System Engineering

Draft 3/20/06

FUNCTIONAL AREA GOAL:  An effective system engineering program ensures operational readiness of systems, maintains system configuration control, and supports operations and maintenance functions to achieve dependable service for major systems that are vital to successful operation of hazardous processes.

REQUIREMENTS:

GUIDANCE:

 

Performance Objective 1: Contractor Program Documentation

Contractor Line management has established an effective systems engineering program including written standards in operations. 

Criteria:

  1. A system engineering program has been established to implement DOE O 420.1B "Facility  Safety" requirements for DOE facilities. (DOE O 420.1, Chapter V)
     
  2. Procedures or other definitive documentation specify policies applicable to the system engineer program. (DOE O 420.1, Chapter V)
     
  3. Engineering Procedures  provide for the types of guidance necessary to implement policies.  (DOE O 420.1, Chapter V)
     
  4. Engineering Procedures clearly define minimum expectations for the roles and responsibilities of Cogbizant System Engineers (CSEs) to implement those policies.  (DOE O 420.1, Chapter V)
     
  5. Procedures are established to develop, implement, and maintain a system engineering training and qualification program.  (DOE O 420.1, Chapter V 3.d.(3))
     
  6. Procedures are established to define performance goals to assist the CSE in tracking the health of the systems within the scope of the systems engineering program.  (DOE O 420.1, Chapter V 3.c(5)(c))

Suggested lines of inquiry and review approach for this performance objective

Performance Objective 2: Contractor Program Implementation

Contractor line management has implemented the Systems Engineering program in a graded approach with assigned and qualified Cognizant Systems Engineers in accordance with the established and approved program including identification of system, configuration management, and support for operations and maintenance  in order to provide assurance of the operational readiness of systems within the scope of the program.

2.1 System Configuration Control: The system engineer program ensures that system configuration is adequately controlled.

Criteria:

  1. A Cognizant System engineer is qualified and assigned to systems within the scope of the System Engineering program for Hazard Category 1. 2 and 3 Nuclear Facilities and other facilities as designated by the established program.  (DOE O 420.1, Chapter V 3.a(1))
     
  2. The assigned CSE demonstrates a working knowledge of applicable procedure and guidance document requirements.  (DOE O 420.1, Chapter V 3.d)
     
  3. The assigned CSE assures that configuration management is adhered to in maintaining consistency among system requirements, performance criteria documentation, and physical configuration for the safety systems and components within the scope of the System Engineering process.  (DOE O 420.1, Chapter V 3.c)
     
  4. The assigned CSE ensures that system design basis documentation and supporting documentation is developed and upt-to-date using formal change control and work control processes.  (DOE O 420.1, Chapter V 3.c(3))
     
  5. The CSE ensures that system maintenance, surveillance, and calibration setting/data are formally documented, controlled, and reflect the operating requirements as specified in the safety basis documentation.  (DOE O 420.1, Chapter V 3.c(3))
     
  6. The CSE ensures that system maintenance and repair is controlled through a formal change control process to ensure that changes are not inadvertently introduced and that required system performance is not compromised.  (DOE O 420.1, Chapter V 3.c(2))
     
  7. The CSE reviews and concurs with design changes.  (DOE O 420.1, Chapter V 3.d)

Suggested lines of inquiry and review approach for this performance objective

2.2 Operations Support: The System Engineering program provides support for operations to ensure that the system is operable and performs its intended safety function.

Criteria:

  1. The CSE provides technical assistance in support of line management responsibilities to ensure continued system operational readiness.  >(DOE O 420.1, Chapter V 3.d)
     
  2. The CSE maintains overall cognizance of the system and is responsible for system engineering support to operations.  (DOE O 420.1, Chapter V 3.d)
     
  3. The CSE performs periodic system assessments that include a review of system operability, reliability, and material conditions.  These reviews assess (a) the ability of the system to perform design and safety functions, (b) physical configuration as compared to system documentation, and (c) system component performance in comparison to established performance criteria.  (DOE O 420.1, Chapter V 3.c(5))
     
  4. The CSE provides Operations assistance in reviewing key parameters and evaluating system performance.  (DOE O 420.1, Chapter V 3.d)
     
  5. The CSE identifies and evaluates operating trends.  (DOE O 420.1, Chapter V 3.d)
     
  6. The CSE provides assistance in determining operability, correcting out-of-specification conditions, and evaluating questionable data.  (DOE O 420.1, Chapter V 3.d)
     
  7. The CSE provides analysis when the system is suspected of inoperability or degradation.  (DOE O 420.1, Chapter V 3.d)
     
  8. The CSE provides input to development of special operating/test procedures.  (DOE O 420.1, Chapter V 3.d)

Suggested lines of inquiry and review approach for this performance objective

2.3  Maintenance Support: The System Engineering program provides support for maintenance to ensure reliable system operation.

