor's facility
(onsite review). Ideally, an onsite review team room is provided,
enabling the team to freely discuss comments and concerns and to share
materials and review documents. Contractor staff interviews also are
conducted in the team room unless the contractor designates a separate
location. Onsite reviews, especially at larger sites, are more practical
than offsite reviews, for interviews with contractor staff and because
staff can continue work when not attending daily out-briefings or
addressing questions.

Reviews may be conducted offsite, at the SC or at the DOE Energy
Training Center in Albuquerque, NM for contractors located near the SC
or for smaller sites. Regardless of review location, review teams should
cause the least possible impact to contractor work during reviews.

# Baseline Review Preparation

![](media/image3.wmf){width="1.6381889763779527in"
height="1.3751968503937009in"}Baseline review preparation includes these
steps:

[]{#__RefHeading___Toc69708899 .anchor}Select Review Team

![](media/image3.wmf){width="1.6381889763779527in"
height="1.1937007874015748in"}EPD management selects a senior staff
member to lead baseline reviews. The team lead selects the team members
unless a higher authority requests specific individuals. Although there
is no strict team size requirement, the standard is four to eight
individuals, depending on the project scope complexity, risks, and
costs. The team lead ensures appropriate expert representation from
among the following areas:

Team members (reviewers, including the team lead) may be assigned to
review more than one area (i.e., schedule and project controls).
Similarly, large review teams may utilize more than one person per area.
Team members have specific focus areas, but may contribute to any part
of the baseline review. However, tight schedules usually restrict team
members to reviewing assigned areas only.

## Assign Review Team Responsibilities

### Team Lead Responsibilities

Team leaders are responsible for logistics such as:

-   Choosing and assigning team members.

-   Understanding baseline review scope, risks, and issues and
    communicating information to the team.

-   Conducting a kickoff meeting.

-   Developing review roles and responsibilities.

-   Establishing priorities.

-   Developing the review schedule.

-   Providing travel information including travel dates, suggested
    airline, flight times, hotel accommodations, and other related
    information.

-   Acting as the point of contact (POC) between EPD (and HQ, if
    involved) management and the contractor.

Team leaders must also address team and contractor questions, coordinate
meetings and interviews with contractor staff, including information
requests, and provide contractor project managers verbal status reports,
as necessary. Status reports are often provided each afternoon.

### Team member responsibilities

Team member responsibilities include maintaining objective and
professional standards, staying on schedule, and understanding the
following before beginning the onsite review:

-   The review focus (i.e., is schedule or cost the primary concern?).

-   Relevant political issues.

-   Review forms and the review package.

-   DOE Order 413.3 and DOE Manual 413.3-1.

```{=html}
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-   Project scope.

## Conduct/Attend Kickoff Meeting

Baseline review team kickoff meetings are called and conducted by team
leads to plan and discuss review scope, high visibility and high-risk
subprojects, and sensitive contractor or EM issues. Topics discussed at
the kickoff meeting include but are not limited to:

-   Review scope

-   Overall review strategies

-   Issues

-   Known baseline weaknesses and strengths.

-   Team roles and responsibilities.

-   Chains of command.

-   Review schedule.

-   Difference between findings and observations.

-   Consensus on methodology for collecting and consolidating findings
    and observations.

-   Logistics and travel information.

-   Availability of preliminary contractor baseline.

-   Availability of other project related documentation.

-   Prior year baseline review findings and contractor responses.

## Distribute Review Tools 

Team leads distribute tools to review teams for facilitating the review
and assembling review comments, including guidance documents,
checklists, questionnaires, and forms described in the following
sections

### Requirements and Guidance Documents

Reviewers should have access to and familiarity with the most recent
versions of applicable DOE Orders, Manuals, and Practices.

-   <http://www.directives.doe.gov/> provides the Manual and Order

-   <http://oecm.energy.gov/project_reviews/reviews_index.html> provides
    the Practices

Requirements from the guidance documents, directives, and current EM
memos should be referenced, reinforcing observations and findings. For
example, in fiscal year 2003, the EM-6 National Focus Project produced
specific guidance for EPD, the site offices, and contractors.

### EPD Baseline Review Checklist

The EPD Baseline Review Checklist provides a comprehensive requirements
list. Reviewers individually complete the checklist, including notes
justifying responses. Teams may add checklist items associated with EM
guidance or emergent information or issues. Checklists are not generally
collected by the team lead because deficiencies are documented as
findings or observations. A partial checklist is shown in Figure 2; the
complete checklist is provided in Appendix A.

![](media/image5.wmf){width="6.16875in" height="4.5in"}

[]{#__RefHeading___Toc69708932 .anchor}Figure 2: EPD Baseline Review
Checklist Excerpt

### EPD Baseline Review Questionnaire

Team leads transmit baseline review questionnaires to contractors, to be
completed and returned with preliminary baseline documentation no later
than one week prior to onsite reviews. Review questionnaires provide
contractors and project teams a record of areas requiring additional
effort for meeting requirements as well as project strengths. Teams can
modify the questionnaire to respond to current (new) guidance or
site-specific conditions. The first page of the questionnaire is shown
in Figure 3; Appendix B contains the entire questionnaire.

![](media/image6.wmf){width="6.002083333333333in"
height="4.352777777777778in"}

[]{#__RefHeading___Toc69708933 .anchor}Figure 3: EPD Baseline Review
Questionnaire for Contractor (Page 1)

### EPD Baseline Review Comments and Findings Form

Reviewers document findings and observations on the Baseline Review
Comments and Findings form, which serves as the formal record of the
review (See Figure 4). Reviewers document findings and observations as
they are found in the pre-review or onsite review, clearly identifying
findings, observations, information sources, and recommendations for
addressing findings or observations using the following definitions:

-   Finding: A specific failure to meet requirements or established
    programmatic criteria. This must be documented on the review form,
    citing the specific requirement not met.

-   Observation: An opinion regarding a satisfactory or unsatisfactory
    condition that does not violate a specific requirement or criteria.
    This includes recognized professional practices that may have been
    observed, and which the DOE and contractors are not required to
    implement, but may benefit the overall project. Observations should
    include a recommendation for improvement.

Contractors respond to recommendations and provide timeframes for
implementation. DOE reviews the contractor responses and approaches to
issue resolution and ensures implementation before findings are closed.

![](media/image7.wmf){width="5.997222222222222in"
height="3.6902777777777778in"}

[]{#__RefHeading___Toc69708934 .anchor}Figure 4: Baseline Review
Comments and Findings Form

Reviewers provide findings and observations electronically and the team
lead assigns one member to consolidate findings and observations and
assemble them into a single file, including author's names or initials
and initial finding/observation numbers. Contributing authors should
review the combined findings to ensure correct documentation.

Baseline Review Comments and Findings form field descriptions are:

-   **Reviewer:** Name or initials of reviewer. When duplicate findings
    are consolidated, all reviewer names or initials should be included.

-   **Organization:** The reviewer's employer.

-   **Area of Concern:** Examples include technical scope, cost, project
    controls, schedule, and program management. May be more specific,
    such as "technical scope-well sampling analysis".

-   **Review Team Finding/Observation No.:** Consecutive numbers
    assigned to consolidated findings and observations. This number is
    different than the Reviewer Finding/Observation No. because:

    -   More than one reviewer could have the same finding, thereby
        requiring consolidation on one form. In this case, there will be
        more than one Reviewer Finding/Observation No.

    -   Consecutive numbering permits easier reference by team and
        contractor.

-   **Reviewer Finding/Observation No.:** Reviewer comments numbered
    consecutively and preceded by initials (e.g. VRW-01)

-   **Specific Baseline Reference**: The specific place in the baseline
    document, if applicable, that resulted in the comment - (e.g. Page
    3, Section X of the Project Execution Plan (PEP)).

-   **Finding:** Check if comment is a finding.

-   **Observation:** Check if comment is an observation.

-   **Finding/Observation:** One sentence concisely stating the comment
    followed by additional clarifying narrative. Offer recommendations
    for resolving the issues and provide additional information as
    needed for supporting the finding such as technical references, DOE
    orders or guidance, or regulatory requirements.

```{=html}
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```
-   **Contractor Response:** The contractor describes actions to resolve
    the finding or observation.

## Establish Review Schedule 

A review schedule is prepared by the team lead before the kickoff
meeting or developed with team input during the meeting. The schedule
may be a Gantt chart with logically tied activities or as simple as the
table below. Review schedule information should be imparted to the
contractor as soon as possible.

  ------------------------------------------------- ---------------------
  **Activity**                                      **Ideal Timing**

  Team lead and contractor agree to review          Four weeks before
  schedule.                                         onsite review.

  Team lead submits questionnaire and checklist to  Three weeks before
  contractor.                                       onsite review.

  Contractor returns questionnaire and submits      Two to three weeks
  (electronically or hard copy) preliminary set of  before review but no
  baseline documentation to review team.            later than one week
                                                    prior to onsite
                                                    review.

  Team reviews preliminary documentation at the     A few days to two
  Service Center or Energy Training Center. The     weeks before onsite
  team lead verbally provides the contractor        review.
  project manager any major issues, concerns, or    
  major findings prior to the onsite review.        

  Team lead provides an "in-brief" to the           First day of the
  contractor staff regarding agenda, schedule, and  onsite review
  focus areas.                                      

  The contractor project manager or designee        First day of the
  provides a project and baseline overview for the  onsite review
  review team.                                      

  The review team begins the formal review of       First or second day
  documentation.                                    of onsite review.

  Team lead presents daily findings and             Each day of onsite
  observations to contractor.                       review.

  Team provides final out brief and draft findings. Last day of onsite
                                                    review.

  Team submits final findings.                      One week after onsite
                                                    review.

  Contractor responds to findings.                  Two weeks after
                                                    onsite review.

  Contractor adjusts baseline per findings.         Three weeks after
                                                    onsite review.

  Team lead closes out baseline review.             Four weeks after
                                                    onsite review.
  ------------------------------------------------- ---------------------

[]{#__RefHeading___Toc69708935 .anchor}Table 1: Example Baseline Review
Schedule

## Review Preliminary Baseline Documentation

Much of the baseline documentation received prior to onsite reviews is
preliminary and incomplete. Reviewers must be aware that documents
received prior to onsite review may undergo revision and reconcile
deficiencies found during preliminary review with updated versions
provided at the onsite review. Staff interviews also result in
additional information and reports or plans received during the onsite
review. Review methods described in Section 5 are the same regardless of
when the baseline materials are received.

# Baseline Review

After review preparations are completed, the formal review begins.
Although each team lead has a slightly different baseline review style,
EPD teams successfully conduct reviews according to the schedule
described in Table 1. Aggressive schedules require review teams to
provide contractors daily findings, maintain communication throughout
the review, reducing surprises, and enabling contractors to respond to
comments before the formal findings package is completed.

How do I get started? This may be the most important question a new
reviewer asks. However, the answer is not straightforward because there
is no prescription for getting started. Reviewers should have a clear
understanding of the review focus before beginning the review (i.e.,
regulatory issues, costs, schedule, or earned value). Factors
influencing review focus and start-up are listed below. Inexperienced
team members should aggressively question more experienced team members.
. Team leads are responsible for ensuring access to all review materials
in a comfortable setting.

![](media/image3.wmf){width="1.6381889763779527in"
height="1.1937007874015748in"}

![](media/image3.wmf){width="1.6381889763779527in"
height="1.1937007874015748in"}Regardless of individual focus or
expertise, team members should read the high level documents such as the
PEP, PAD, Risk Management Plan (RMP), and work breakdown structure
(WBS). Additionally, baseline change proposals documenting changes since
the last approved baseline should be read by the entire team. These
documents provide excellent project overview.

## Contractor Baseline Documentation

Baseline reviews focus on baseline documentation provided by
contractors. As indicated in Section 3, some team leads request a
preliminary set of baseline documents at least one week ahead of the
actual onsite review, provided in hard copy or electronically. This
enables team members to understand the project and the baseline and/or
to provide preliminary findings to the contractor before the in-depth
onsite review. This provides contractors opportunity to make some
changes and adjustments before the team arrives for the onsite review.

Whether or not preliminary documentation is requested, contractors
provide the review team (depending on team size) at least three sets of
baseline documentation. This allows team members to review documents
simultaneously and saves time making copies. The team lead also requests
available electronic copies. Teams should be cognizant of reviewing
final documentation provided at the onsite review because material is
likely to be revised.

Baseline documentation must be a stand-alone and complete package,
permitting independent team assessment of technical scope, schedule, and
cost adequacy without additional information requested. Lack of required
documentation can prevent review teams from preparing independent cost
estimates or approving baselines, even if the missing information is
available upon request.

Baseline documentation components are listed below. Section 5 provides
review examples of some specific components.

![](media/image3.wmf){width="1.704724409448819in"
height="1.24251968503937in"}

## Other Project Documents

Other project documents include materials that reviewers may obtain or
request prior to or during onsite review for additional information and
clarification, such as:

**Background Project Information --** Useful to teams or team members
not familiar with the project or current project status or issues, e.g.,
Community Relation Plan or Stakeholder Plan, Health and Safety Plan, or
Site-wide Environmental Impact).

**IPABS-IS Data -** Data extraction from IPABS-IS provides additional
information on the project scope and status. The budgeted cost of work
scheduled (BCWS) can be compared to the proposed baseline. If reviewers
detect inconsistencies, they can be noted on the Baseline Review
Comments and Findings form.

