DESIGN AND INTEGRATION OF EQUIPMENT. (B) Process Flow Guideline

Transcription

1 LLE INSTRUCTION 7700H LLEINST 7700H SUBJECT: APPENDIX: DESIGN AND INTEGRATION OF EQUIPMENT (A) List of Acronyms (B) Process Flow Guideline ENCLOSURES: 1. Equipment Qualification Checklist (EQC) 2. Project Budget Request for NEW Project 3. Project Budget Request for EXISTING Project 4. Safety Risk Assessment Checklist (SRAC) 5. Failure Mode and Effects Analysis (FMEA) 6. Project Risk Assessment 7. Pre-Operation Safety Inspection Checklist 8. Project Approval Cover Sheet 1. Purpose: This policy establishes the process and procedures for the initiation, administration, and completion of approved projects for new or changed equipment or systems. This instruction includes design review and documentation requirements to ensure that safety, reliability, and all other relevant factors are addressed during the design and qualification process. 2. Scope: This policy applies to projects that produce new equipment or significant modifications to existing equipment. The term equipment in this context includes target diagnostics, beam-generation, and control equipment; target handling and positioning equipment; support structures, laser diagnostics; software; and Omega Facility communication infrastructure. Significant modifications, in the context of this instruction, include changes that affect the operational characteristics, structural integrity, or safety of a previously qualified piece of equipment. Generally, changes that affect more than one engineering discipline should be classified as significant. For minor changes to qualified equipment, a full requalification in the context of this instruction is not required as long as the Laser Development and Engineering Division Director approves the change to be minor, the change is approved as part of the normal Project Data Management (PDM) design approval process, and the change is affected using LFORM work authorization procedures (WAP s). 1

2 For the purposes of this document the phrase Omega Facility encompasses the OMEGA, OMEGA EP, and Multi-Terawatt (MTW) Laser Facilities as well as the Cryogenic and Tritium Facility (C&TF). 3. Core Project Team: The following is a summary overview of selected core project team members and their roles. Detailed descriptions of team member roles and responsibilities are provided later in this document. a. Division Directors: The Experimental Division Director and Omega Facility Division Director are responsible for the review, approval, and prioritization of all projects proposed for LLE consistent with LLE s established mission, objectives, and goals. The Laser Development and Engineering Division Director has the authority to determine that any given project may bypass this Instruction process either partially or in total. A record of decision notice shall be issued to the Division Directors, Principal Investigator, Project Manager, and Systems Engineer if a bypass is authorized. b. Principal Investigator (PI): The PI is the initiator who formulates the scientific basis and top-level requirements of a diagnostic, equipment, or system that is defined as a project and provides insight into potential or anticipated evolutionary applications of the project. As the technical expert for the project, the PI works with the Project Team to ensure that the top-level requirements are correctly translated into appropriate engineering design requirements. The PI, supported by the Project Manager, is responsible for initiating a project by submitting a project budget request (PBR). c. Project Manager (PM): Once the Division Directors approve a project proposal and establish its relative project priority, a Project Manager is assigned. The PM has the overall responsibility for the resource planning, scope, schedule, risk, execution, monitoring, and closure of LLE-approved projects. The PM is also the principal point of contact (POC) for the customer/end user throughout the project development process. Depending on the scope of the project, the PM may delegate significant portions of the project to members of a project team or assume multiple team roles as appropriate. d. Systems Engineer (SE): The SE provides the overall technical management of the project, including the coordination of project design engineers throughout the project development process. 2

3 The SE reports to and assists the PM in managing and directing the overall project effort, including determination of requirements, specifying interfaces (internal and external), specifying resources, day-to-day review and monitoring, and ensuring that performance requirements are met. Additionally, the SE assists the project team in the preparation and presentation of project reviews, action item tracking, and documentation management. e. Instrument Specialist (IS): The Instrument Specialist (the term instrument refers generally to any diagnostic, software, or other system) is the owner of the resultant product from a project and is responsible for its post-deployment use, calibration, and maintenance. The IS is a key member of the project team working with the PM and SE to ensure the project design can be fielded successfully without adverse impact to operations or experimental objectives. The IS is responsible for the generation and maintenance of procedures for operation, and the calibration and maintenance of the instrument. The IS is also responsible for the recommendation of and stocking of appropriate spare parts and equipment consumables associated with the project. 4. Project Type Definitions: All projects require the same discipline and care to identify and mitigate safety risks to personnel and equipment. In general, mature projects (including hardware, software, and controls) and those that are to be fully integrated with operations should employ engineering controls (e.g., interlocks, custom rigging, enclosed beam path, etc.). During prototype evaluation and initial stages of development, administrative controls (e.g., temporary barriers, operation by expert or specially qualified personnel, procedural verification, etc.) can be used to mitigate safety risks. In such cases, redundant controls may be applied if necessary (e.g., second operator review before proceeding) to ensure that safety concerns are mitigated. The project classification, defined below, is recommended by the PM and SE and approved by the Laser Development and Engineering Division Director. a. Major: A major project is a new diagnostic, equipment, or system, or significant modifications to an existing one. Modifications that are considered significant include, but are not necessarily limited to, operational characteristics, software, structural integrity, safety of previously qualified equipment, space envelope changes, or involve more than one engineering discipline in order to address the proposed modifications. b. Development: Development projects may use prototype hardware, software, controls or other means to demonstrate feasibility or proof of principle with insitu testing. Development projects are defined for, and granted, a limited life span by both the Laser Development and Engineering and the Omega Facility Division 3