Criteria:

  1. The CSE maintains overall cognizance of the system and is responsible for system engineering support to maintenance.  (DOE O 420.1, Chapter V 3.d)
     
  2. The CSE ensures that systems are tested after modification and repair to ensure continued capability to fulfill system requirements.  (DOE O 420.1, Chapter V 3.c(7))
     
  3. The CSE remains apprised of operational status and ongoing maintenance and modification activities.  (DOE O 420.1, Chapter V 3.d)
     
  4. The CSE initiates action to correct problems with assigned systems and equipment.  (DOE O 420.1, Chapter V 3.d)
     
  5. The CSE remains cognizant of system-specific maintenance and operations history and industry operating experience, as well as manufacturer and vendor recommendations and any product warning regarding safety structures, systems and components in their assigned system.  (DOE O 420.1, Chapter V 3.d)
     
  6. The CSE remains cognizant of component reliability and performance issues and takes the lead in developing recommendations to resolve unacceptable component failure rate and/or inadequate component performance that degrades or impairs the system to function reliably and to perform its intended safety function.  (DOE O 420.1, Chapter V3.d)

Suggested lines of inquiry and review approach for this performance objective.  

2.4 Cognizant System Engineer Qualification:  The qualification requirements for CSEs are adequate and commensurate with their responsibilities to ensure the successful performance of their duties.

Criteria:

  1. The CSE qualification program is part of the overall training program for System Engineers.  (DOE O 420.1, Chapter V 3.d(3))
     
  2. Evaluation of the CSE's qualification includes formal education, prior training, and work experience as described in DOE Order O 5480.20A.  (DOE O 420.1, Chapter V 3.d(7))
     
  3. The CSE qualification and training requirements include knowledge of (DOE O 420.1, Chapter V 3.d(6))
    • related facility safety basis including any relationship to administrative controls;
    • system functional classification basis;
    • applicable codes and standards;
    • system design, procurement, replacement, and related quality assurance requirements;
    • the existing condition of the system;
    • a working knowledge of the facility’s operation;
    • vendor recommendations, manuals, and any product warning.

Suggested lines of inquiry and review approach for this performance objective

Performance Objective 3:  DOE Line Management Oversight

DOE line management have established and implemented effective oversight processes that evaluate the adequacy and effectiveness of contractor system engineering program.

Criteria:

  1. DOE line oversight of system engineering programs and processes includes assessments, operational awareness activities, performance monitoring and improvement, and assessment of the contractor system engineering program.  Deficiencies in programs or performance are communicated to the contractor for resolution through a structured issues management process.
     
  2. DOE line management has established appropriate criteria for determining the effectiveness of system engineering program and includes consideration of previous assessment results, effectiveness of corrective actions and self-assessments, and evidence of sustained management support for the system engineering program.  Review criteria are based on requirements and performance objectives (e.g., laws, regulations, DOE directives), site-specific procedures/manuals, and other contractually mandated requirements and performance objectives..
     
  3. DOE line management verifies that corrective actions are complete and performed in accordance with requirements before findings identified by DOE assessments or reviews are closed, and requires that deficiencies are analyzed both individually and collectively to identify causes and prevent recurrences.
     
  4. DOE line management regularly assess the effectiveness of the contractor system engineering program including monitoring performance indicators such as unanticipated facility or process shutdown, down time due to equipment failure, reportable events related to equipment failure or operability issues, Price-Anderson reporting related to system/equipment failures or contractor loss of configuration control, etc.
     
  5. DOE line management has established and maintained appropriate qualification standards for personnel with oversight responsibilities that relate to system engineering, and a clear, unambiguous line of authority and responsibility for oversight.
     
  6. Line management periodically reviews established performance measures for system engineering activities to ensure performance objectives and criteria are challenging and focused on improving performance in known areas of weakness.

Suggested lines of inquiry and review approach for this performance objective
 



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