**Previous Baseline Review Findings --** Copies of findings, if a
contractor's baseline was reviewed within a year or two of the current
review. The team should verify baseline adjustments correcting findings
not indicated as closed.

# Review Examples -- What to Look For

Example strategies for reviewing scheduling, regulatory, project
control, and cost estimating are presented below. These examples are not
intended to represent the only methods for reviewing baselines, but
demonstrate systematic approaches to different review components. Review
approaches are useful to inexperienced reviews and contractors for
understanding how baselines are evaluated.

## Schedule Review Example

One team member is assigned primary responsibility for reviewing the
schedule and providing the most scrutiny. However, other team members
review certain aspects of the schedule, such as regulatory or technical
milestones and project control elements such as methods for measuring
progress, collecting actuals, posting earned value, and application
consistency. Reviewer overlap provides a useful redundancy and produces
better schedule examination.

Schedule reviewers should have general knowledge of scheduling concepts,
such as logical relationships, total float, and critical path. However,
reviewers do not need to be knowledgeable in the contractor's scheduling
software. Schedule examples in this handbook were produced with
Primavera 3.1, but Microsoft Project and Primavera 3E reports are
similar in appearance.

### Schedule Baseline Review Preparation Activities

A cursory review of the schedule provided with baseline documentation,
including a Gantt chart (Figure 5) is the first step in reviewing a
schedule, The hard copy format or layout may not show total float or it
may be summarized to a non-useful level. Therefore, electronic copies or
other non-Gantt report layouts such as tabular reports (Figure 6) are
requested of contractors to enable a thorough review. Logic is much
easier to review from electronic schedule files than from paper copies.
If a contractor is unable to provide an electronic copy or a reviewer is
not familiar with the software, the contractor may be asked to navigate
through the schedule at the contractor's computer.

![](media/image8.wmf){width="5.544444444444444in"
height="3.326388888888889in"}

[]{#__RefHeading___Toc69708936 .anchor}Figure 5. Gantt Chart Example

![](media/image9.wmf){width="5.3in" height="3.5881944444444445in"}

[]{#__RefHeading___Toc69708937 .anchor}Figure 6. Report Example

### Schedule Baseline Review Activities

Typical schedule review items are described below. Reviewers determine
the review order.

+------------+---+--------------------------------------------------------+
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| 1          | T |                                                        |
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+------------+---+--------------------------------------------------------+
|   -------- |   |                                                        |
| ---------- |   |                                                        |
| ----- ---- |   |                                                        |
| -------- - |   |                                                        |
| ---------- |   |                                                        |
| ---------- |   |                                                        |
|   W        |   |                                                        |
| BS Level 7 |   |                                                        |
|            |   |                                                        |
|    FY03    |   |                                                        |
|       Some |   |                                                        |
|   (1.3.1   |   |                                                        |
| .3.1A.06.0 |   |                                                        |
| 8)      Ac |   |                                                        |
| tivities   |   |                                                        |
|  1.3.1.3.1 |   |                                                        |
| A.06.08.15 |   |                                                        |
|            |   |                                                        |
|            |   |                                                        |
|            |   |                                                        |
| XX         |   |                                                        |
|    activit |   |                                                        |
| ies are at |   |                                                        |
|            |   |                                                        |
|            |   |                                                        |
|            |   |                                                        |
|            |   |                                                        |
| level 7 an |   |                                                        |
| d some are |   |                                                        |
|            |   |                                                        |
|            |   |                                                        |
|            |   |                                                        |
|            |   |                                                        |
| at level 8 |   |                                                        |
|            |   |                                                        |
|   WBS Lev  |   |                                                        |
| el 8       |   |                                                        |
|        FY0 |   |                                                        |
| 4, FY05,   |   |                                                        |
|   (1.3.1.  |   |                                                        |
| 3.1A.06.08 |   |                                                        |
| .15)   FY0 |   |                                                        |
| 6          |   |                                                        |
|            |   |                                                        |
|            |   |                                                        |
|        Act |   |                                                        |
| ivities    |   |                                                        |
|            |   |                                                        |
|            |   |                                                        |
|        XX  |   |                                                        |
|            |   |                                                        |
|   -------- |   |                                                        |
| ---------- |   |                                                        |
| ----- ---- |   |                                                        |
| -------- - |   |                                                        |
| ---------- |   |                                                        |
| ---------- |   |                                                        |
+------------+---+--------------------------------------------------------+
| 2          |   | The following total float scenarios may indicate       |
| .  **Total |   | schedule problems:                                     |
|            |   |                                                        |
|    Float** |   |                                                        |
+------------+---+--------------------------------------------------------+
| a          |   | Positive float should not be very high (e.g., \>180    |
| .  **High, |   | days), depending on the schedule duration (a 10-year   |
|            |   | project could have higher values than a shorter        |
|   positive |   | schedule). Very high float indicates weak logic or     |
|     total  |   | activities without successors or predecessors. For     |
|            |   | instance, the following example indicates that         |
|    float** |   | scheduled completion for purchasing WIPP containers is |
|            |   | September 2005 and that the project end date will not  |
|            |   | slip if the activity is not completed until April      |
|            |   | 2008. This is probably not a true statement.           |
|            |   |                                                        |
|            |   |   ------------ --------------- ----------              |
|            |   | -- --------- ---------- --------- --------- ---------- |
|            |   |   **Activity   **Activity      **Orig                  |
|            |   | inal   **Early   **Early    **Total   **Late    **Late |
|            |   |   ID**         description**   duration                |
|            |   | **   start**   finish**   float**   start**   finish** |
|            |   |                                                        |
|            |   |   HR0402EE12   WIPP Canister   246                     |
|            |   |       01OCT04   30SEP05    **612**   05APR07   03APR08 |
|            |   |                Procurement                             |
|            |   |                                                        |
|            |   |   ------------ --------------- ----------              |
|            |   | -- --------- ---------- --------- --------- ---------- |
+------------+---+--------------------------------------------------------+
| b.         |   | Float is not usually negative. Negative float          |
| **Negative |   | indicates that the project end date cannot be met. The |
|     total  |   | following example shows an early finish date that is 3 |
|            |   | days later than the late finish date. This means that  |
|    float** |   | the project end date will slip by three days.          |
|            |   |                                                        |
|            |   |   ------------ --------------- ----------              |
|            |   | -- --------- ---------- --------- --------- ---------- |
|            |   |   **Activity   **Activity      **Orig                  |
|            |   | inal   **Early   **Early    **Total   **Late    **Late |
|            |   |   ID**         description**   duration                |
|            |   | **   start**   finish**   float**   start**   finish** |
|            |   |                                                        |
|            |   |   BD12302D11   Shipment and/or 25                      |
|            |   |       01SEP05   05OCT05    **-3**    29AUG05   30SEP05 |
|            |   |                disposal of                             |
|            |   |                                                        |
|            |   |                MLLW                                    |
|            |   |                                                        |
|            |   |   ------------ --------------- ----------              |
|            |   | -- --------- ---------- --------- --------- ---------- |
+------------+---+--------------------------------------------------------+
| c.  **Zero |   | Zero total float means that the activity is on the     |
|     total  |   | critical path and any slip to the activity will cause  |
|            |   | a corresponding slip to the project end date (See      |
|    float** |   | below). While it is acceptable to have zero float      |
|            |   | activities, it is not acceptable to have a large       |
|            |   | percentage of activities with zero float because it    |
|            |   | indicates a high probability of not finishing the      |
|            |   | project on time                                        |
+------------+---+--------------------------------------------------------+
| 3.         |   | Reviewers should address the following questions about |
| **Critical |   | critical path:                                         |
|     Path** |   |                                                        |
|            |   | 1.  Does a critical path exist?                        |
|            |   |                                                        |
|            |   | 2.  How was the critical path defined?                 |
|            |   |                                                        |
|            |   | 3.  Is there more than one critical path?              |
|            |   |                                                        |
|            |   | 4.  Is the critical path credible?                     |
|            |   |                                                        |
|            |   | Criteria defining the critical path should be          |
|            |   | documented in either the PEP or PAD and evident in the |
|            |   | hard copy or electronic copy of the schedule. Lack of  |
|            |   | a critical path is cause for a finding. Reviewers      |
|            |   | should be able to recognize one or more critical       |
|            |   | paths. It is legitimate to have more than one credible |
|            |   | critical path in the schedule.                         |
|            |   |                                                        |
|            |   | There are many ways to indicate critical paths on      |
|            |   | schedules, but the most common format view is a Gantt  |
|            |   | chart with red bars. The format does not define the    |
|            |   | critical path, however. Critical paths are defined by  |
|            |   | the longest schedule path or number of total float     |
|            |   | days.                                                  |
|            |   |                                                        |
|            |   | Critical path is closely related to total float. Total |
|            |   | float is one way of defining the critical path and     |
|            |   | should be analyzed in terms of whether or not          |
|            |   | activities with zero or very low total float should    |
|            |   | actually appear on the critical path. To determine if  |
|            |   | critical paths are credible, reviewers should ensure   |
|            |   | that level of effort work, which typically has 0 total |
|            |   | float, is not on the critical path. Level of effort    |
|            |   | activities should be filtered from the critical path   |
|            |   | using software features because slipping a level of    |
|            |   | effort activity by one day will not cause a day for    |
|            |   | day slip in the project end date.                      |
|            |   |                                                        |
|            |   | Discrete activities on the critical path should be     |
|            |   | analyzed for potential impact on the project end date. |
|            |   | Schedule logic should be re-evaluated if activities    |
|            |   | that do not impact the end date are on the critical    |
|            |   | path merely because they have zero days of total       |
|            |   | float. Conversely, logic should be reviewed if         |
|            |   | critical paths lack activities that would impact the   |
|            |   | project end date if delayed. Review findings can       |
|            |   | result from both scenarios.                            |
|            |   |                                                        |
|            |   | Reviewers should consider the percentage of the        |
|            |   | schedule on the critical path. If 30 percent or more   |
|            |   | of project activities appear on one or more critical   |
|            |   | paths, a schedule logic problem is indicated. If the   |
|            |   | logic is correct, it is likely that the project end    |
|            |   | date will slip.                                        |
+------------+---+--------------------------------------------------------+
| 4.         |   |                                                        |
|  **Logic** |   |                                                        |
+------------+---+--------------------------------------------------------+
| a.  **Work |   | Schedules should be reviewed for sound logic. That is, |
|            |   | work sequence should progress according to work plans  |
| Sequence** |   | (activity X must occur before activity Y). Reviewer    |
|            |   | should evaluate the quantity of work planned using     |
|            |   | basic finish to start relationships. Schedules with a  |
|            |   | majority of finish to start relationships and few      |
|            |   | others, such as start to start with some lag, may      |
|            |   | indicate much schedule contingency because most work   |
|            |   | is occurring serially and little in parallel.          |
+------------+---+--------------------------------------------------------+
| b.  **Open |   | Schedules should not be open-ended, which means that   |
|     Ends** |   | activities should have predecessors and successors     |
|            |   | (except, of course, the first and last activities in   |
|            |   | the schedule). Open-ended activities cause unusually   |
|            |   | high total float numbers and unexpected changes when   |
|            |   | schedules are updated. High total float numbers        |
|            |   | indicate high probability that activities are either   |
|            |   | linked incorrectly or do not have predecessors and     |
|            |   | successors.                                            |
+------------+---+--------------------------------------------------------+
| c.         |   | Schedule detail should be sufficient for capturing all |
|   **Detail |   | the work and resources. That is, activities should not |
|            |   | include numerous work types; they should be separately |
|    Level** |   | broken out. Two examples follow.                       |
|            |   |                                                        |
|            |   | +---------------------+----------------------------+   |
|            |   | | **Inadequate**      | **Adequate**               |   |
|            |   | +---------------------+----------------------------+   |
|            |   | | Characterize        | 1.  Develop                |   |
|            |   | | groundwater plume   |     characterization plan  |   |
|            |   | |                     |                            |   |
|            |   | |                     | 2.  Receive state approval |   |
|            |   | |                     |     of plan                |   |
|            |   | |                     |                            |   |
|            |   | |                     | 3.  Prepare drilling       |   |
|            |   | |                     |     subcontractor          |   |
|            |   | |                     |     documents              |   |
|            |   | |                     |                            |   |
|            |   | |                     | 4.  Provide oversight of   |   |
|            |   | |                     |     drilling subcontracts  |   |
|            |   | |                     |                            |   |
|            |   | |                     | 5.  Analyze                |   |
|            |   | |                     |     characterization data  |   |
|            |   | +---------------------+----------------------------+   |
|            |   | | Perform project     | 1.  Prepare quarterly      |   |
|            |   | | controls            |     performance reports    |   |
|            |   | |                     |                            |   |
|            |   | |                     | 2.  Conduct monthly        |   |
|            |   | |                     |     schedule updates       |   |
|            |   | |                     |                            |   |
|            |   | |                     | 3.  Update IPABS-IS        |   |
|            |   | |                     |     monthly                |   |
|            |   | +---------------------+----------------------------+   |
+------------+---+--------------------------------------------------------+
| 5.  **Mi   |   | Reviewers should ensure that regulatory, budget,       |
| lestones** |   | enforceable agreement, HQ monitored performance        |
|            |   | measures, and end-state milestones are included in the |
|            |   | schedule and TSDs and have consistent titles and       |
|            |   | dates.                                                 |
+------------+---+--------------------------------------------------------+
| 6.         |   |                                                        |
| **Resource |   |                                                        |
|            |   |                                                        |
|  Loading** |   |                                                        |
+------------+---+--------------------------------------------------------+
| > **a. Is  |   | Reviewers should confirm that activities are resource  |
| > the      |   | loaded. Labor and non-labor (e.g., equipment,          |
| > schedule |   | materials, subcontractor) costs must be included and   |
| > resource |   | clearly identified in lifecycle costs. Some            |
| >          |   | contractors, especially for smaller projects, load     |
|  loaded?** |   | labor by actual name and labor rate; others use        |
|            |   | generic labor categories. Generic labor categories     |
|            |   | (i.e., senior regulatory specialist) provide propriety |
|            |   | and flexibility for changing staff. The disadvantage   |
|            |   | is that actual costs may differ from the average labor |
|            |   | rates used. However, this tends to be insignificant on |
|            |   | larger projects because higher labor costs in one area |
|            |   | are balanced by lower labor costs in others. Either    |
|            |   | method is satisfactory as long as consistency is       |
|            |   | applied and project team members understand the        |
|            |   | system. Resources should include EM, NNSA, and GFSI    |
|            |   | resources.                                             |
+------------+---+--------------------------------------------------------+
| > **b.     |   | Contractors include yearly cost plans generated by     |
| > Yearly   |   | scheduling software. Cost plans should include entire  |
| > Cost     |   | project annual profiles and profiles of lower levels   |
| >          |   | of the WBS. If adequate level of detail is not         |
|  Profile** |   | included in baseline documentation, reviewers may      |
|            |   | request more of the contractor. Yearly profiles should |
|            |   | match annual levels in TSDs and other baseline         |
|            |   | documentation, such as the PEP and include both EM and |
|            |   | NNSA costs.                                            |
+------------+---+--------------------------------------------------------+
| > **c. Do  |   | Review team cost estimators usually determine          |
| > the      |   | plausibility of resources in the schedule (and         |
| >          |   | reflected in the TSDs). However, other team members    |
|  resources |   | reviewing schedules should peruse the resources,       |
| > make     |   | either in the software or through a software-generated |
| > sense?** |   | report, for obvious problems. Unusually high unit      |
|            |   | numbers (hours, for example), rates, or labor          |
|            |   | categories that do not seem relevant to associated     |
|            |   | activities indicate potential problems. Resource       |
|            |   | questions or issues should be discussed among team     |
|            |   | members, possibly resulting in findings or             |
|            |   | observations.                                          |
+------------+---+--------------------------------------------------------+
| 7.  **     |   | Reviewers are responsible for ensuring that            |
| Government |   | EPD-provided GFSI activities and milestones are        |
|            |   | integrated into lifecycle schedules. DOE is            |
|  Furnished |   | responsible for developing GFSI activities,            |
|            |   | milestones, and required hours for the activities, but |
|   Services |   | contractors must ensure that they are included in      |
|     and    |   | schedules and logically tied to contractor activities. |
|     Items  |   | Methods developed by DOE and contractors for           |
|            |   | determining GFSI activity status should be documented  |
|   (GFSI)** |   | in PCSDs. GFSI activities may be included in critical  |
|            |   | path or paths.                                         |
+------------+---+--------------------------------------------------------+