4 Directors based on clearly defined, quantifiable goals. At the conclusion of the approved life span, the project must either be submitted as a formal project for full qualification or be terminated. c. Minor: A minor project is one that falls outside the scope of a both major and development project types. Approval to proceed as a minor project requires the approval of the LLE Laser Development and Engineering Division Director. 5. Process for Design and Integration of Equipment a. Submission: LLE internal projects will generally be proposed and approved as part of the Laboratory s annual budget cycle, but projects may be proposed and considered for approval whenever the circumstances warrant. Externally generated projects, e.g., experimental diagnostics, required to support experiments will be identified as part of the Omega Facility scheduling process. Externally generated projects are subject to the same review, approval, and prioritization process as internal projects. b. Prioritization and Approval (1) Projects submitted as part of the annual budget cycle will have resource requirements estimated by the appropriate Engineering support groups [mechanical engineering (ME), electrical engineering (EE), and software development (SDG)] and be prioritized by the Laser Development and Engineering, Experimental, Omega Facility Division Directors and the Associate Director for Operations. Priority projects that fit within resource constraints will be submitted as part of the annual budget submission to the Laboratory Director for approval. (2) Projects will be prioritized relative to LLE s established mission, objectives, and goals. The Laser Development and Engineering Division Director will facilitate the prioritization by providing rough-order magnitude resource estimates. Priority levels are defined as: Priority 1: Essential to meet needs, continue operations, ensure safety, or to support graduate student research. Priority 2: Important to future needs or to improve operational efficiency and effectiveness. Priority 3: Merited pending resource availability. Priority 1 projects will be order ranked. Only priority-1 projects from 1 to n for which resources are available will start the design process. If resources are 4

5 available for lower-priority projects, they will likewise be order ranked and assigned resources. (3) The prioritization of projects will be reviewed and updated quarterly. c. Phases: The complete process defined below may be tailored by the PM and SE, with the approval of the Laser Development and Engineering, and Omega Facility Division Directors, to accommodate the objectives of individual projects. Personnel safety is of paramount importance and will be addressed at every phase of a project without exception! An up-to-date Safety Risk Assessment (SRA) and Failure Mode and Effects Analysis (FMEA) must be presented at each design review. The SE will complete these documents in collaboration with the PM, safety officers, and project team. The completed safety analysis will be approved by the PM and the LLE Chief Safety Officer. The final project design must ensure that all safety risks identified on the SRA and tracked via the FMEA are reduced to minor or none or else the project will not be deployed into the Omega Facility. The phases of a project are defined as: Submission Project Prioritization and Approval Concept and Requirements Development (C&RD) Design (including Safety Risk Assessment) Procurement, Fabrication, and Assembly (PF&A) Qualification Operational Readiness and Deployment (OR&D) Project phases can overlap and at times may run concurrently with one another, particularly in the case of the procurement and fabrication of long-lead items that may run concurrently with the design phase. Concurrent execution of project phases inherently adds risk to the project and should be undertaken with due consideration for those risks. d. Coordination: For each approved project, the PM will assemble a Project Team of at least a PI, an SE, and an IS with input and approval of the appropriate Laser Development and Engineering, and Omega Facility Group Leaders. All approved projects will have a completion schedule, budget, and an identification acronym (TASK ID) for tracking purposes. 5

6 Once a project is approved, the SE will facilitate and coordinate the technical efforts of the project team on behalf of the PM to: determine project requirements submit appropriate ME, EE, and SDG work requests generate a Failure Mode and Effects Analysis tailor an Equipment Qualification Checklist (EQC) [Enclosure (1)] schedule reviews and track corrective actions from reviews assemble the final project documentation package for approval e. Reviews: Project reviews are the primary mechanism for updating interested parties on the status of a project prior to advancing to the next level of development. They include: Conceptual Design Review (CDR) Mandatory Project Requirements Review (PRR) Mandatory for Major Projects (may be combined with CDR for Minor or Development projects as appropriate) Preliminary Design Review (PDR) Final Design Review (FDR) Mandatory for Major Projects (may be combined with CDR for Minor or Development projects as appropriate) Preliminary Qualification Review (PQR) Mandatory for Development projects Operational Readiness Review (ORR) Mandatory The requirements of these reviews are detailed in the Project Completion Procedures portion of this document. As noted above, certain reviews are mandatory; however, exceptions will be made when appropriate (i.e., for simple projects or legacy requalification reviews), where all the relevant information is presented in a single comprehensive review. The need for other reviews will normally be determined during the Concept and Requirements Development phase of the project. A successful project review will meet the specific review objectives outlined in the Project Completion Procedures and receive the approval of the Division Directors. If a project review is not successful, the PM will take appropriate corrective actions and the review must be repeated. 6. Project Completion Procedures a. Project Approval (1) LLE Internal Projects (a) All LLE internal projects will be initiated by submitting a Project Budget Request (PBR) form [Enclosure (2)]. If the project is not completed within 6

7 the fiscal year for which it was approved, the PBR must be resubmitted as part of the next year budget process using Enclosure (3). (b) The PI is responsible for submitting new PBR s to the applicable Division Director. (c) The Division Director will review each PBR in the context of the Laboratory s goals and plans. Requests that are approved at the division level will be included in the draft fiscal year budget package prepared by the Director of the Administrative Division. (d) The Director of the Administrative Division will notify the project PI, SE, and groups indicated on the PBR of the status of their project requests after the fiscal year budget cycle approval process and whenever changes occur. (e) When a project has been approved, the assigned SE will work with the PI and the designated functional groups to complete the definition of the project. (f) The Engineering Groups will make rough-order magnitude estimates of design resources required. (g) The Laser Development and Engineering Director will collate the resource requirements and submit a composite project list with resource estimates to the Experimental and Omega Facility Division Directors and the Associate Director of Operations. (h) The Experimental, Laser Development and Engineering, and Omega Facility Division Directors and the Associate Director of Operations will prioritize all projects. After this prioritization is complete, the Project Team Members and Laser Development and Engineering Division Group Leaders will be notified which projects are approved to proceed to design. (i) The Administrative Division will maintain a database that tracks the status and budget of each project that has been approved. This database will also capture the project description, completion date, and supporting group effort information included on the PBR form. (j) Once a project is approved and given priority to proceed, a Project Manager is assigned by the Division Directors (k) The Project Manager will establish a schedule and actively monitor project status to ensure that its milestones and completion date are met. The successful completion of the project milestones in the tailored project EQC allow the project to advance through the various project phases. (l) The Project Manager is responsible for submitting PBR updates when there is a budget excess, shortfall, cancellation, or if the project runs beyond the fiscal year in which it was approved. 7

