Scope - std30230007

DOE-DP-STD-3023-98

SCOPE

This standard describes issues that should be considered when comparing, selecting, or

implementing risk-based prioritization (RBP) systems. It also discusses characteristics that

should be used in evaluating the quality of an RBP system and its associated results.

PURPOSE

The purpose of this standard is to provide guidance for selecting or developing an RBP

system so that when implemented, it will:

a. Improve the quality of the RBP systems employed by DOE and its contractors.

b. Improve the consistency and comparability of RBP system results.

Satisfy DOE requests to perform RBP.

d. Help ensure that limited resources are used efficiently and effectively.

e. Help ensure that characteristics for evaluating RBP systems are met and

properly balanced.

Promote greater understanding, use, and acceptance of RBP systems.

g. Promote greater understanding between DOE and its stakeholders and

regulators.

h. Improve the quality of resource allocation, planning, and scheduling decisions.

APPLICABILITY

This standard is applicable to any and all uses of RBP by DOE elements, including cases in

which RBP is requested by DOE or is used to help allocate resources among alternatives

that compete for resources.

Prioritizing alternatives that compete for limited resources encompasses many policy issues

that are inherent to an RBP effort. It is the position of this standard that policy issues

should be determined by the decision maker(s) requesting the prioritization. For additional

information on policy issues, refer to section 10 on Application Guidance for Policy Issues.

OVERVIEW

This standard was developed using a top down approach that made it necessary to identify

principles, guidelines, and requirements that should govern RBP.

4.1 Origins and Regulatory Perspectives. There are currently few contexts in which the

use of RBP is formally required for DOE activities. However, because RBP can provide

useful insights into decision options to achieve cost-effective risk management goals, DOE

encourages its use. Further, there are a number of precedents for the use of RBP both

inside and outside DOE. To address these precedents, this standard was developed from

the top down using high-level documents and principles, augmented by concepts from other

documents that would potentially impact the use of RBP.

The highest-level (first-tier) documents, which represented stated policy applicable to the

use of RBP, had the greatest impact on the standard in that it was determined that the

standard must be fully consistent with their requirements. Of primary concern was DOE'

" isk Principles: Risk Assessment, Management, and Communication and Priority Setting,"

issued by the Under Secretary of the DOE on January 25, 1995, under a memo entitled

" rinciples for Using Risk Analysis"(reference [o]). These Risk Principles were based on

precepts generally applicable across Federal agencies and modified to apply more

specifically to DOE programs and processes. The Risk Principles were designed as an