## Regulatory Review

Baselines must account for regulatory compliance requirements. Section
3.2.6 of the Manual states that project directors must "\[e\] ensure the
design, construction, environmental, safety, health, and quality efforts
performed by various contractors are in accordance with the contract,
public law, regulations, and Executive Orders."

Regulatory reviews are important during baseline reviews because
schedules can be adversely impacted if regulatory requirements are not
anticipated, budgeted for, and met. Typically, a technical member of the
review team is responsible for performing a regulatory review of the
scope, schedule, and budget.

### Regulatory Baseline Review Preparation Activities

Reviewers should request a list of regulations for which the project
routinely complies and verify that activities associated with compliance
are included in the TSDs, schedules, and budget. If a list is not
available, reviewers must determine probable regulations based on
project scope and check for adequate resources to ensure compliance.
Table 2 provides examples of scope associated with regulatory
requirements:

+-----------------------------------+-----------------------------------+
| **If the project activities       | **Requirements that may be        |
| include . . .**                   | applicable**                      |
+-----------------------------------+-----------------------------------+
| Abandoned waste sites             | -   Comprehensive Environmental   |
|                                   |     Response Compensation, and    |
|                                   |     Liability Act (CERCLA)        |
|                                   |                                   |
|                                   | ```{=html}                        |
|                                   | <!-- -->                          |
|                                   | ```                               |
|                                   | -   Superfund Amendments and      |
|                                   |     Reauthorization Act           |
+-----------------------------------+-----------------------------------+
| Air emissions                     | Clean Air Act, National Emission  |
|                                   | Standards for Hazardous Air       |
|                                   | Pollutants (NESHAPS)              |
+-----------------------------------+-----------------------------------+
| Cultural resources                | State Historic Preservation       |
|                                   | Office                            |
+-----------------------------------+-----------------------------------+
| Excavation, rock crushing, other  | -   Clean Air Act                 |
| earth work                        |                                   |
|                                   | -   Mine Safety and Health        |
|                                   |     Administration                |
+-----------------------------------+-----------------------------------+
| Federal or contractor staff in    | -   Occupational Safety and       |
| offices or in the field           |     Health Act                    |
|                                   |                                   |
|                                   | ```{=html}                        |
|                                   | <!-- -->                          |
|                                   | ```                               |
|                                   | -   Safe Drinking Water Act       |
+-----------------------------------+-----------------------------------+
| Fuel farms, fleet maintenance     | Oil Pollution Act of 1990 (OPA)   |
| areas                             |                                   |
+-----------------------------------+-----------------------------------+
| Hazardous wastes generated,       | -   Pollution Prevention Act      |
| stored, treated, or disposed as   |                                   |
| part of project activities        | ```{=html}                        |
|                                   | <!-- -->                          |
|                                   | ```                               |
|                                   | -   Resource Conservation and     |
|                                   |     Recovery Act                  |
+-----------------------------------+-----------------------------------+
| Known or suspect endangered,      | Endangered Species Act (ESA)      |
| threatened, or sensitive plant or |                                   |
| animal species or habitat         |                                   |
+-----------------------------------+-----------------------------------+
| Proposed new activities or        | National Environmental Policy Act |
| construction                      |                                   |
+-----------------------------------+-----------------------------------+
| Radioactive materials or waste    | -   DOE O 435.1, Chg 1 (Order,    |
|                                   |     08/28/2001, EM)               |
|                                   |                                   |
|                                   | ```{=html}                        |
|                                   | <!-- -->                          |
|                                   | ```                               |
|                                   | -   Radioactive Waste Management  |
+-----------------------------------+-----------------------------------+
| Stakeholder communities nearby or | Emergency Planning & Community    |
| who have expressed interest in    | Right-To-Know Act                 |
| project activities                |                                   |
+-----------------------------------+-----------------------------------+
| Stored chemicals, PCB             | Toxic Substances Control Act      |
| contamination, transformers       |                                   |
+-----------------------------------+-----------------------------------+
| Vegetated or infested areas       | Federal Insecticide, Fungicide    |
| requiring vector control          | and Rodenticide Act               |
+-----------------------------------+-----------------------------------+
| Water discharges, surface water,  | -   Clean Water Act               |
| or ground water                   |                                   |
|                                   | ```{=html}                        |
|                                   | <!-- -->                          |
|                                   | ```                               |
|                                   | -   Safe Drinking Water Act       |
+-----------------------------------+-----------------------------------+

[]{#__RefHeading___Toc69708938 .anchor}Table 2. Example Regulatory
Requirements

EM project regulatory issues range from very high-level DOE/Other
Federal Agency/State(s) negotiations to routine environmental
monitoring. Schedules, costs, and risks associated with regulatory
issues should be documented throughout the PEP, RMP, PAD, TSDs, and
schedule. Table 3 shows how regulatory issues can impact project
performance.

+---------+----------------+--------------+-------------+-------------+
|         | **Risk**       | **A          | **Cost**    | *           |
|         |                | ssumptions** |             | *Schedule** |
+---------+----------------+--------------+-------------+-------------+
| Hig     | The RMP should | Assumptions  | TSDs should | The         |
| h-level | present        | must be      | include     | schedule    |
| DO      | mitigation     | realistic.   | contractor  | should      |
| E/Other | measures if    | If           | and GFSI    | reflect a   |
| Federal | negotiations   | negotiations | resources   | date for    |
| Agency/ | do not favor   | have no      | for         | finalizing  |
| S       | project cost   | precedence   | planning    | n           |
| tate(s) | and schedule.  | or           | meetings,   | egotiations |
| negot   |                | high-level   | travel,     | as a        |
| iations |                | champion,    | presenting  | predecessor |
|         |                | assuming     | materials,  | for         |
|         |                | success of   | public      | activities  |
|         |                | negotiations | meetings,   | dependent   |
|         |                | may not be   | etc.        | on          |
|         |                | realistic.   |             | ne          |
|         |                |              |             | gotiations. |
+---------+----------------+--------------+-------------+-------------+
| Routine | Routine        | Usually it   | Typical     | Routine     |
| enviro  | groundwater,   | is assumed   | costs are:  | monitoring  |
| nmental | air            | that new     |             | is required |
| media   | monitoring,    | monitoring   | \- Training | by          |
| mon     | and personnel  | will not be  | monitoring  | en          |
| itoring | dosimetry is   | required and | staff       | vironmental |
|         | usually        | that         |             | regulation  |
|         | considered low | e            | \-          | or          |
|         | risk. However, | nvironmental | Personnel   | si          |
|         | mitigation     | media beyond | protective  | te-specific |
|         | measures for   | the project  | gear        | agreements  |
|         | unexpected     | boundary     |             | with        |
|         | offsite        | will not be  | \-          | oversight   |
|         | contamination  | breached     | Tra         | agencies.   |
|         | should be      |              | nsportation | The source  |
|         | discussed.     |              | to          | agreement   |
|         |                |              | monitoring  | documents   |
|         |                |              | stations    | should be   |
|         |                |              |             | compared to |
|         |                |              | \-          | the         |
|         |                |              | Monitoring  | baseline    |
|         |                |              | equipment,  | schedule.   |
|         |                |              | replacement |             |
|         |                |              | filters     |             |
|         |                |              |             |             |
|         |                |              | \-          |             |
|         |                |              | Monitor     |             |
|         |                |              | ing-derived |             |
|         |                |              | waste       |             |
|         |                |              | management  |             |
+---------+----------------+--------------+-------------+-------------+

[]{#__RefHeading___Toc69708939 .anchor}Table 3. Example Regulatory
Impacts

### Regulatory Baseline Review Activities

The following describes baseline documents and regulatory activities or
information they should contain or describe.

+-------------+--------------------------------------------------------+
| 1.  *       | -   Negotiations within DOE or with other Federal      |
| *Schedule** |     agencies or states and dates by which negotiations |
|             |     must be successfully completed. Activities that    |
|             |     cannot proceed without successful negotiations     |
|             |     should tie to dates.                               |
|             |                                                        |
|             | -   Reviewers should identify regulatory activities    |
|             |     and associated resources in the schedule. These    |
|             |     may include periodic air, water, and soil          |
|             |     monitoring; regulatory report preparation; and     |
|             |     permit applications and renewals. Regulatory       |
|             |     activities may be funded under other site-wide     |
|             |     programs, but review interviews should confirm     |
|             |     this.                                              |
|             |                                                        |
|             | -   Regulatory milestones. If the PEP, PAD, or TSDs    |
|             |     report permit application(s), the schedule should  |
|             |     include a milestone date for receiving the permit  |
|             |     and successor activities dependent on permit       |
|             |     receipt. If activities subsequent to permit        |
|             |     approval are important enough, risk and associated |
|             |     consequences of not receiving permit approval      |
|             |     should be documented in the RMP.                   |
+-------------+--------------------------------------------------------+
| 2.  **WBS   | Regulatory monitoring, high-level negotiations, and    |
|     and WBS | other environmental compliance activities (i.e.,       |
|     D       | monitoring, audits, and reporting).                    |
| ictionary** |                                                        |
+-------------+--------------------------------------------------------+
| 3.          | -   Project regulatory requirements or other documents |
|   **Project |     containing the information.                        |
|             |                                                        |
|   Execution | -   Outstanding or major regulatory issues, such as    |
|     Plan    |     lack of national capacity for disposal of certain  |
|     (PEP)** |     wastes, disposal moratoria, or transportation      |
|             |     limitations.                                       |
+-------------+--------------------------------------------------------+
| 4.          | Realistic programmatic regulatory assumptions. PADs    |
|   **Program | typically assume that project performance will not be  |
|             | impacted by new regulations. Regulatory reviewers      |
| Assumptions | should be aware of pending legislation or new          |
|             | regulations that contractors should acknowledge in     |
|    Document | PADs.                                                  |
|     (PAD)** |                                                        |
+-------------+--------------------------------------------------------+
| 5.  **Task  | Regulatory compliance may be distributed among TSDs or |
|     Scope   | contained in one TSD (e.g. regulatory compliance       |
|     D       | task). Either is acceptable, but reviewers must        |
| escriptions | understand how the project manages regulatory          |
|             | compliance.                                            |
|    (TSDs)** |                                                        |
+-------------+--------------------------------------------------------+
| 6.          | Project activities that must be completed for meeting  |
|  **Priority | regulatory deadlines.                                  |
|     List**  |                                                        |
+-------------+--------------------------------------------------------+
| 7.  **Risk  | Regulatory risk management (risk identification; risk  |
|             | impact analysis and quantification; risk mitigation    |
|  Management | strategies development; risk monitoring; and risk      |
|     Plan    | documentation) process. Specific review areas are:     |
|     (RMP)** |                                                        |
|             | -   General approach to regulatory requirements        |
|             |     identification and compliance.                     |
|             |                                                        |
|             | -   Ability to manage high-risk regulatory             |
|             |     negotiations.                                      |
|             |                                                        |
|             | -   Ability to avoid fines for lack of regulatory      |
|             |     compliance. Typically, an internal auditing        |
|             |     process reduces this risk.                         |
+-------------+--------------------------------------------------------+
| 8.          | Audits performed in one year for ensuring regulatory   |
| **Metrics** | requirements are met.                                  |
+-------------+--------------------------------------------------------+

Below is an example of what to look for when reviewing required air
monitoring.