8 (m) The SE will assist the PM in monitoring project status by keeping and maintaining the project database. (2) External Projects (a) Externally generated projects, e.g., experimental diagnostics, required to support experiments will be identified as part of the Omega Facility scheduling process. (b) The LLE Experimental Support Group Leader (ESGL) will be the liaison and initial POC for all externally generated projects. The ESGL will coordinate the introduction of these projects into the INST 7700 process including assisting the external user with completing a detailed project summary. (c) All externally generated projects are required to present a detailed project summary describing the hardware to be fielded, facility requirements, and LLE support (engineering and operations) required a minimum of four months prior to the scheduled experiment it supports. Based on this summary, resources availability and responsibilities will be evaluated and an assessment will be made as to whether or not the scheduled experiment can be met without displacing existing higher-priority design tasks; if not, the experiment must be rescheduled. (3) Non-Budgeted Project Requests (NBPR) Non-Budgeted Project Requests are typical of, but not necessarily limited to, software projects and external customer projects where LLE is not procuring materials in support of the project development. While the budget responsibilities associated with these types of projects are minimal, LLE resource commitments can be significant. In order to effectively manage LLE resources consistent with LLE s established mission, objectives, and goals, NBPR s must be approved and prioritized in the same manner described in paragraph 5(b) before design resources are assigned. b. Concept and Requirements Development (C&RD): The goal of the Concept and Requirements Development phase is to define the requirements and a conceptual design, which will satisfy the intent of the project. The C&RD phase culminates with a CDR that demonstrates the project objectives can be met and that there are no areas of technical concern that are known show stoppers (i.e., don t know how to do it). Minor projects, or projects that demonstrate significant maturity and/or simplicity during the C&RD phase may, with concurrence of the PM, Laser Development and Engineering Division Director, and SE, be tailored to expedite completion. 8

9 (1) After a project is approved, the Project manager will meet with the PI and SE to determine the project objectives, principal requirements, and review any initial concepts the PI has for achieving the project objectives. (2) The PM, with the assistance of the SE, will issue engineering service requests as required to establish the project team, begin the process of translating the principal project requirements into engineering requirements, define engineering concepts that address the goals of the project, and establish a preliminary Safety Risk Assessment. Each non-zero entry on the SRA must have one or more supporting lines in the FMEA spreadsheet. (3) For projects that are approved to proceed to design, the PM, with input from the Project Team, will complete: (a) Equipment Qualification Checklist (EQC) [Enclosure (1)]. The EQC is tailored to suit the project classification and must include scheduled completion dates. (b) Preliminary Safety Risk Assessment (SRA) [Enclosure (4)]. An SRA summarizes potential hazard categories associated with a project prior to implementing any mitigation strategies. (c) Failure Modes and Effects Analysis (FMEA) [Enclosure (5)]. The FMEA provides details about specific risks to personnel, equipment, and data loss/integrity, as well as corresponding mitigation strategies. (d) Project Risk Assessment (PRA) [Enclosure (6)]. A summary of key risk factors that have the potential to impact the project execution, budget, or completion along with a severity assessment of each identified risk. (4) The SE will conduct a Project Requirements Review as required to finalize the preliminary project requirements. The formality of the PRR will be at the discretion of the PM and SE; however, at the conclusion of the PRR, the SE will issue a preliminary requirements document that defines the form, fit, and function of the project. The requirements document will be approved by the PM, PI, SE, IS, and appropriate engineering and operations representatives. The requirements document will be configuration controlled as a part of the overall project database. (5) Conceptual Design Review (CDR): The purpose of the CDR is to ensure that the objectives of the project will be met, and the safety of personnel, equipment, and facilities has been appropriately addressed. Principal (science/physics) and engineering requirements should be understood and presented. A comparison of the expected performance of the design to the technical requirements should be presented for evaluation and differences 9

10 between the two discussed and resolved before the design progresses to the next phase. System integration issues, implementation, and procure/build issues should also be considered. Multiple concepts may be presented at a CDR; if a favored approach cannot be determined during the CDR, a PDR will be required. At this stage there should be no areas of technical concern that are known show stoppers. Specific deliverables at the CDR include: (a) A description of the project and its scope to include anticipated shot types, beams required, anticipated target types, and any other information relevant to the planning and execution of the project objectives (b) Identification of the Project Team (c) A tailored EQC and a summary schedule [Enclosure (1)] (d) Preliminary definition of all requirements, science/physics, functional, technical, facility, operational, support and maintenance, and internal and external interface requirements (e) A presentation of the conceptual design that meets the need of the project, including CAD models, schematics, flow charts, or optical ray-trace diagrams, as needed, to clearly convey the concepts (f) A comparison of the expected performance of the design to the technical requirements should be presented for evaluation including tolerances, metrics, and test-measurement procedures (g) A Preliminary Safety Risk Assessment and Failure Mode and Effects Analysis [Enclosures (4) and (5)] (h) Project Risk Assessment (PRA) with mitigation plan [Enclosure (6)] (i) An itemized preliminary project budget required to execute the project to completion, including an estimate of man hours to complete from the appropriate Engineering and Operations Group Leaders At the conclusion of the CDR, the key design concepts are fixed, enabling technologies are verified, and the procurement of long-lead materials may be authorized. The SE will publish a memorandum, approved by the PM, which documents action items that must be addressed prior to, or as part of, the next planned design review. Upon recommendation by the PM and with the concurrence of the appropriate Division Director(s), the Administrative Director may activate the project to allow the procurement of long-lead materials. 10

11 c. Design: The goal of the Design phase is to finalize the engineering requirements for the project and initiate the formal design process to achieve those requirements in satisfaction of the project objectives. The Design Phase may require a Preliminary Design Review (PDR) as well as a Final Design Review (FDR) to demonstrate the project requirements are being satisfied. The decision to hold a PDR is at the discretion of the PM, Laser Development and Engineering Division Director, and SE Group Leader and is typically determined at the conclusion of the CDR. Minor projects, or projects that demonstrate significant maturity and/or simplicity at the conclusion of the C&RD phase may, at the discretion of the PM, Laser Development and Engineering Division Director, and SE, have the project design phase processes tailored to expedite completion of the project. (1) Preliminary Design Review (PDR): The purpose of the PDR (if required) is to produce a more-advanced design based on the technical requirements approved during the C&RD phase and matured throughout the design process to ensure that the preliminary design continues to meet the objectives of the project. The expected performance characteristics of the design are better understood and, if necessary, are supported by the completion and testing of a prototype. A comparison of the expected performance of the preliminary design to the technical requirements should be presented for evaluation and differences between the two discussed and resolved before the design progresses to the next phase. System integration, implementation, and procurement, fabrication, and assembly concerns should also be updated at this review. Specific deliverables at the PDR include: (a) A design that meets the need of the project (b) An updated EQC and summary schedule (c) Final definition of all science/physics, functional, technical, facility, operational, controls, software, support and maintenance, and internal and external interface requirements (d) An updated presentation of the design, optical ghost analysis, 3-D model, solid model, prototype, control system, etc. (e) An updated comparison of the expected performance of the design to the technical requirements should be presented for evaluation including tolerances, metrics, and test-measurement procedures 11