The PEP scope states that excavation or drilling of potentially
contaminated soils will occur. Reviewers should identify scope,
schedule, and costs associated with site perimeter air monitoring
throughout project activities, including:

-   Reviewing the baseline documentation (PAD, PEP, TSDs) for specific
    references to air monitoring and description of frequency, number of
    monitoring stations, types of data collected, and to whom reports
    are sent. If these cannot be found, the reviewer should ask the
    project staff how these activities are accounted for.

-   Verify that the schedule and associated resources reflect the
    baseline documentation. If air monitoring is performed four times a
    year throughout project activities, the schedule should include four
    data collection events per year. Reviewers should verify that
    resources for collecting data from the air monitoring stations are
    adequate. For instance, is adequate field staff budgeted if air
    monitoring station data can be downloaded in half a day by driving
    the perimeter of the site? Determine that relevant regulatory
    activities are addressed in the baseline scope, schedule, and
    budget.

## Project Control Review

The same person usually conducts project schedule and project control
reviews of smaller projects since project control elements cross cut all
baseline documents. Processes and procedures are documented in the PCSD,
but inconsistencies in baseline documentation may indicate larger
problems.

### Project Control Baseline Review Preparation Activities

Reviewers should gather and organize baseline documentation listed in
Section 5.3.2. Make necessary additional copies of baseline
documentation to ensure availability to reviewers.

### Project Control Baseline Review Activities

Baseline elements and documentation should be reviewed for:

+-------------+--------------------------------------------------------+
| 1.  **WBS   | -   WBS number and title included to the lowest level. |
|     and WBS |                                                        |
|     D       | -   The WBS Dictionary **or** a thorough description   |
| ictionary** |     of the work in the TSDs.                           |
|             |                                                        |
|             | -   Consistent WBS title and numbers (PEP, PAD, TSDs,  |
|             |     cost plan, RMP, and schedule).                     |
+-------------+--------------------------------------------------------+
| 2.          | -   Thorough description of project scope, including   |
|   **Project |     work to be completed and accomplishments to date.  |
|             |                                                        |
|   Execution | -   Realistic project scope, including major issues    |
|     Plan    |     (regulatory, technical, cost, and schedule).       |
|     (PEP)** |                                                        |
|             | -   Total project cost (TPC) overview and project      |
|             |     level (minimally) yearly cost plan.                |
|             |                                                        |
|             | -   Metrics (see #10).                                 |
+-------------+--------------------------------------------------------+
| 3.  **Res   | Assurance that the cost account manager (CAM)          |
| ponsibility | understands his role (by interviewing staff).          |
|             |                                                        |
|  Assignment |                                                        |
|     Matrix  |                                                        |
|     (RAM)** |                                                        |
+-------------+--------------------------------------------------------+
| 4.          | Programmatic assumptions (technical, regulatory, cost, |
|   **Program | schedule). Note: WBS specific assumptions are included |
|             | in TSDs.                                               |
| Assumptions |                                                        |
|             |                                                        |
|    Document |                                                        |
|     (PAD)** |                                                        |
+-------------+--------------------------------------------------------+
| 5.  **Task  | -   Confirmation that the described scope is the most  |
|     Scope   |     likely case.                                       |
|     D       |                                                        |
| escriptions | -   Thorough scope description, schedule, and costs at |
|             |     WBS level 8 or 9, or mutually agreed upon level.   |
|    (TSDs**) |                                                        |
|             | -   Annualized cost profiles and TPC.                  |
|             |                                                        |
|             | -   Metrics (see #10), as appropriate.                 |
|             |                                                        |
|             | -   Specific risks (referencing RMP), assumptions, and |
|             |     issues.                                            |
|             |                                                        |
|             | -   Bases of Estimate (BOEs).                          |
|             |                                                        |
|             | -   Gantt charts.                                      |
+-------------+--------------------------------------------------------+
| 6.          | Contractor execution year work priorities identifying  |
|  **Priority | discrete units or groupings of activities with         |
|     List**  | associated funding requirements. Priority lists make   |
|             | scope adjustments easier if funding cuts or funding    |
|             | additions occur.                                       |
+-------------+--------------------------------------------------------+
| 7.  **Risk  | RMP (or PCSD) **risk management process** (risk        |
|             | identification; risk impact analysis and               |
|  Management | quantification; risk mitigation strategies             |
|     Plan    | development; risk monitoring; and risk documentation)  |
|     (RMP)** | descriptions, including:                               |
|             |                                                        |
|             | -   General approach to risk management.               |
|             |                                                        |
|             | -   Roles and responsibilities for performing risk     |
|             |     management functions.                              |
|             |                                                        |
|             | -   Risk identification process (i.e., team lead       |
|             |     quarterly or annual brainstorming or written input |
|             |     from team leads to project managers)               |
|             |                                                        |
|             | -   Risk impact analysis and quantification, including |
|             |     tools and methods used for analyzing individual    |
|             |     risks. Is expected value or Monte Carlo used?      |
|             |                                                        |
|             | -   Risk mitigation strategies, including development  |
|             |     processes and re-evaluation schedules. Are         |
|             |     strategy parameters targeted for different risk    |
|             |     types? Is the project team risk adverse?           |
|             |                                                        |
|             | -   Risk monitoring, including frequency.              |
|             |                                                        |
|             | -   Risk documentation, including format, frequency,   |
|             |     and distribution.                                  |
|             |                                                        |
|             | **Individual Identified Risks**                        |
|             |                                                        |
|             | -   Clear and thorough description.                    |
|             |                                                        |
|             | -   Annualized cost impacts and whether values are     |
|             |     escalated or not.                                  |
|             |                                                        |
|             | -   Schedule impacts, including impact to project end  |
|             |     date and regulatory milestones.                    |
|             |                                                        |
|             | -   Technical impacts                                  |
|             |                                                        |
|             | -   Date prepared.                                     |
|             |                                                        |
|             | -   Date updated.                                      |
|             |                                                        |
|             | -   Date resolved or mitigated.                        |
|             |                                                        |
|             | -   Methods used for mitigating risks, especially      |
|             |     moderate to high risks.                            |
|             |                                                        |
|             | -   Action plans for handling individual risks.        |
|             |                                                        |
|             | -   Preparer and responsible individual names and      |
|             |     titles, if different.                              |
+-------------+--------------------------------------------------------+
| 8.  **Cost  | -   Annual cost plan and history (total project cost   |
|     Plans** |     \[TPC\]).                                          |
|             |                                                        |
|             | -   Cost plan totals by WBS matching resource-loaded   |
|             |     schedules by year, TSDs, and PEP overall cost      |
|             |     plan.                                              |
|             |                                                        |
|             | -   Visibility of contingency in the cost plan, if     |
|             |     included in the TPC.                               |
+-------------+--------------------------------------------------------+
| 9.  **Co    | Contingency should be clearly identified on the yearly |
| ntingency** | cost plan if it is in the baseline TPC, either related |
|             | to identified risks or as a percentage of the          |
|             | baseline. Contingency development methodology should   |
|             | be included in the PCSD or PEP.                        |
+-------------+--------------------------------------------------------+
| 10.         | -   Documentation of metrics reporting and update      |
| **Metrics** |     processes (in the PCSD).                           |
|             |                                                        |
|             | -   Historical and annual projections in the PEP       |
|             |     (project level) and TSDs (level at which TSDs are  |
|             |     written).                                          |
|             |                                                        |
|             | -   Example metrics included in the PEP and TSDs are   |
|             |     annualized number of drums shipped to WIPP, number |
|             |     of dispositioned sealed sources, and number of     |
|             |     potential release sites submitted to the           |
|             |     regulators.                                        |
|             |                                                        |
|             | -   Metric reporting by contractors in IPABS-IS and    |
|             |     quarterly performance reports.                     |
+-------------+--------------------------------------------------------+
| 11.         | -   Reviewed by the project control person or the      |
|  **Overhead |     Service Center budget organization.                |
|     Rates** |                                                        |
|             | -   Accurate contractor application, since rates are   |
|             |     reviewed and validated by outside agencies.        |
|             |     Occasionally, contractors receive unanticipated    |
|             |     rate increases, which can cause significant        |
|             |     changes to yearly cost profiles.                   |
+-------------+--------------------------------------------------------+
| 12. *       | Rates used, correct application, and rate source       |
| *Escalation | (either Office of Management and Budget                |
|             | (OMB)-specified escalation rates or DOE-approved       |
|   Factors** | rates). Ensure that escalation is applied to each      |
|             | fiscal year estimates (excluding the execution year)   |
|             | to determine TPC.                                      |
+-------------+--------------------------------------------------------+
| 13. **      | Stand-alone acquisition plans are not necessary for    |
| Acquisition | mature EM projects if acquisition plan elements are    |
|     Plan or | included in existing baseline documentation, such as   |
|             | the PEP.                                               |
| Procurement |                                                        |
|     Plan**  |                                                        |
+-------------+--------------------------------------------------------+
| 14          | PCSD documentation of project controls implementation. |
| . **Project | Additionally, interview project control staff on       |
|     Control | current project control processes and new processes    |
|     System  | the staff plans to implement (and document in the      |
|             | PCSD). Copies of performance reports submitted to the  |
| Description | DOE should be requested to compare with methods        |
|             | described in the PCSD. Specific review elements        |
|    (PCSD)** | include:                                               |
|             |                                                        |
|             | -   Change control procedures                          |
|             |                                                        |
|             | -   Schedule updates-process and frequency             |
|             |                                                        |
|             | ```{=html}                                             |
|             | <!-- -->                                               |
|             | ```                                                    |
|             | -   Risk management process reporting frequency,       |
|             |     content and format, process, roles and             |
|             |     responsibilities (unless documented in the RMP,    |
|             |     item \# 7).                                        |
+-------------+--------------------------------------------------------+

## Cost Estimate Review

Cost estimate reviewers should have specific EM experience or be able to
work closely with technical team members. For example, a construction
estimator may know how to estimate well drilling but lack expertise
about analyte testing.

### Cost Estimate Review Preparation Activities 

+-------------+--------------------------------------------------------+
| 1.          | Become familiar with baseline documentation and        |
|   **Initial | organization and identify cost estimate sections.      |
|             | Prioritize the review criteria such as:                |
|    baseline |                                                        |
|             | -   Determining and reviewing high dollar subprojects  |
|   submittal |     comprising the majority of costs, following the    |
|             |     Pareto principal/definition that 20 percent of     |
|    top-down |     items account for 80 percent of costs.             |
|             |                                                        |
| familiarity | -   Determining and reviewing subprojects incurring a  |
|             |     majority of near-term costs (one to three years).  |
|    review** |                                                        |
|             | -   Determining and reviewing high visibility and      |
|             |     high-risk subproject cost and schedule impacts.    |
|             |                                                        |
|             | Selection criteria exceptions should be understood     |
|             | prior to selecting and beginning the cost estimate     |
|             | review process. For example:                           |
|             |                                                        |
|             | -   Some high dollar subprojects involve long term,    |
|             |     repetitive/level of effort (LOE) cost estimates    |
|             |     that may not warrant a focused review. Long-term   |
|             |     environmental stewardship (LTES) and many project  |
|             |     management or technical support subprojects        |
|             |     typically fall in this category.                   |
|             |                                                        |
|             | -   Projects with a TPC or near-term fiscal year cost  |
|             |     under an established threshold of ≈\$100K are      |
|             |     generally not reviewed in detail. However,         |
|             |     projects under the cost threshold sometimes have   |
|             |     high visibility or risk associated, thereby        |
|             |     justifying in-depth cost analysis.                 |
|             |                                                        |
|             | -   Some subprojects may be exempt from standard cost  |
|             |     reviews because they (1) received previous,        |
|             |     individual review because of high-risk status      |
|             |     or (2) are near completion and have specific       |
|             |     approvals for proceeding.                          |
+-------------+--------------------------------------------------------+
| 2.          | Verify that prior year cost estimate baseline review   |
|   **Compare | findings are addressed in the current baseline. New    |
|     the     | observations or findings should be generated for       |
|     summary | outstanding issues. Reference the prior year finding   |
|     level   | number and contractor commitment to address findings.  |
|     current |                                                        |
|             | -   "Before" (last approved baseline submittal) and    |
|    baseline |     "after" (proposed baseline) cost plans for current |
|             |     year, five year window, out-years, and total       |
|   submittal |     project at subproject and project levels should be |
|     to the  |     included in documentation, enabling reviewers to   |
|     prior   |     see summary level cost differences by comparing    |
|     year(s) |     cost plans. Review areas include: Significant      |
|             |     changes to subproject cost and schedules.          |
|  baseline** |                                                        |
|             | -   Subprojects added after the last baseline          |
|             |     approval.                                          |
|             |                                                        |
|             | -   Subprojects removed since the last approved        |
|             |     baseline.                                          |
|             |                                                        |
|             | -   Variance analyses, if submitted.                   |
|             |                                                        |
|             | -   BCP documentation for understanding subproject     |
|             |     changes.                                           |
|             |                                                        |
|             | -   Detailed backup information supporting baseline    |
|             |     changes.                                           |
+-------------+--------------------------------------------------------+
| 3.          | Ensure that cost estimates are prepared at the lowest  |
|   **Compare | level of detail commensurate with available scope and  |
|     the     | schedule information.                                  |
|     c       |                                                        |
| ontractor's | -   Note missing baseline cost sections, elements, or  |
|             |     components.                                        |
|    baseline |                                                        |
|     doc     | -   Note obvious deficiencies in estimate backup       |
| umenta-tion |     documentation, such as:                            |
|     to EPD  |                                                        |
|             |     -   Cost estimates not supported by an             |
|   submittal |         activity-based cost (ABC) estimating           |
|     r       |         methodology.                                   |
| equirements |                                                        |
|     (See    |     -   Estimates with undocumented, lump sum cost     |
|     Project |         allowances.                                    |
|     Control |                                                        |
|             | -   Check for appropriate cost estimate classification |
| Handbook)** |     (planning, preliminary, detailed, or government)   |
|             |     for tasks and subtasks.                            |
|             |                                                        |
|             | -   Check for appropriate cost estimating methodology  |
|             |     (e.g., LOE, parametric, bottoms-up, and estimating |
|             |     model)                                             |
|             |                                                        |
|             | ```{=html}                                             |
|             | <!-- -->                                               |
|             | ```                                                    |
|             | -   Note estimates prepared using untraceable,         |
|             |     'all-inclusive', composite costs rather than a     |
|             |     detailed cost component built from labor hours,    |
|             |     labor rates, materials, equipment usage, and       |
|             |     contractor mark-ups. For example, cost             |
|             |     constituents cannot be identified if a well        |
|             |     drilling estimate is simply shown as a lump sum    |
|             |     (drill 100 foot well @ \$10,000/ea. or drill 100   |
|             |     foot well @ \$100/ft.).                            |
+-------------+--------------------------------------------------------+
| 4.          | Pre-baseline review efforts enable reviewers to        |
| **Establish | understand the baseline composition and recognize      |
|     primary | strengths and weaknesses well enough to:               |
|             |                                                        |
|    sections | -   Prioritize TSDs requiring review (see Section      |
|     of the  |     5.4.1).                                            |
|             |                                                        |
|    baseline | -   Select candidate TSDs for independent check        |
|     on      |     estimates using parametric tools such as the RACER |
|     which   |     estimating model or a bottoms-up technique.        |
|     to      |                                                        |
|     focus   | -   Prepare first-cut parametric estimates for         |
|     the     |     determining basic TSD information deficiencies.    |
|     cost    |     Reviewing initial parametric estimate(s) with      |
|             |     other team members may result in a clearer         |
|   review.** |     understanding and/or provide more comprehensive    |
|             |     questions for the contractor.                      |
|             |                                                        |
|             | -   Understand the systematic baseline cost components |
|             |     used in subproject estimates and determine         |
|             |     relative importance for reviewing. The following   |
|             |     are examples of baseline components that affect    |
|             |     baseline cost estimates:                           |
|             |                                                        |
|             |     -   Resource tables (provide unit costs and cost   |
|             |         allowances for quantity survey application)    |
|             |                                                        |
|             |     -   Escalation rates (including application        |
|             |         method)                                        |
|             |                                                        |
|             |     -   Indirect cost components (e.g., labor burden,  |
|             |         G&A, and taxes) and application method         |
|             |                                                        |
|             | -   Maximize efficiency by allocating review time      |
|             |     according to the established priorities.           |
|             |                                                        |
|             | ```{=html}                                             |
|             | <!-- -->                                               |
|             | ```                                                    |
|             | -   Establish a preliminary plan for completing the    |
|             |     review.                                            |
+-------------+--------------------------------------------------------+
| 5.          | Initial observations, questions, and requests for      |
|   **Prepare | additional documentation and supporting documentation  |
|     an      | may be provided to the contractor before the onsite    |
|     initial | review, requesting:                                    |
|     list of |                                                        |
|     o       | -   Response to initial pre-baseline review            |
| bservations |     observations and questions.                        |
|     and     |                                                        |
|             | -   Deficient or missing baseline documentation.       |
| questions** |                                                        |
|             | -   Specific sub-project scope/schedule information    |
|             |     necessary for preparing parametric check estimates |
|             |     included in TSDs. For example, design parameters   |
|             |     such as well depth, diameter, and material         |
|             |     specifications, must be known to estimate sampling |
|             |     well costs. First-cut parametric estimates can be  |
|             |     provided to contractors for clarifying potential   |
|             |     TSD work scope deficiencies.                       |
|             |                                                        |
|             | ```{=html}                                             |
|             | <!-- -->                                               |
|             | ```                                                    |
|             | -   Scheduled interviews with appropriate estimating   |
|             |     points-of contact through the team lead.           |
+-------------+--------------------------------------------------------+

### Cost Estimate Baseline Review Activities

Contractors should present well-organized summary estimate results in
baseline documentation. References must be clearly annotated and
described in TSDs because estimator notes, quantity survey developments,
vendor quotes, and sketches are seldom included in baseline
documentation. Complete and concise references permit reviewers to
request backup during the onsite review. Regardless of baseline
information organization, cost estimates must meet the following minimum
criteria:

-   **Traceability.** Documents should flow in a bottoms-up and top down
    manner. TSDs must provide detailed references, WBS assignments,
    resource code assignments, and estimate summary roll-ups for guiding
    the reviewer through the document. Baseline reviews have been
    postponed because reviewers were unable to trace cost estimates to
    TSD detailed work statements or because TSDs were written at too
    high a level and lacked detailed references and attachments.

-   **Accuracy.** Estimate items such as quantities, unit costs,
    contractor markups, and escalation are subject to review for
    application and extension accuracy. Scope and schedule information
    are cross-walked to estimates, ensuring accuracy. For example, if
    PCB contamination is indicated as a concern in a TSD, the estimate
    must include PCB sample analysis and remedial action activities.
    Specific site closure milestones or activity dates should be
    consistent in TSDs and reflect the same date and escalated costs.

-   **Consistency.** Estimate and schedule components such as unit
    costs, activity durations, and methods of accomplishment must be
    consistently applied to baseline elements.

-   **Completeness.** Project cost projections must include all work
    scope. Reviewers should ask comprehensive questions to ensure
    estimate completeness. In-depth questions can result in more
    cost-effective alternatives.

-   **Reasonableness.** Determining reasonableness is often subjective.
    The contractor's best defense is providing objective baseline
    documentation. References to supporting technical documents,
    published databases, actual historical backup, other contractors'
    information, and lessons learned, are necessary. A finding should be
    generated if this information is not available. The contractor
    should also avoid statements of 'expert opinion' and 'historical
    knowledge\' unless well documented and justified.

+--------------+-------------------------------------------------------+
| 1.  **Follow | Cost estimators should review contractor responses    |
|     up on    | and additional information provided before the onsite |
|              | review.                                               |
| pre-baseline |                                                       |
|     review   |                                                       |
|     action   |                                                       |
|     item     |                                                       |
|     list and |                                                       |
|              |                                                       |
|  information |                                                       |
|              |                                                       |
|  requests.** |                                                       |
+--------------+-------------------------------------------------------+
| 2            | Site tours, preferably conducted by field personnel   |
| .  **Request | and subject matter experts at the beginning of onsite |
|     site     | reviews, provide reviewers a better understanding of  |
|     tour.**  | site conditions, resulting in more informed review    |
|              | comments.                                             |
+--------------+-------------------------------------------------------+
| 3.  **Review | Baseline cost estimate reviews usually focus on       |
|              | contractor estimating processes ensuring systematic   |
|   contractor | applications or on specific subproject estimate       |
|              | reviews. Contractor cost estimating process reviews   |
|   estimating | should be conducted before performing specific check  |
|              | estimates, including:                                 |
| processes.** |                                                       |
|              | -   Reviewing processes for ensuring cost estimates   |
|              |     are developed consistently and correctly,         |
|              |     including reviewing labor rate development,       |
|              |     material and equipment unit cost sources, project |
|              |     mark-ups, escalation, and contingency. Reviewing  |
|              |     processes often reveals inadvertent cost          |
|              |     component double counting or omissions with       |
|              |     potentially high cost impacts.                    |
|              |                                                       |
|              | > Problems often occur when cost component details    |
|              | > are not well developed, documented, or understood   |
|              | > by contractors preparing estimates. For example     |
|              | > contractors that develop and apply unit labor       |
|              | > \[wage rate\] costs and mark-ups (labor fringe      |
|              | > and/or burdens, overhead and profit, taxes,         |
|              | > equipment usage, general requirements, and          |
|              | > productivity adjustments) without fully             |
|              | > understanding all the components risk duplicating   |
|              | > or excluding cost items (e.g., OH&P costs or        |
|              | > productivity allowances).                           |
|              |                                                       |
|              | -   Baseline cost estimating processes must be        |
|              |     presented clearly and concisely and demonstrate   |
|              |     traceability for reviewers to verify consistency  |
|              |     and accuracy. Reviewers can recommend estimating  |
|              |     process improvements rather than accepting        |
|              |     contractor claims that rates are fully burdened   |
|              |     and audited.                                      |
|              |                                                       |
|              |     -   Verifying that cost estimates were prepared   |
|              |         using a consolidated resource table. A        |
|              |         consolidated resource table is a common       |
|              |         database of unit costs used for estimating    |
|              |         baseline subprojects. Resource database       |
|              |         details should be examined for understanding  |
|              |         component costs.                              |
|              |                                                       |
|              |     -   Determining direct cost (materials, labor and |
|              |         equipment) and indirect cost (overhead,       |
|              |         profit, taxes, and corporate burdens)         |
|              |         definitions and application are clear.        |
|              |         Reviewers determine the unit cost             |
|              |         (program/project, design, and inspection      |
|              |         activities) components and the application    |
|              |         method (percent allowances or specific        |
|              |         estimates).                                   |
+--------------+-------------------------------------------------------+
| 4            | Reviewers select specific subproject(s) and prepare   |
| .  **Prepare | independent check estimates for comparison. Check     |
|     check    | estimates are prepared using software models such as  |
|     estimate | RACER, a standard bottoms-up estimating technique, or |
|     co       | various types of estimating analogies using           |
| mparisons.** | historical or other parametric estimating data.       |
|              | Specific project selection is primarily based on      |
|              | whether or not the TSD contains sufficient            |
|              | information. However, cost reviewers may not know if  |
|              | information is complete until the check estimate      |
|              | commences. If information is lacking, reviewers may   |
|              | generate a finding, make assumptions regarding the    |
|              | missing information for completing the check          |
|              | estimate, or request additional information from the  |
|              | contractor. Incomplete definitions and insufficient   |
|              | data are barriers to performing quality check         |
|              | estimates.                                            |
+--------------+-------------------------------------------------------+
| a.  **       | Reviewers preparing comparable estimates often        |
| Insufficient | encounter insufficient TSD quantitative scope         |
|              | definition, activity descriptions, or design detail.  |
|    Details** | Insufficient baseline documentation results in        |
|              | reviewers (1) excluding scope; (2) making unsupported |
|              | (best guess) scope assumptions/exclusions; or (3)     |
|              | spending additional time and effort with contractor   |
|              | personnel to obtain sufficient details for preparing  |
|              | or modifying check estimates.                         |
+--------------+-------------------------------------------------------+
| b.  **Data   | Reviewers may encounter work scope data gaps or       |
|     Gaps or  | overlaps between work phases. Primary generic         |
|              | environmental restoration subproject phases are:      |
|   Overlaps** |                                                       |
|              | -   Assessment/investigation                          |
|              |                                                       |
|              | -   Engineering and design                            |
|              |                                                       |
|              | -   Construction                                      |
|              |                                                       |
|              | -   Operation and maintenance                         |
|              |                                                       |
|              | Primary subproject phase estimates must reflect       |
|              | complete and appropriate work scope activities,       |
|              | including defined scope boundaries governing start    |
|              | and completion. Estimates must also identify parties  |
|              | responsible for activities (e.g., contractor vs.      |
|              | subcontractors vs. GFSI).                             |
|              |                                                       |
|              | Reviewers should ensure defined and coordinated       |
|              | primary activity estimates are included, avoiding     |
|              | duplicative scope. For example, program management    |
|              | costs can easily be overstated if applied to primary  |
|              | elements and included in a separate program           |
|              | management TSD.                                       |
+--------------+-------------------------------------------------------+
| a.  **Co     | TSDs may lack comprehensive subtask scope lists       |
| mpre-hensive | because of simple oversight or the mistaken           |
|     Scope    | assumption that other TSDs cover a related work       |
|     List**   | scope.                                                |
|              |                                                       |
|              | For example, a description of site preparation and    |
|              | well drilling activities may reference a sample       |
|              | analysis plan, but not specifically include it in the |
|              | work scope description, resulting in excluding the    |
|              | sampling analysis costs. The check estimate could     |
|              | include both well drilling and sample analysis costs  |
|              | because of imprecise TSD scope statements. Estimating |
|              | comparisons prevent this problem. Reviewers should    |
|              | ensure that estimates include all project scope,      |
|              | including mobilization; site preparation; drilling    |
|              | and completing the well; installing sample analysis   |
|              | equipment and appurtenances; installing               |
|              | instrumentation and controls; installing fencing and  |
|              | security; and demobilization.                         |
+--------------+-------------------------------------------------------+
| b.  **       | Specific estimate assumptions and exclusions are      |
| Assump-tions | often included only at the TSD programmatic level.    |
|     and      |                                                       |
|              | For example, a TSD state may that nationally          |
| Exclusions** | recognized DOE/Laboratory testing standards are       |
|              | assumed, but fail to list contractor specific         |
|              | assumptions allowing a stringent quality confirmation |
|              | method. In this instance, assumed methodology         |
|              | significantly increases unit costs over a standard    |
|              | sample analysis technique. Reviewers should recognize |
|              | that sample analysis costs are too high by using      |
|              | customary unit costs for pricing the check estimate.  |
+--------------+-------------------------------------------------------+
| c.  **Cost   | TSDs may not provide sufficient cost database         |
|     Database | descriptions or references detailing the estimate     |
|     Des      | pricing cost components. Reviewers must be convinced  |
| crip-tions** | that using similar database costs, check estimates    |
|              | are equivalent in structure and composition, ensuring |
|              | appropriate comparisons.                              |
+--------------+-------------------------------------------------------+
| d.  **Direct | Reviewers can elect to prepare check estimates        |
|     vs.      | against only the direct cost portion of TSD           |
|     Indirect | estimates. This is necessary when indirect costs are  |
|     Costs**  | discernable from direct costs in the baseline         |
|              | estimate, but not specifically defined. The situation |
|              | occurs when the baseline estimate includes indirect   |
|              | costs as a percentage multiplier allowance of the     |
|              | direct costs.                                         |
+--------------+-------------------------------------------------------+
| e.  **Co     | Cost or schedule contingencies must be specifically   |
| ntin-gency** | identified in baseline estimates. Reviewers should    |
|              | note contingency allowances that are potentially      |
|              | buried in estimate details. For example, if a         |
|              | preliminary remedial design indicates four sampling   |
|              | wells are necessary for characterizing a site but     |
|              | five wells are included in the estimated to ensure a  |
|              | sufficient budget, the cost of the fifth well is      |
|              | considered contingency.                               |
+--------------+-------------------------------------------------------+
|              | -   **General Contingency.** The American Association |
|              |     of Cost Engineers defines contingency as "\[a\]   |
|              |     specific provision for unforeseeable elements of  |
|              |     cost within the defined project scope.            |
|              |     \[Contingency is\] particularly important where   |
|              |     previous experience relating estimates and actual |
|              |     costs has shown that unforeseeable events, which  |
|              |     will increase costs, are likely to occur." DOE    |
|              |     has elected to narrow the scope of this           |
|              |     definition, defining contingency in the DOE Cost  |
|              |     Estimating Guide (DOE G 430.1-1) as "costs that   |
|              |     may result from incomplete design, unforeseen and |
|              |     unpredictable conditions, or uncertainties within |
|              |     the defined project scope. The amount of the      |
|              |     contingency will depend on the status of design,  |
|              |     procurement, and construction and the complexity  |
|              |     and uncertainties of the component parts of the   |
|              |     project. Contingency is not to be used to avoid   |
|              |     making an accurate assessment of expected cost."  |
|              |                                                       |
|              | > It is not DOE practice to set aside contingency for |
|              | > major schedule changes or unknown design factors,   |
|              | > unanticipated regulatory standards or changes,      |
|              | > incomplete or additions to project scope            |
|              | > definition, force majeure situations, or            |
|              | > congressional budget cuts. Project and operations   |
|              | > estimates always contain contingency. Estimators    |
|              | > should be aware that contingency is an integral     |
|              | > part of estimates.                                  |
+--------------+-------------------------------------------------------+
|              | -   **Buried Contingencies**. DOE G 430.1-1 also      |
|              |     states "Some estimators have sought to hide       |
|              |     contingency estimates in order to protect the     |
|              |     project so that the final project does not go     |
|              |     over budget because the contingency has been      |
|              |     removed by outside sources. This is               |
|              |     affectionately known as buried contingency. All   |
|              |     internal and external estimators should refrain   |
|              |     from burying extra contingency allowances within  |
|              |     the estimate. A culture of honesty should be      |
|              |     promoted so that it is not necessary to bury      |
|              |     contingency. In addition, estimators should be    |
|              |     aware that estimate reviewers will identify       |
|              |     buried contingency. The estimate reviewer is      |
|              |     obligated to remove buried contingency."          |
+--------------+-------------------------------------------------------+
| 5            | Using the Baseline Review Comment and Findings form,  |
| .  **Prepare | cost reviewers prepare and submit cost estimate       |
|     draft    | findings and observations to the team lead for        |
|              | consolidation and review.                             |
|    findings, |                                                       |
|     o        |                                                       |
| bservations, |                                                       |
|     and      |                                                       |
|     recomm   |                                                       |
| enda-tions** |                                                       |
+--------------+-------------------------------------------------------+