12 (f) Preliminary bill of materials (BOM s); drawings of the assembly; subassembly; part, electrical, or software schematics; and optical configuration (g) Review and update of the SRA and FMEA analyses (h) An updated PRA and mitigation plan (i) An updated itemized project budget required to execute the project to completion (j) Review of status of Action Items incurred in the C&RD and Design phase of the project At the conclusion of the PDR the final design concepts are fixed; enabling technologies are proven; a list of all components, materials, and software requirements are complete; and project plans and schedules are firm. Multiple design concepts should not be pursued beyond this stage. The SE will publish a memorandum, approved by the PM, that documents action items that must be addressed prior to, or as part of, the next planned design review. (2) Final Design Review (FDR): The purpose of the FDR is to ensure that the design meets the technical requirements approved during the C&RD phase and matured throughout the design process to satisfy the objectives of the project. By the time of the FDR, designs must be complete, including detailed and dimensioned 2-D CAD drawings, electrical-circuit schematics, PC layouts, a BOM including sourcing and cost analysis as applicable, and a software and controls design concept, if applicable. A comparison of the expected performance of the final design to the technical requirements should be presented and should demonstrate analytical or functional compliance to those requirements. System integration, implementation, and PF&A concerns should be fundamentally resolved with no known show stoppers at this stage of the design. Specific deliverables at the FDR include: (a) A completed final design (b) Final definition of all requirements, science/physics, functional, technical, facility, operational, support and maintenance, and internal and external interface requirements (c) Updated comparison of known technical performance capabilities compared to the list of technical and functional requirements 12

13 (d) Results of modeling and prototype testing including beam and mechanical interference checks (e) A final BOM, drawings of the assembly, subassembly, part or printed circuit board (PCB) schematics, or optical configurations (f) A list of required spare parts for each assembly or component (g) Assembly, installation, alignment, calibration, or other relevant test procedures and results (h) Preliminary, debugged software packages (i) Preventative maintenance items associated with the part, component, or assembly (j) An updated project risk assessment (PRA) and mitigation plan through project operational deployment (k) Review of status of Action Items incurred in the C&RD and Design phases of the project (l) Final update of the SRA and FMEA (m) Updated Project Schedule a proposed schedule to completion (n) Updated Budget an itemized budget to project completion (o) Overview of the project qualification plan At the conclusion of the FDR, the final design is approved and the project schedule and plans are firm. The SE will publish a memorandum, approved by the PM, which documents action items that must be addressed prior to, or as part of, the next planned project review. (3) Document Release: At the conclusion of the design phase, the design documents shall be released into the Project Data Management (PDM) configuration control system. The PDM system is used to: place documents under configuration control formally publish documents make documents readily available to the LLE user community convey to the reader that documents are approved At least two persons are required to approve each document in the PDM. In general, persons who approve the initial release remain on the reviewer s list for subsequent revisions. Document approvers are responsible for ensuring that documents: 13

14 embody a correct, coordinated and functionally useful description of the component or document are complete, concise and meet readability and reproducibility standards. d. Procurement, Fabrication, and Assembly (PF&A): The PF&A phase may be, at the discretion of the PM, coincident with the Design, and in some cases the C&RD phase, to facilitate the acquisition of long-lead items, which could impact the ability to meet the project schedule milestones. Typically at the conclusion of the design phase, component procurement and fabrication may proceed. (1) Fabrication of hardware may only be executed using revision-controlled, released documents from the PDM. (2) If any discrepancies are identified between hardware, approved drawings and specifications during fabrication and/or assembly, the work in progress will be stopped and the discrepancy will be brought to the attention of the appropriate engineer for resolution. The engineer responsible for the assembly in question should notify the PM and SE of the problem, along with an assessment of the severity of the problem, impact to project schedule and resolution plan. Component parts will be brought into compliance with the drawing or the drawing will be changed as appropriate. Assembly will be continued only after the discrepancy is resolved. (3) Component assembly is to be performed by qualified personnel using approved (i.e., released) assembly drawings. (4) After the component is assembled, a fit and function test will be conducted off-line if possible. This includes testing the control system and software to the fullest extent possible. In the event that fit and function testing must occur within the operational Omega Facility, the PM will coordinate this effort with the appropriate representatives from operations and LLE Safety Officers. e. Qualification For the purposes of this discussion the term equipment is used to refer to any hardware, software, computers, controls, and/or procedures associated with a project intended for use in the Omega Facility. The Qualification Phase has the goal of verifying that the project meets specified performance, operational, and safety requirements prior to acceptance for routine operational use. This process may include the installation, testing, and validation of equipment and its associated procedures as well as training personnel. In general, qualification is performed off-line prior to installation; however this is not always possible or desirable. Section 6.e(2) (Preliminary Qualification) 14

15 describes the process for the restricted use of equipment in the Omega Facility for this purpose. A safety inspection is required prior to operating new or modified equipment at LLE. All relevant items identified in the FMEA must be reviewed prior to first use to verify that the necessary mitigation strategies are implemented and effective. Equipment installation, qualification tests (preliminary and final) or equipment operation within the Omega Facility must be completed using the WAP s described in LLE INST 3000 (LFORM) and involve active participation of the IS at a minimum. (1) Installation: Installation of equipment may occur at various phases of the project to validate overall design progress; however, it is most commonly associated with completed equipment that requires qualification. (a) Prior to installation, the PM must verify that all threats identified in the FMEA have been successfully mitigated. Where appropriate, a safety test plan must be developed to demonstrate the effectiveness of each safety feature of the design (i.e., interlocks, software error trapping, overpressure control, etc.). This test plan is to be included with an installation plan and both must be approved before installation begins. (b) The order of execution of the safety inspection and safety test plan will be determined on a case-by-case basis when the installation plan is reviewed. The results of the safety tests are to be published prior to final qualification. Installation and safety tests are to be coordinated using a WAP as specified in the LFORM. (c) Only qualified personnel approved through the WAP process will be allowed to install equipment within the Omega Facility. (2) Preliminary Qualification (in-situ testing): In some cases, off-line testing cannot replicate the relevant operational environment and in-situ testing (i.e., in the Omega Facility, including on-shot testing) must be performed to demonstrate proof of principle or that a system or subsystem meets design objectives. To accomplish this safely and efficiently, the project many be granted a conditional qualification to complete this work. Advance planning for Preliminary Qualification is critical to ensure that all laboratory objectives can be met. Prior to conducting any Preliminary Qualification activity using the Omega Facility, the project must have at a minimum passed a CDR and will be subject to Preliminary Qualification Review (PQR) to approve the temporary deployment of equipment into the Omega Facility. The formality of the PQR (meeting or meeting less) will be determined by the Laser Development and 15

16 Engineering and Omega Facility Division Directors and the SE Group Leader. The PM, Laser Development and Engineering, Omega Facility Division Directors, and SE Group Leader will approve the PQR for a given project. All PQR s will require the following information: (a) A written test plan with clearly defined, quantifiable goals and performance expectations released in PDM. (b) Required system configuration and operating conditions, specifically including details regarding shot types, energies, beam paths, and beam terminations required for the test as well as shot request forms as appropriate (c) Required personnel and the responsibilities of each (d) An SRA and FMEA with mitigation strategies (e) A test procedure with sufficient supporting detail such that the requisite personnel may safely execute it (f) A safety inspection required prior to executing test procedures (g) A review of any changes to the equipment, test plan, procedures, SRA, FMEA, or other relevant information from any previous iteration of preliminary qualification testing (h) A WAP (see LFORM) Successful completion of the PQR requires the approval of the Laser Development and Engineering, Omega Facility Division Directors, and the SE Group Leader. Upon successful completion of the PQR, preliminary qualification activities will be granted on a restricted, temporary basis and scheduled to occur consistent with laboratory objectives and priorities. If the preliminary qualification is not completed as planned (e.g., data not acquired, change to shot schedule or system availability) the preliminary qualification may be rescheduled at the discretion of the Omega Facility Operations Manager. Each test iteration must be reviewed for consistency with previous iterations. Changes must be documented, reviewed, and approved as described above. (3) Final Qualification: A Final Qualification is required for all equipment intended for permanent or ongoing deployment within the Omega Facility. Results from Preliminary Qualification activities may be applied to either partially, or fully, demonstrate/satisfy the Final Qualification requirements at the discretion of the Laser Development and Engineering, Omega Facility Division Directors, and the SE Group Leader. 16

17 A Final Qualification requires the following: (a) A written test plan with clearly stated goals and performance expectations (b) Draft operating, alignment, calibration, maintenance, and test procedures (c) An up-to-date SRA and FMEA with mitigation strategies (d) A safety inspection required prior to executing test procedure (e) A review of any deviations from the equipment design as presented at the FDR (f) Operator training The Final Qualification requirements will typically be presented at the project ORR, but may be presented in a separate meeting if agreed to by the Laser Development and Engineering, Omega Facility Division Directors, and the SE Group Leader. Successful completion of the Final Qualification will be documented in an Operational Readiness Report by the SE and requires the approval of the Laser Development and Engineering, Omega Facility Division Directors, Chief Safety Officer, and the SE Group Leader. f. Operational Readiness and Deployment: Upon completion of the appropriate fit and function checks, safety inspections and operational qualification the PM will schedule an Operational Readiness Review (ORR) to review and approve the project for operational deployment. (1) Operational Readiness Review: The purpose of the ORR is to verify the design meets the specified requirements to satisfy the objectives of the project and has passed the appropriate tests, checks, and inspections to be declared ready for routine operations. At the ORR, all design work must be complete and released, an updated comparison of the expected performance of the final design to the technical requirements will be presented, and analytical or functional compliance to those requirements will be demonstrated. System integration, implementation, and operational concerns must be resolved. All operational, calibration, and maintenance procedures should be approved and released. Specific deliverables at the ORR include: (a) An update, if necessary, to the project design versus what was presented at FDR 17

18 (b) A review of all requirements, science/physics, functional, technical, facility, operational, support and maintenance, and internal and external interface requirements and compliance to those requirements (c) An updated comparison of known technical performance capabilities compared to the list of technical and functional requirements based on qualification testing if available (d) Updated results of modeling and prototype testing including beam and mechanical interference checks if different from the FDR (e) The updated BOM, drawings of the assembly, subassembly, part or PCB schematics, or optical configurations if different from FDR (f) Final, debugged software packages (g) If a diagnostic that appears on an SRF then the SRF Set-up Page, Auditor Warnings, and Diagnostic Description document must be complete (h) A summary and status of WAP(s) (i) Test plans executed during qualification and summary reports (j) Operating Procedures, approved and released (k) Maintenance requirements and procedures, approved and released (l) Fit and function test report, approved and released (m) Pre-operational Safety Inspection checklist, Enclosure (7), approved and released. (n) A listing of the Preventative Maintenance System (PMS) items associated with the project (o) A listing of recommended spare parts and consumables associated with the operation of the equipment (p) Review of status of action items incurred in the PF&A and Qualification phases of the project and their resolution (q) Final version of the SRA and FMEA (r) Final budget detailing total project cost versus the proposed budget (s) ORR minutes must include a statement describing the group consensus on the operational readiness of the project (2) Director s Approval Package (blue binder): In support of the ORR and final certification of the project completion, the PM and SE will assemble a Directors Approval Package consisting of the following (where applicable) for review and approval: (a) Project Budget Request and budget summary from project inception to completion 18