[]{#__RefHeading___Toc69708927 .anchor}Appendix A: EPD Baseline Review
Checklist

<table style="width:100%;">
<colgroup>
<col style="width: 42%" />
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<col style="width: 0%" />
<col style="width: 0%" />
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<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 5%" />
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<col style="width: 0%" />
<col style="width: 38%" />
</colgroup>
<thead>
<tr class="header">
<th colspan="2">Review Item</th>
<th colspan="5">Yes?</th>
<th colspan="5">No?</th>
<th colspan="5">N/A?</th>
<th colspan="4">Notes</th>
</tr>
</thead>
<tbody>
<tr class="odd">
<td><em><strong>General Baseline Documentation</strong></em></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="even">
<td><ol type="1">
<li><p>Is the Baseline Change Proposal (BCP) included? (See BCP
Checklist).</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="odd">
<td><ol start="2" type="1">
<li><p>Is a cover letter provided with appropriate
signature(s)?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="even">
<td><ol start="3" type="1">
<li><p>Was a Contents section prepared?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="odd">
<td><ol start="4" type="1">
<li><p>Does the baseline documentation include the WBS?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="even">
<td><ol start="5" type="1">
<li><p>Does the baseline documentation include the WBS Dictionary? If
all WBS elements are fully described in TSDs or ECWs, then Data
Dictionary not necessary.</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="odd">
<td><ol start="6" type="1">
<li><p>Is an organization chart provided depicting the organizations
working on this project, as well as the supervisor name(s)?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="even">
<td><ol start="7" type="1">
<li><p>Does the baseline documentation include a Responsibility
Assignment Matrix (RAM)?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="odd">
<td><ol start="8" type="1">
<li><p>Is the number of full-time equivalents (FTEs) listed by year with
an overall total?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="even">
<td><ol start="9" type="1">
<li><p>Are FTEs differentiated between EM and DP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="odd">
<td><ol start="10" type="1">
<li><p>Has the source of the escalation rates used been
identified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="even">
<td><ol start="11" type="1">
<li><p>Are escalation rates properly applied?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="odd">
<td><ol start="12" type="1">
<li><p>Does the baseline documentation include the Programmatic
Assumptions Document (PAD)?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="even">
<td><ol start="13" type="1">
<li><p>Does the baseline documentation include the Project Execution
Plan (PEP)? Is the overall project scope fully described in the
PEP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
</tr>
<tr class="odd">
<td colspan="3"><ol start="14" type="1">
<li><p>Do the TSDs or ECWs address the entire lifecycle scope, cost, and
schedule?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td colspan="4"><ol start="15" type="1">
<li><p>Are the TSDs or ECWs signed and dated by the responsible control
account manager or project team leader, not merely signed by the project
manager?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="16" type="1">
<li><p>Are Gantt charts included for each TSD or ECW?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="17" type="1">
<li><p>Are task-specific assumptions included in each TSD or
ECW?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="18" type="1">
<li><p>Are TSD/ECW specific risks included in each ECW?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="19" type="1">
<li><p>Does the site have a cost estimating procedure? Where is it
described? ___________________</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="20" type="1">
<li><p>If the site has a cost estimating procedure, was it used in
preparing the baseline?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="21" type="1">
<li><p>Are critical milestones and performance measures included in each
TSD/ECW, as appropriate?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="22" type="1">
<li><p>Does the baseline documentation include a full set of TSDs or
ECWs covering all scope?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="23" type="1">
<li><p>Does the baseline documentation include the Priority
List?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="24" type="1">
<li><p>Does the baseline documentation include the lifecycle, resource
loaded schedule?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="25" type="1">
<li><p>Does the baseline documentation include the lifecycle cost plans
(these are really BCWS plans), to include history, out-years, and the
total?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="26" type="1">
<li><p>Does the baseline documentation include annualized metrics, such
as drums shipped by year to WIPP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="27" type="1">
<li><p>Does the baseline documentation include overhead rates and other
resource rates?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="28" type="1">
<li><p>Does the baseline documentation include the Risk Management
Plan?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="29" type="1">
<li><p>Does the baseline documentation include the Project Control
System Description?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="30" type="1">
<li><p>Does the baseline documentation include the Acquisition Plan or
Procurement Plan?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="31" type="1">
<li><p>Is there traceability between all baseline elements?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="32" type="1">
<li><p>Is a carryover analysis section prepared?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="33" type="1">
<li><p>Does it appear as if THE SITE performed a quality check of the
baseline submittal?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><em><strong>Scope</strong></em></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol type="1">
<li><p>Is the TSD or ECW technical scope described in sufficient detail
to support the cost estimate and provide an understanding of the work to
be accomplished to an outside reviewer?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="2" type="1">
<li><p>Does the scope describe waste operations by waste type?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="3" type="1">
<li><p>Are any current and planned construction projects included in
scope descriptions and cost sharing ratios between EM and DP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="4" type="1">
<li><p>Has the work scope been planned to reflect the way the work is
actually performed and is it logical and consistent?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="5" type="1">
<li><p>Is the work scope traceable to prior program work when historical
data is being used as a basis?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="6" type="1">
<li><p>Is the work scope traceable to the WBS and correct?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="7" type="1">
<li><p>Is the work scope traceable to the schedule and cost
estimates?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="8" type="1">
<li><p>Does the PAD, project level TSD/ECW, or Risk Management Plan
(RMP) include the appropriate level of risks?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="9" type="1">
<li><p>Does the PAD or project level TSD/ECW include the appropriate
level of assumptions?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="10" type="1">
<li><p>Are the TSD/ECW assumptions specific to the TSD/ECW or do they
apply to the entire project?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="11" type="1">
<li><p>Are the risks specific to the TSD/ECW or do they apply to the
entire project?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="12" type="1">
<li><p>Have waste generator program personnel been consulted to
determine the impact of the projected workload on the site waste
management program?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="13" type="1">
<li><p>Have DP personnel reviewed the baseline estimate and cosigned on
the ECWs?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="14" type="1">
<li><p>Are the nature, rate, and extent of projected waste generating
and processing identified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="15" type="1">
<li><p>Have specific requirements for regulatory compliance been
identified (e.g., permits)?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="16" type="1">
<li><p>Have interfaces with external regulatory agencies been
identified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="17" type="1">
<li><p>Have interfaces with external personnel or organizations to the
WM Program but internal to the site been identified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="18" type="1">
<li><p>Is the scope of work traceable to the regulatory
driver(s)?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><em><strong>Schedule</strong></em></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol type="1">
<li><p>Have standard scheduling techniques been used (e.g. critical path
method, resource leveling)?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="2" type="1">
<li><p>Have task dependencies been identified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="3" type="1">
<li><p>Is there clear schedule logic connecting deliverables to
supporting tasks?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="4" type="1">
<li><p>Is the sequence of activities clear?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="5" type="1">
<li><p>Is the sequence of activities logical?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="6" type="1">
<li><p>Have all deliverables identified in the TSDs or ECWs been
included and vice versa?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="7" type="1">
<li><p>Are deliverables identified as milestones on the schedules (Gantt
charts)?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="8" type="1">
<li><p>Are activity durations for deliverables and other activities
reasonable?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="9" type="1">
<li><p>Does the schedule include time for safety analysis for
environmental assessment approvals?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="10" type="1">
<li><p>Have all DOE Headquarters, NNSA, site office, and site milestones
been identified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="11" type="1">
<li><p>Is the schedule consistent with regulatory milestone due
dates?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="12" type="1">
<li><p>Is the schedule traceable to the WBS?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="13" type="1">
<li><p>Does the schedule contain the same resource names and
descriptions and allocations used in the cost estimate and described in
the TSDs or ECWs?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="14" type="1">
<li><p>Does the schedule interface with other site activity
schedules?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><em><strong>Risk Management</strong></em></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol type="1">
<li><p>Does the RMP include the project’s general approach to risk
management?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="2" type="1">
<li><p>Are the roles and responsibilities of project personnel
performing risk management functions described in the RMP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="3" type="1">
<li><p>Is the frequency of risk evaluations and reporting included in
the RMP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="4" type="1">
<li><p>Are the methods used to analyze individual risks been included in
the RMP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="5" type="1">
<li><p>Have risks been identified and included in the RMP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="6" type="1">
<li><p>Have the identified risks been rated as to high, medium, and
low?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="7" type="1">
<li><p>Have cost, schedule, and technical impacts of individual risks
been quantified and included in the RMP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="8" type="1">
<li><p>Have methods for mitigating risks, especially moderate to high
risks, been included in the RMP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="9" type="1">
<li><p>Have action plans for handling individual risks been included in
the RMP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><em><strong>Cost Estimate</strong></em></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol type="1">
<li><p>Was a cost estimator utilized for baseline preparation?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="2" type="1">
<li><p>Is there a correlation between the waste management estimating
process and the cost estimating process used in the construction and
facility engineering divisions?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="3" type="1">
<li><p>Is the cost estimate traceable to the work scope?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="4" type="1">
<li><p>Is the cost estimate traceable to the lowest level of the
WBS?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="5" type="1">
<li><p>Is the cost estimate reasonable based on the work scope?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="6" type="1">
<li><p>Are labor hours, material, equipment, and subcontracts each
separately identified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="7" type="1">
<li><p>Have cost exclusions and assumptions been identified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="8" type="1">
<li><p>Have costs imposed by circumstances facing the project been
identified and documented (i.e., funding constraints, changing
regulatory requirements, directed changes, or imposed
priorities)?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="9" type="1">
<li><p>Are any resource constraints listed along with their effects on
the work scope?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="10" type="1">
<li><p>Are needed resources external to the waste management group
identified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="11" type="1">
<li><p>Has the cost estimating software been identified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="12" type="1">
<li><p>Have data been verified?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="13" type="1">
<li><p>Are backup estimates for all subcontracts greater than $100K
available?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="14" type="1">
<li><p>Do the backup estimates for subcontracts greater than $100K
delineate the estimated cost for material, labor, and
equipment?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><em><strong>Budget</strong></em></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol type="1">
<li><p>Do the annual baseline cost estimates crosswalk to the funding
targets for the current year and two years out?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="2" type="1">
<li><p>Does the baseline cost estimate reflect the most current
AFP?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"><ol start="3" type="1">
<li><p>Are resource rates correct?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="5"><ol start="4" type="1">
<li><p>Are overhead rates properly applied?</p></li>
</ol></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td colspan="5"></td>
<td></td>
</tr>
</tbody>
</table>