19 (b) Requirements document(s), approved and released (c) Completed service requests (d) Copies of presentation materials and minutes from each design review held (e) The final SRA and FMEA (f) The completed EQC (g) Verification from each engineering group that the following are complete, approved, and released: (i) Design assembly drawings (ii) Electrical schematics (iii) Piping and instrumentation diagrams (P&ID s) (iv) BOM (v) WAP(s) (vi) Test plans executed during qualification and summary reports (vii) Fit and function test report (viii) Safety inspection report (ix) Operating procedures, approved and released (x) Maintenance requirements and procedures, approved and released These materials will also be assembled into a shared directory or searchable database indexed with the assigned project identification acronym. To the maximum extent possible, documents listed above will be released into the Product Data Management (PDM) system. When all requirements have been completed, the SE will attach a Project Approval Cover Sheet, Enclosure (8), to the project package and obtain the approval of the applicable Division Directors, PI, PM, Systems Engineering Group Leader, and Chief Safety Officer. All projects used within the Omega Facility must be certified complete at least two weeks prior to the first use unless an exception is obtained from the Laser Development and Engineering, and the Omega Facility Division Directors. Allowed exceptions to this rule include the C&TF, MTW, and independent labs or facility spaces. In these cases, the certification must be completed before the first use of the equipment. The PM will report project completion to the Administrative Division Database Administrator so that it can be removed from the active project list and have an equipment property tag installed. 19

20 7. Responsibilities: Nominal project roles and responsibilities are described in the following paragraphs. a. Principal Investigator (PI) (1) Initiates a new project by completing and submitting a project budget request to the appropriate Division Director. (2) Acts as the technical expert for the project providing the principal input for scientific requirements and consults with the PM, SE, and project team on the decomposition of these requirements to engineering requirements. (3) Provides insight into potential, or anticipated evolutionary applications of the proposed project. b. Project Manager (PM) The Project Manager has responsibility for the schedule, budget, planning, scope, risk, execution, monitoring, and closure of LLE approved projects. At project reviews, the PM has a vote in the approval process to determine whether the project should proceed. Nominally the PM will: (1) Be the principal interface to the project customers/end users to ensure the project objectives are satisfied (2) Prepare and administer the project budget (3) Have the project budget activated upon completion of the CDR (4) Develop, in conjunction with the project team, a project schedule that is consistent with the customer s need date, project lead times (5) Assemble, with the assistance of SE, the Project Team by requesting support from the appropriate Engineering and Operations Group Leaders (6) Coordinate fit-and-function tests, hardware installation and other activities that require Omega Facility time with the Operations shot schedule, personnel availability and external resources (e.g., visiting scientists, contractors, etc.) (7) Manage the overall progress, priorities and direction of the project consistent with achieving the project objectives c. System Engineer (SE) (1) Provide the overall technical management of the project including the coordination of project design engineers throughout the project (2) Assist the PM in assembling the Project Team by requesting support from the appropriate Laser Development and Engineering and Omega Facility Group Leaders 20

21 (3) Assist the PM in the preparation and submission of engineering service requests (4) Assist the PM to tailor an EQC (project schedule) in conjunction with the project team (5) Assist the PM in the administration of the project through successful completion (6) Prepare the project requirements document(s) (7) Ensure project requirements are met (8) Lead the Project Team in preparing for design and requirements reviews (9) Schedule design reviews (10) Publish design review minutes, maintain the project Action Item Database in WEBEQC, and ensure that all action items are completed (11) Facilitate completion of the SRA and FMEA in collaboration with the safety officers and project team engineers (12) Assist the IS in providing draft operating procedures to the Omega Facility Division (13) Assist the IS in the production of appropriate fit and function, installation, and qualification test plans (14) Support the ORR by preparing a task list of required review/inspection elements and assign reviewers/inspectors for each element (15) Track and maintain the status of completing EQC requirements (16) Assemble the Directors Approval Package and route for approval by the PI, LLE Division Directors, and Chief Safety Officer d. Instrument Specialist (IS) (1) Assist the PM/SE as required to execute the project (2) Responsible for developing, publishing, and maintaining equipment operations, calibration, alignment, and maintenance plans/procedures (3) Responsible for developing, publishing, and maintaining a list of required spare parts and equipment consumables (i.e., film, blast shields, filters etc.) (4) Responsible for developing and publishing appropriate fit and function, installation, and qualification test plans (5) Supervise fit and function and qualification testing (6) Responsible for training Operations personnel on the installation and setup of equipment within the Omega Facility (7) Responsible for delivering to Experimental Operations a calibrated, ready for operations equipment package as necessary 21

22 e. Group/Section Leader(s) (1) Assign qualified group members, as needed, to serve as Project Team members (2) Provide technical support to the PM, SE, and IS in fulfilling their responsibilities (3) Assign qualified group members to review and approve all new installation and operating procedures (4) Support installation and qualification of project deliverables (5) Support training of operations personnel (6) Assign qualified group members to participate in design reviews (7) The Systems Engineering Group Leader has review approval responsibilities throughout this process and, at the request of the PM, has the project budget activated upon successful completion of the CDR f. Omega Facility Operations Manager (1) Oversee the formulation of, and approve operational procedures for OMEGA equipment projects (2) Participate in design reviews and Operational Readiness Reviews as appropriate g. Engineering Group Members (1) Serve as members of the Project Team as appropriate (2) Complete the design, assembly, installation, and testing of equipment as appropriate (3) Verify that equipment is built to and installed per plan (4) Prepare for and present their portion of design reviews as appropriate h. Safety Officers (1) Provide input and review of the Safety Risk Analysis Checklist (2) Participate in safety inspections of installed equipment (3) Participate in design reviews as appropriate i. Laser Development and Engineering Division Director (1) Review and support projects as appropriate consistent with LLE s established mission, objectives, and goals (2) Administer initial project prioritization and quarterly updates 22

23

24 APPENDIX A: List of Acronyms BOM CAD CDR C&RD C&TF EE ESGL EQC FDR FMEA IS LFORM ME MTW NBPR OR&D ORR PBR PCB PDM PDR PF&A PI P&ID PM PMS POC PQR PRA PRR SDG SE SRA SRAC WAP bill of materials computer aided design Conceptual Design Review Concept and Requirements Development Cryogenic and Tritium Facility Electrical Engineering Experimental Systems Group Leader Equipment Qualification Checklist Final Design Review Failure Mode and Effects Analysis Instrument Specialist Laser Facility Organization and Regulation Manual Mechanical Engineering Multi-Terawatt Non-Budgeted Project Request(s) Operational Readiness and Deployment Operational Readiness Review Project Budget Request(s) printed circuit board Project Data Management Preliminary Design Review Procurement, Fabrication, and Assembly Principal Investigator piping and instrumentation drawing Project Manager Preventive Maintenance System point of contact Preliminary Qualification Review Project Risk Assessment Project Requirements Review Software Development Group Systems Engineer Safety Risk Assessment Safety Risk Assessment Checklist Work Authorization Procedure 24

25 APPENDIX B: Process Flow Guideline 25

26 Enclosure (1) LLEINST 7700H Title: PM: SE: External Org.: Equipment Qualification Checklist (EQC) Project TASKID: IS/SS Requested by: To be tailored throughout the project by the Program Manager (PM) in concert with the project team. Mark Req d column blanks as or N: Item Req d or N Sched. Comp. Date Actual Completion Signature/Date Project Definition Create TASK ID Establish Project Team Requirements document Draft shop service requests Tailor EQC Project Requirements Review (PRR) PRR minutes published & Action Items in WEBEQC Database Conceptual Design Review (CDR) Preliminary Safety Risk Assessment Preliminary FMEA CDR Meeting CDR minutes published & Action Items in WEBEQC Database Prepare Software Request Preliminary Design Review (PDR) Action Items from all previous reviews resolved Updated SRA and FMEA PDR Meeting PDR minutes published and Action Items in WEBEQC Database 1

27 Enclosure (1) LLEINST 7700H Title: Project TASKID: Item Req d or N Sched. Comp. Date Actual Completion Signature/Date Software/Control Requirements Review (CRR) Applicable Action Items from all previous reviews resolved Updated SRA and FMEA Draft software requirements/functional specification Input/output (IO) Definition P&ID CRR Meeting CRR minutes published and Action Items in WEBEQC Database Final Design Review (FDR) Action Items from all previous reviews resolved Updated SRA and FMEA Final engineering detail drawings, schematics, optical configuration(s), BOM s complete and released P&ID complete and released Cabling Diagrams complete and released Beam & Diagnostic Interference checks complete Physical envelope/space claim cleared Access/rigging cleared Fit and Qualification Test plans published Draft Installation and Operating Procedures published External user Finite Element Analysis (FEA) complete External user Safety Note(s) complete SRF updates defined Draft SRF Auditor updates defined LLEINST 9800 Computer Identification Data Sheet initiated Laser(s) have been added to LLE laser inventory 2

28 Enclosure (1) LLEINST 7700H Title: Project TASKID: Item Req d or N Sched. Comp. Date Actual Completion Signature/Date Laser(s) have been tagged with LLE Laser ID tag FDR Meeting FDR minutes published and Action Items in WEBEQC Database Qualification Updated SRA and FMEA Test plan/procedure(s) complete including required system configuration and operating conditions Safety Inspection Work Authorization Procedure prepared, including approved installation procedures Preliminary Qualification Review (PQR) Meeting PQR minutes published and Action Items in WEBEQC Database Qualification acceptance/closure Installation/Operational Readiness Review (ORR) Action Items from all previous reviews resolved Updated SRA and FMEA Completed hardware in final configuration in house at LLE Work Authorization Procedure prepared, including approved installation procedures Installation Crew orientation conducted Equipment installation Pre-Operation Safety inspection completed LLEINST 9800 Computer Identification Data Sheet completed Fit and function tests complete Qualification tests complete Installation/operating procedures approved and published SRF changes approved and installed Initial operator training conducted 3

29 Enclosure (1) LLEINST 7700H Title: Project TASKID: Item Req d or N Sched. Comp. Date Actual Completion Signature/Date Required executive software updates implemented ORR Meeting ORR minutes published and Action Items in WEBEQC Database ORR Action Items resolved Publish Directors Approval Package Equipment/Software Deployment Laser Facility Model updated by ME 4

30 Project Budget Request for NEW Project Enclosure (2) LLEINST 7700H Proposed Task ID: (10 characters max) Project Title: Task Group: Principal Investigator: Systems Engineer/Project Manager: Task Groups are: CRO, Laser Technology Development, OMEGA Experiments, Diagnostic Dev., Laser Drivers/Sources, Laser Amplifiers, Opto-Mechanical, Experimental Ops, or Miscellaneous Describe this project: Desired Completion Date: (Month /ear) Justification for project and completion date: Indicate Functional Groups expected to contribute: Mech. Eng. Elect & Controls Eng. OMAN SDG Optical Eng. (Service requests must be prepared after project approval and prior to CDR. The PI will work with System Engineering and functional group leaders to estimate the required effort and establish dates for the CDR, FDR, and other reviews.) Fabricated Equipment Budget List materials required. Nomenclature # Units Unit Cost Cost $0 $0 $0 Total Budget $0

31 Project Budget Request for EXISTING Project Enclosure (3) LLEINST 7700H Proposed Task ID: (10 characters max) Project Title: Task Group: Principal Investigator: Systems Engineer/Project Manager: Task Groups are: CRO, Laser Technology Development, OMEGA Experiments, Diagnostic Dev., Laser Drivers/Sources, Laser Amplifiers, Opto-Mechanical, Experimental Ops, or Miscellaneous An Existing Project is a continuation from the previous year. Any remaining funds from the previous year are no longer available as a balance. ou must zero-base budget for all funds required in the next to complete or continue the effort. Describe this project: Describe the progress made in previous years. Discuss any problems or limitations. Describe the remaining work. Desired Completion Date: (Month/ear) Justification for project and completion date: Indicate Functional Groups expected to contribute: (N.A. if project has completed CDR) Mech. Eng. Elect & Controls Eng. OMAN SDG Optical Eng. (Service requests must be prepared after project approval and prior to CDR. The PI will work with System Engineering and functional group leaders to estimate the required effort and establish dates for the CDR, FDR, and other reviews.) Fabricated Equipment Budget List materials required. Nomenclature # Units Unit Cost Cost $0 $0 $0 Total Budget $0