Reviewers will receive checklists for individual TSDs or ECWs covering
the same TSD/ECW information in the checklist above.

[]{#__RefHeading___Toc69708928 .anchor}Appendix B: Baseline Review
Questionaire

  ---------------------------------------------------------------------------------------------------------------------------
  **QUESTIONS**                                                **RESPONSES**                      
  --------------- --------------- ---------------------------- --------------- -------- --------- ---------------------------
                                                               **Yes**         **No**   **N/A**   **Answer/Explanation**

  **I -**         **PROJECT                                                                       
                  MANAGEMENT:**                                                                   

                  1 -             Does the project conform to                                     
                                  DOE O 413.3?                                                    

                  2 -             Who is the Program                                              
                                  Secretarial Officer?                                            
                                  (Name/org./phone)                                               

                  3 -             Who is the Project                                              
                                  Acquisition Executive?                                          
                                  (Name/org./phone)                                               

                  4 -             Who is the Project Director?                                    
                                  (Name/org./phone)                                               

                  5 -             Who is the Federal Project                                      
                                  Manager? (Name/org./phone)                                      

                  6 -             Who is the Contractor                                           
                                  Project Manager?                                                
                                  (Name/org./phone)                                               

                  7 -             Has an Integrated Project                                       
                                  Team (IPT) been chartered?                                      

                  8 -             Has the Project Execution                                       
                                  Plan (PEP) been Approved?                                       
                                  (Date)                                                          

                  9 -             Is the project on the                                           
                                  Cleanup Reform Account (CRA)                                    
                                  list of small sites?                                            

                  10 -            Has the CRA Project                                             
                                  Management Plan (PMP) been                                      
                                  Approved?                                                       

                  11 -            Has the National Focus                                          
                                  Project (NFP) visited the                                       
                                  site? (Date)                                                    

                  12 -            Have all NFP Issues (Paul                                       
                                  Golan Memo) been addressed?                                     

  **II -**        **PROJECT                                                                       
                  SCOPE:**                                                                        

                  1 -             Has all project scope been                                      
                                  included in the baseline?                                       
                                  (Including LTSM & LTRA)                                         

                  2 -             Has the regulator agreed to                                     
                                  the project end state?                                          

                  3 -             Are all Programmatic                                            
                                  Assumptions Documented?                                         
                                  (Where?)                                                        

                  4 -             Does a Task Scope                                               
                                  Description (TSD or                                             
                                  equivalent) exist?                                              

                  5 -             Do TSDs tie the scope with                                      
                                  cost and schedule at WBS                                        
                                  level 8 or lower?                                               

                  6 -             Are TSDs revised as Baseline                                    
                                  Change Proposals (BCPs) are                                     
                                  processed?                                                      

                  7 -             Do TSDs identify all project                                    
                                  milestones and deliverables?                                    

                  8 -             Does a Priority List exist?                                     
                                  (Where?)                                                        

                  9 -             Does the Regulator endorse                                      
                                  the Priority List?                                              

                  10 -            Does a Soils Remediation                                        
                                  Strategy Exist?                                                 

                  11 -            Does a comprehensive                                            
                                  Groundwater Remediation                                         
                                  Strategy Exist? (Where?)                                        

                  12 -            Are all Waste Disposal Paths                                    
                                  Identified?                                                     

                  13 -            Has all GFS&I scope been                                        
                                  included in the baseline?                                       

                  14 -            Do all waste streams have an                                    
                                  identified pathway?                                             

                  15 -            Is the risk-based end state                                     
                                  defined and documented?                                         
                                  (Where?)                                                        

  **III -**       **PROJECT                                                                       
                  COST:**                                                                         

                  1 -             What is the estimated Total                                     
                                  Project Cost (TPC), as of                                       
                                  09/30/03?                                                       

                  2 -             What are the Project To Date                                    
                                  (PTD) actual costs, as of                                       
                                  09/30/03?                                                       

                  3 -             What is the Estimate To                                         
                                  Complete (ETC), as of                                           
                                  09/30/03?                                                       

                  4 -             Has all project scope been                                      
                                  estimated and included in                                       
                                  the current ETC?                                                

                  5 -             Has an Activity Based Cost                                      
                                  estimate been prepared for                                      
                                  all baselined activities?                                       

                  6 -             Has a Government Estimate                                       
                                  been performed (org./date)?                                     

                  7 -             Has an Independent Cost                                         
                                  Estimate (ICE) been                                             
                                  performed (org./date)?                                          

                  8 -             Has an Independent Cost                                         
                                  Review (ICR) been performed                                     
                                  (org./date)?                                                    

                  9 -             Has a quantitative project                                      
                                  Risk Analysis been                                              
                                  performed?                                                      

                  10 -            Has a project Contingency                                       
                                  Analysis been performed?                                        

                  11 -            Does the level of confidence                                    
                                  in the ETC exceed 80%?                                          

                  12 -            Are man-hours included in                                       
                                  baseline resources?                                             

                  13 -            Has a Resource Dictionary                                       
                                  been prepared?                                                  

                  14 -            Does an Accounting                                              
                                  Disclosure Statement exist?                                     
                                  (Budget Issue)                                                  

                  15 -            Have GFS&I activities been                                      
                                  resource-loaded?                                                

  **IV -**        **PROJECT                                                                       
                  SCHEDULE:**                                                                     

                  1 -             What was the project start                                      
                                  date? (EM funding began)                                        

                  2 -             What is the current project                                     
                                  completion date? (EM funding                                    
                                  ends)                                                           

                  3 -             Has the project end state                                       
                                  been flagged with a major                                       
                                  project milestone?                                              

                  4 -             Does an Integrated EM Master                                    
                                  Schedule exist? (High-level                                     
                                  Gantt chart schedule)                                           

                  5 -             Does a resource-loaded                                          
                                  schedule exist at WBS level                                     
                                  8 or lower?                                                     

                  6 -             Are all resource-loaded                                         
                                  baseline activities                                             
                                  logically tied?                                                 

                  7 -             What Project Planning                                           
                                  Software system currently                                       
                                  used? (System/version)                                          

                  8 -             Has a project Critical Path                                     
                                  Schedule been identified?                                       

                                  a\) How many activities have                                    
                                  0 days of float? (\<1)                                          

                                  b\) How many activities have                                    
                                  0 to 30 days of float?                                          

                                  c\) How many activities have                                    
                                  30 to 60 days of float?                                         

                                  d\) How many activities have                                    
                                  greater than 60 days of                                         
                                  float?                                                          

                  9 -             Has Critical Decision 0                                         
                                  (CD-0) been approved?                                           
                                  (Mission Need)                                                  

                  10 -            Has Critical Decision 1                                         
                                  (CD-1) been approved? (Cost                                     
                                  Range)                                                          

                  11 -            Has Critical Decision 2                                         
                                  (CD-2) been approved?                                           
                                  (Performance Baseline)                                          

                  12 -            Has Critical Decision 3                                         
                                  (CD-3) been approved?                                           
                                  (Execution)                                                     

                  13 -            Has a schedule contingency                                      
                                  analysis been performed?                                        

                  14 -            Are all major milestones and                                    
                                  deliverables identified in                                      
                                  the baseline?                                                   

                  15 -            Are all Enforceable                                             
                                  Agreement (EA) milestones                                       
                                  identified in the baseline?                                     

                  16 -            Have GFS&I                                                      
                                  activities/milestones been                                      
                                  tied to schedule milestones?                                    

                  17 -            Does the Integrated Baseline                                    
                                  Include all EM funded                                           
                                  activities?                                                     

                  18 -            Are all Integrated Baseline                                     
                                  activities resource-loaded                                      
                                  and logically tied?                                             

  **V -**         **PROJECT                                                                       
                  CONTROLS:**                                                                     

                  1 -             Has the baseline been                                           
                                  prepared in accordance with                                     
                                  DOE M 413.3-1?                                                  

                  2 -             Who is the Project Controls                                     
                                  Manager or Team Leader?                                         
                                  (Name/org./phone)                                               

                  3 -             Has Control Account                                             
                                  Manager/s been identified                                       
                                  (name/org./phone)?                                              

                  4 -             Has an Integrated EM Project                                    
                                  Baseline been prepared per                                      
                                  NFP guidance?                                                   

                  5 -             Has the project lifecycle                                       
                                  baseline been validated                                         
                                  (org./date)?                                                    

                  6 -             Has the Earned Value Mgmt.                                      
                                  Sys. (EVMS) been certified                                      
                                  (org./date)?                                                    

                  7 -             Has an External Independent                                     
                                  Review (EIR) been performed                                     
                                  (org./date)?                                                    

                  8 -             Has a Project Development                                       
                                  Rating Index (PDRI) been                                        
                                  done (org./date)?                                               

                  9 -             What was the PDRI score?                                        

                  10 -            Does a Work Breakdown                                           
                                  Structure (WBS) Data                                            
                                  Dictionary exist?                                               

                  11 -            Does a Code of Accounts                                         
                                  exist?                                                          

                  12 -            Does the Code of Accounts                                       
                                  crosswalk to the baseline                                       
                                  WBS? (Give WBS Level)                                           

                  13 -            At what WBS level are actual                                    
                                  costs recorded?                                                 

                  14 -            Are actual costs accrued?                                       

                  15 -            How often are accrued costs                                     
                                  reconciled with actual                                          
                                  costs?                                                          

                  16 -            Is the Baseline Change                                          
                                  Control Process Documented?                                     
                                  (Where?)                                                        
  ---------------------------------------------------------------------------------------------------------------------------

[]{#__RefHeading___Toc69708929 .anchor}Appendix C: Glossary

***Activity-based cost (ABC) estimating.*** ABC is a cost-estimating
technique based on defining processes and activities. Each activity is
defined in terms of a unit of measure; quantities and unit costs of
labor-hours, materials, equipment, and subcontracted services; and
overhead value(s). Resources are traced to activities based on
consumption.

***Annual.*** Annual refers to cost, schedule, or scope changes
affecting any single fiscal year.

***Baseline.*** An EM project baseline is a quantitative expression of
the project scope, schedule, and requirements against which the status
of resources and progress can be measured. The field typically maintains
the baseline as a collection of documents, including resource loaded
schedule networks, cost estimates, and assumptions. The baseline is the
key component of the project control system because it documents the
program plan for performing the work and provides the information
required by DOE business practices for evaluating resource requirements
and program performance. For planning purposes, project baselines should
reflect full regulatory compliance and should be based on reasonable
out-year funding assumptions. The degree of baseline detail should be
consistent with the phase of the project and should adopt the "rolling
wave" approach, such as greatest level of detail for near-term (FY plus
2 years) activities. The baseline is often referred to as the
performance measurement baseline (PMB).

***Baseline change proposal (BCP).*** Contractors normally generate the
BCP for documenting baseline element changes. It should provide a
complete description of a proposed change and its resulting impacts on
project baselines. The BCP serves as an audit tool for all changes to
the baseline components. The BCP must be submitted in accordance with
the baseline change control guidelines contained in the EPD Project
Control Handbook.