32 Safety Risk Assessment Checklist Enclosure (4) LLEINST 7700H Project TASKID Item Associated Risk * None Some ** (=0) (>0) Line # s of related entries in FMEA spreadsheet Mechanical Elevated weight Vacuum/pressure vessel Operator access (weight, size, reach) Personnel hazard (head, trip, moving parts, noise, ) Other structural/loading Hot/cold surfaces Rigging (installation, normal use) Alternate configurations Chemical Fuel or oxidizer Asphyxiant Toxic material Reactive/corrosive Beryllium Electrical High voltage Unprotected leads Overheating Stored energy Lasers Eye hazard during operation Eye hazard alignment only Open focus Spot Ionizing Radiation Radioactive liquid Radioactive solid Radioactive gas Loose-surface radioactivity Can become activated * Risk is rated prior to applying mitigation strategies. All entries having some (non-zero) associated risk must have a corresponding entry in the Failure Mode and Effects Analysis (FMEA) spreadsheet ** Numbers 0 to 2 are per FMEA: 0 = none, 1 = minor or marginal, 2 = critical or catastrophic Submitted by System Engineer Approved by Project Manager Approved by Chief Safety Officer

33 Enclosure (5) LLEINST 7700H Table 1: Failure Mode and Effects Analysis (FMEA) System or Subsystem Hazard Category 1 Failure Causes Effects Consequence Mode 2 before Mitigation 3,4 Probability of Occurrence before Mitigation 5 Mitigation Consequence After Mitigation Probability of Occurrence After Mitigation Enter the system in which the failure may occur. List the failure mode. Describe the cause. Use multiple rows for multiple causes. Describe the effect(s) on the system in which the failure occurs. Rate the severity of hazard before mitigation efforts are made. Estimate the likelihood of the failure occurring before mitigation efforts are made. Describe the step(s) necessary for mitigating the likelihood of the failure occurring. Rate the severity of hazard after mitigation efforts have taken place. Estimate the likelihood of the failure occurring after mitigation efforts have taken place. Project or Equipment Name: 1 Hazard Category: Personnel, Equipment, Other 2 Failure Mode: Brief statement of the hazard 3 Personnel Hazard Level definitions: Catastrophic = May cause death. Critical = May cause severe injury. Marginal = May cause minor injury. Minor = Not serious enough to cause injury. None = No hazard for personnel. 4 Equipment Hazard Level definitions: Catastrophic = May cause > 1 day lost shot time. Critical = May cause < 1 day lost shot time. Marginal = May cause ~1 hour of lost shot time. Minor = May cause delay < 0.5 hour of lost shot time. None = No risk of lost shot time. Note: For non-shot related equipment, assess hazard level based on programmatic impact (cost, man-hours, delay, etc). 5 Likelihood of Occurrence definitions: Probable = Expected to happen in the life of the project. Infrequent = Could happen in the life of the project. Controls have significant limitations or uncertainties. Remote = May happen in the life of the project, but not expected. Controls have minor limitations or uncertainties. Improbable = Extremely remote possibility that failure will occur in the life of the project. Proven controls are in place.

34 Enclosure (6) LLEINST 7700H Project Risk Assessment To be completed * during project Concept and Requirements Development phase, and updated at each subsequent project review. Project ID: Project Risk Assessment Risk & Impact ID Risk Description Cost Schedule Technical Resource Status Mitigation Plan R I R I R I R I Completed by: Project Manager/Date 1 of 2

35 Enclosure (6) LLEINST 7700H Project Risk Assessment Key: Risks are described as having a High (H), Medium (M) or Low (L) probability, or estimated likelihood of occurrence High: >80% chance of occurrence Medium: 20% < x < 80% chance of occurrence Low: <20% chance of occurrence Risk Status Active: Actively being worked Watch: Monitoring for action if required Impacts are described in terms of consequence to project Cost Schedule Technical Resource 1 No impact No impact No performance impact No impact 2 <5% increase in cost Minor slip in one or more project milestones One or more secondary requirements will not be met Impacts to cost, schedule or technical parameters 3 5% < x < 15% cost increase Key project milestone in jeopardy Primary Science/Physics requirement will not be met Impact to multiple project metrics (cost, schedule, technical) 4 >15% increase in cost Cannot meet first use schedule. Shot schedule at risk Project in jeopardy Critical need to complete project 2 of 2

36 Enclosure (7) LLEINST 7700H Pre-Operation Safety Inspection Checklist To be completed during equipment inspection and included in the Installation/Operations Readiness Review (ORR) package. Project ID: Item Risk* OK Comment/Mitigation Mechanical Moving components Elevated weight Compressed gas Liquid under pressure Stored gravitational energy Stored spring energy Stored or trapped gas pressure Sharp edges Head hazard Trip hazard Noise Hot/cold surfaces Reach/access Will not support incidental loads Maintenance access rigging Alternate configurations Equipment labeled Review lockout devices/method Chemical Fuel or oxidizer Asphyxiant Toxic material Reactive/corrosive Appropriate labels Appropriate storage MSDS Beryllium Electrical High voltage Unprotected leads Overheating Electrical lockout Cabling labeled Grounding Review lockout devices/method 1 of 2

37 Enclosure (7) LLEINST 7700H Item Risk* OK Comment/Mitigation Lasers Eye hazard during operation Eye hazard alignment only Open focus spot Ionizing Radiation Radioactive liquid Radioactive solid Radioactive gas Loose surface radioactivity Can become activated LockOut Zero Energy State Review lockout devices/method *Insert the risk level (0, 1, or 2) from the Final Safety Risk Assessment Checklist as appropriate Completed by (as applicable): Mechanical Safety Officer/Date Chemical Safety Officer/Date Electrical Officer/Date Laser Safety Officer/Date Radiation Officer/Date Project Manager/Date Systems Engineer/Date Reviewed by: LLE Chief Safety Officer/Date 2 of 2

38 Enclosure (8) LLEINST 7700H Project Approval Cover Sheet Project Title Project TASK ID Approvals: Project Manager Date Systems Engineering Group Leader Date LLE Safety Officer Date Laser Development and Engineering Division Director Date Experimental Division Director Date Omega Facility Director Date System Engineering: Check if approval is provisional. Approval is provisional based upon the following: Provisional approval expires ; thereafter equipment may not be utilized until provisions have been satisfied or removed by the appropriate Division Director(s).