***Baseline Performance Report (BPR).*** The BPR is the contractor
quarterly performance report submittal to EPD. The BPR components are
(1) executive summary, (2) CPR format, (3) performance indices, (4) cost
plan format, (5) variance analyses and corrective actions, (6) schedule
exception report, (6) contingency log, if applicable, (7) baseline
change activity log, and (8) supporting detail, as required.

***Budget at completion (BAC).*** BAC is equal to the sum of all
resource allocated activities or BCWS. BAC will not change unless the
budget is changed through the baseline change control process.

***Budgeted cost of work scheduled (BCWS).*** The baseline dollars
corresponding to scheduled work within a given time period. The sum of
all BCWS equals the budget at completion (BAC). Although the BCWS plan
and the cost plan are not technically identical, EPD and its contractors
use these terms synonymously.

***Change control.*** A documented process applying technical and
management review and approval of changes to baseline technical,
schedule, and cost elements.

***Contractor.*** The term contractor as used in this document refers to
management and operating (M&O) contractor unless otherwise stated.

***Corporate performance measures.*** EM Corporate Performance Measures
are included in IPABS-IS and statused monthly. They support budget
justification and allow DOE to measure contractor progress. Corporate
Performance Measures are subject to change control in IPABS. The
reporting module of IPABS-IS produces a report of these performance
measures and is referred to as the "Gold Chart".

***Cost plan (CP).*** The cost plan includes historical BCWS through the
previous fiscal year (FY), baselined (BCWS) dollars by month for the
execution year, and baselined (BCWS) dollars by year for the outyears at
an agreed upon WBS level, generally level 6 or 7. The sum of all
historical data through and including the current month data, should
match the project's BCWS in IPABS-PEM. The cost plan defines the
activities in monthly increments for the current FY, thus providing
time-phased data upon which performance can be measured and reported to
EPD. Although the cost plan and the BCWS plan are not technically
identical, the EPD and its contractors use these terms synonymously.

***Cost variance (CV).*** The CV is a field on the CPR that provides
dollar difference between the work performed (BCWP) and actual cost
(ACWP).

**CV = BCWP -- ACWP**

***Critical decision (CD).*** A formal determination made by the AE, at
a specific point in a project that allows the project to proceed. CDs
occur during the course of a project. Example CDs are prior to
commencement of pre-conceptual design, commencement of execution, and
turnover.

***Environmental Programs Department (EPD).*** EPD is the SC department
responsible for the oversight of the Waste Management Division and
Environmental Restoration Division.

***Environmental Restoration Division (ERD).*** The EPD division that
oversees planning, budgeting, execution, and reporting and evaluation
activities for ER projects at the sites listed in this Handbook's
preface. It also provides input to decision making concerning
dispositioning properties and facilities that do not support DOE\'s
evolving missions (excess facilities), and assists communities in
planning the future use of DOE site that are to be transitioned back to
local ownership (land transfers).

***Estimate at completion (EAC).*** EAC is synonymous with latest
revised estimate (LRE***).*** It is the total cumulative cost to date
(ACWP) plus the estimated cost of all remaining work (ETC) plus
contingency for ER projects. EACs change as project costs are tracked
and estimates are updated. EAC indicates the most likely final cost of
the project.

***Estimate to complete (ETC).*** The current, best-estimated costs for
completing remaining project work. ETCs are adjusted to reflect current
information, such as expected performance, pending rate changes, and
escalation. One method for computing ETC is:

**ETC = BAC/CPI**

***Federal Project Director (FPD).*** As defined in DOE Manual 413.3-1,
the FPD resides at either the field or HQ and serves as the single point
of contact between Federal and contractor staff for all matters relating
to the project and its execution. The Program Secretarial Officer (PSO)
may be delegate certain authorities and responsibilities to the FPD.

***Fiscal year (FY).*** The U.S. government FY begins on October 1 and
ends on the following September 30 of every year.

***Independent Cost Estimate (ICE).*** A "bottoms-up" documented,
independent cost estimate for the express purpose of serving as an
analytical tool for validating, cross checking, or analyzing cost
estimates developed by the FPD.

***Independent Cost Estimate Review (ICER).*** An essential project
management tool used for analyzing and validating project costs
estimates. An ICER is typically conducted on projects at the point of
baseline approval. Congress, DOE management, HQ program offices, or
field project management staff may require such reviews. The requiring
office or agency provides specific requirements for such reviews. An
ICER may be performed by an independent internal or external
organization.

***Integrated Planning, Accountability, and Budgeting System (IPABS).***
The objective of IPABS is to establish a single integrated EM corporate
database to support all budget, performance, technical analyses, and
inquiries. This will eliminate redundant requirements and reporting
systems and provide a single source for data management. Baselines
should be integrated as much as practical and as makes sense, in order
to eliminate redundant baseline related efforts. The IPABS-IS is the
user interface for data input and reporting.

***Lifecycle.*** Lifecycle includes all costs, schedule, and scope from
project inception through project completion.

***Management and operating (M&O) contractor.*** The M&O is the onsite
contractor responsible for the day-to-day operations of a DOE wholly
owned production plant.

***Milestone.*** A milestone is an important or critical event with no
duration required for achieving project objective(s). Milestones are
comprised of a noun; modifiers; active, results-oriented verb; and a
date. Milestones can signify activity starts and completions.

***NNSA Service Center.*** The NNSA Service Center includes the NNSA and
EM personnel, facilities, and associated Site Offices providing
oversight to DOE's interests. NNSA SC's management responsibilities
encompass national laboratories, production plants, environmental
management sites, and the contractors who manage and operate these sites
for DOE.

***Office of Engineering and Construction Management (OECM**).* The OECM
is within the Office of the Chief Financial Officer. It serves as DOE's
principal point of contact relating to program and project management
and develops policy and assists in the planning, programming, budgeting,
and execution process for the acquisition of capital assets in
coordination with the program secretarial officers (PSOs) and project
management support offices.

***Office of Environmental Management (EM).*** The DOE created this
organization in 1989 to mitigate the risks and hazards posed by the
legacy of nuclear weapons production and research. Included are an
unprecedented amount of contaminated waste, water, and soil, and a vast
number of contaminated structures that will remain radioactive for
thousands of years. EM is composed of the Offices of ER and Waste
Management.

***Office of Management and Budget (OMB).*** OMB is housed within the
Executive Office of the President and provides the most objective
analysis possible for the President. It has the lead role within the
Executive Branch for maintaining Federal fiscal discipline, allocating
scarce resources, and promoting program efficiency. OMB provides
leadership and assistance in financial management, procurement,
information collection and dissemination, and other government-wide
management functions. These responsibilities are carried out working
cooperatively with the Congress and congressional agencies such as the
Congressional Budget Office and the General Accounting Office. The OMB
assists the President by (1) reviewing agency proposals and programs on
a variety of topics from budgets to regulations; (2) assuring that these
proposals and programs are consistent with relevant statutes and
Presidential objectives; (3) providing analysis and advice on a variety
of subjects; and (4) developing government-wide policies for the
effective and efficient operations of the Executive Branch.

***Performance Measurement Baseline (PMB).*** The time-phased budget
(BCWS) plan plus any undistributed budget against which project
performance is measured.

***Priority list.*** A prioritized list of discrete execution year work
scope and associated budget used for determining funding cut and funding
addition impacts.

***Project.*** A unique effort that supports a program mission, having
defined start and end points, undertaken to create a product, facility,
or system, and containing interdependent activities planned to meet a
common objective or mission. Project types include planning and
execution of construction, renovation, modification, line items for
maintenance and repair, environmental restoration, deactivation and
decommissioning efforts, information technology, and large capital
equipment or technology development activities. Tasks that do not
include the above elements, such as basic research, grants, ordinary
repairs, maintenance of facilities, and operations are not considered
projects. For simplicity, this document uses "projects" when referring
to both programs and projects.

***Project risk.*** A factor, element, constraint, or course of action
on a project that introduces an uncertainty of outcome and the
possibility of technical deficiencies, inadequate performance, schedule
delays, or cost overruns that could impact a mission. In the evaluation
of project risk, the potential negative or positive impacts and the
probability of occurrence must be considered.

***Schedule variance (SV).*** The SV is a field on the CPR that provides
dollar difference between the work performed (BCWP) and the work
scheduled (BCWS).

**SV = BCWP -- BCWS**

***Site Office.*** DOE's primary points of contact with M&O contractors
other than those listed in this handbook's preface. They provide
day-to-day direction and guidance, and are the contract managers
implementing EPD contracting strategies and contractual requirements.
They are involved in planning, budgeting, execution, and reporting and
evaluation.

***Total float.*** The amount of time an activity can be delayed from
its early start or early finish date before impacting the project end
date.

***Total project cost (TPC).*** The sum of all costs identified for a
project. TPC and TEC are equivalent for WM and ER projects.

**TPC = actuals to date + ETC + contingency (for ER projects)**

***Waste Management Division (WMD).*** WMD is the EPD division
responsible for the oversight of waste management projects and programs
at the laboratories and production plants.

***Work breakdown structure (WBS).*** The WBS is a product-oriented
family tree subdivision of the work required to produce the end product.
The WBS is structured in accordance with the way work will be performed
and reflects the way in which project costs and data will be summarized
and eventually reported.

[]{#__RefHeading___Toc69708930 .anchor}Appendix D: References and
Recommended Reading

**References**

DOE, 2003. DOE M 413.3-1, *Program and Project Management Manual*, March
2003.

DOE, 2000. *Project Management Practices*, Draft. October.
<http://oecm.energy.gov/policies_guides/practices.pdf>

DOE, 2000. DOE O 413.3, *Program and Project Management for the
Acquisition of Capital Assets*, October 13, 2000.

NNSA SC, EPD, *Cost Estimating Handbook*, (TBD)

NNSA SC, EPD, *Project Control Handbook*, April 2004

NNSA SC, EPD, *Decontamination and Decommissioning Handbook,* September
14, 2001

NNSA SC, EPD, *Long-Term Environmental Stewardship Handbook*, 2003

NNSA SC, EPD, *Project Oversight Handbook*, (TBD)

NNSA SC, EPD, *Value Engineering Handbook*, (TBD)

**Recommended Reading**

ANSI/EIA-748, *Earned Value Management System*. August 28, 2002

DOE, Jess Hill Roberson (EM-1), *Environmental Management Federal
Baseline Development Policy*, October 27, 2003

DOE G 430.1-1, *Cost Estimating Guide*, March 28, 1997

DOE O 412.1, *Work Authorization System*, April 20, 1999

DOE O 430.1, *Life Cycle Asset Management (LCAM),* August 24, 1995

DOE P 141.2, *Public Participation and Community Relations*, May 2, 2003

DOE P 413.1, *Program and Project Management Policy for the Planning,
Programming, Budgeting, and Acquisition of Capital Assets*, June 10,
2000

DOE P 450.4, *Safety Management System Policy*, October 15, 1996

DOE P 455.1, *Use of Risk-Based End States Policy*, July 17, 2003

DOE, FM-50, *DOE Cost Estimating Guide*, Volume VI, Cost Guide,
November, 1994

DOE, *IPABS-IS Data Requirements*, December 18, 1998,
http://www.em.doe.gov/ipabs*/*

DOE, *IPABS-IS Guidance,* December 1999 -- present,
http://www.em.doe.gov/ipabs/

DOE, *IPABS Handbook*, February 16, 1999. http://www.em.doe.gov/ipabs/

DOE, Office of Environmental Management, *DOE EM-15 Environmental
Management FY1996 Performance Plan*. June 1996

DOE, Office of Field Management, *Life Cycle Asset Management Good
Practices Guides.* March 1996.\
Risk Analysis and Management, GPG-FM-007\
Project Execution and Engineering Management Planning, GPG-FM-010\
Performance Analysis and Reporting, GPG-FM-006\
Performance Measures, GPG-FM-020\
Interface Management, GPG-FM-013\
Engineering Tradeoff Studies, GPG-FM-003\
Baseline Change Control, GPG-FM-009\
Configuration and Data Management, GPG-FM-012\
Critical Decision Criteria, GPG-FM-002\
Work Scope Planning, GPG-FM-008

DOE, Office of Project Management, EM-6, *Office of Environmental
Management Project Definition Rating Index (EM PDRI) Manual*, Revision
0. March 6, 2000

DOE, Office of Training and Human Resource Development, *Project Risk
Analysis and Management,* course number PMCE02

DOE, Office of Waste Management (EM-30) *Standard Operating Practice and
Procedure (SOPP), 2.2.2, Managing Baseline Change Control*, 1992

DOE, Office of Waste Management (EM-30), *Management Policies and
Requirements (MPR),* 1992.

DOE, Waste Management Division, *Performance Measurement Processes*,
June 2001

DOE/MA-0040, *Cost and Schedule Control Systems Criteria for Contract
Performance Measurement, Work Breakdown Structure Guide*, October 1981

Executive Order 13148, *Greening the Government through Leadership in
Environmental Management*

National Research Council, 1999. *Improving Project Management in the
Department of Energy*, National Academy Press

OMB Bulletin 95-03, *Planning and Budgeting for the Acquisition of Fixed
Assets*, June 1995

OMB Circular A-109, *Major Systems Acquisition,* April 1979

U.S. Congress, H.R. 826, *Government Performance and Result Act*,
February 1993

U.S. Office of the Inspector General, *Audit Report-Best Practices for
Environmental Management Baseline Development*, DOE/IG-0476, July 2000