​​​​​​​​​​​​​​​​​​​​​Management System Owner: Chief Engineer

Revision Number:  2.1​                               Date: May 20 2020

1.0 Purpose

The purpose of the Engineering Management System is to provide consistency to engineering systems, practices, procedures and processes at Fermi National Accelerator Laboratory (FNAL) in order to minimize risk to Fermilab's mission by assuring that engineered components, sub-systems and systems meet specifications, functionality and laboratory requirements. The Engineering Management System consists of a set of documented policies, procedures and processes that are used to plan and carry out engineering design, testing, validation and acceptance, and release to operations of components, sub-systems or systems.

2.0 Roles and Responsibilities




Chief Laboratory Officers
  • Responsible to Laboratory Director for implementing the Laboratory-level requirements for engineering standards and configuration control within their respective Sectors; for ensuring that adequate resources are provided; and for holding their direct reports accountable for their performance.
Division/Section/Project (D/S/P) Heads
  • Line management responsibility for ensuring that engineering processes and expectations are promulgated within their organizations and that engineering design processes are followed.
Department Heads, Group Leaders, Engineering Supervisors
  • Line management responsibility for ensuring that engineering processes and expectations are promulgated within their organizations and that engineering design processes are followed.
Project and System Managers
  • Responsible for ensuring that tasks are completed using good engineering and quality-control methods.
Engineers and other Technical Staff doing engineering work
  • Responsible for carrying out engineering design activities in accordance with engineering design processes, policies, procedures and standards.
Engineering Management System Owner (MSO)
  • Lead the development, deployment and execution of the Engineering Management System.
Engineering Advisory Council
  • Advises the Laboratory Director on matters of engineering interest or matters of concern to the Laboratory, through the Office of the Chief Engineer. Pursue solutions to engineering issues as charged by the Chief Engineer.


3.0   Primary Requirements

3.1     M&O Contract

  • DOE Prime Contract No. DE-AC02-07CH11359 for the Management and Operation of the Fermi National Accelerator Laboratory (Fermilab)
  • C.4(b)(3) Office of Science High-Energy Physics Program
  • A combination of line management and project oversight under the guidance of the Engineering Manual, assure the engineering deliverables meet all required safety, quality and functional requirements.

3.2     Fermilab Performance Evaluation and Measurement Plan (PEMP)

    • Goal 6.0: Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission;
    • PEMP Engineering deliverables are monitored by the Office of the Chief Engineer and corrections are made as deemed necessary.  Safety, Quality and Function are reviewed, and appropriate changes applied.

3.3   Other Required DOE Orders and Instructions

    • DOE Order 420.2C (07/21/11) - Safety of Accelerator Facilities

3.4   FRA Contract Mapping to Management Systems


4.0   Management System Description

4.1   Overview

The Engineering Management system is intended to provide consistency to engineering systems, practices, procedures and processes to ensure that applicable engineering standards are used for Fermi National Accelerator Laboratory (FNAL) engineering activities. The Management system ensures quality levels appropriate for the work, while protecting the health and safety of employees and users, and protection of the environment. The Engineering Management System reviews the engineering needs of the laboratory and establishes engineering standards. These standards, practices, procedures and processes are periodically reviewed to respond to emerging needs.

4.2   Key Functions/Services and Processes

The Engineering Management System supports FNAL research and development as well as support organizations by providing processes and standards that are compliant with codes and regulations and achieve safe, effective, and efficient operations of FNAL facilities. The System focuses on the safe and appropriate engineering standards as listed in the Necessary and Sufficient codes in the Fermilab contract. Examples of these standards include but are not limited to Building Codes, ASME Code, ASHRE, National Fire Code, National Electrical Code, safety design software, security requirements, etc. The System ensures the proper integration into engineering design, modification, and operations.

4.3   Engineering Subject Matter Experts

There are certain engineering systems/components at FNAL that require consistent administration. Examples of these are cranes, fire protection, welding, various Authorities Having Jurisdiction (AHJ), receipt inspections and testing, and controlled storage.

4.4   Management System Operation

Given the dynamic nature of engineering work at FNAL, the Laboratory Director established the Engineering Advisory Council to assist the Management System Owner (MSO) in the maintenance and continuous improvement of Fermilab's engineering practices. The EAC provides advice on engineering matters of interest to the Laboratory Director through the Office of the Chief Engineer. The EAC also provides advice on matters of concern to the Fermilab Engineering community and helps to foster communication between the Engineering community and the Laboratory Director at Fermilab. EAC membership is established by the MSO and reflects the broad range of engineering disciplines carried out at the laboratory.

The EAC supports the MSO in identifying emerging engineering issues and concerns and in the application of consistent engineering processes throughout the laboratory. The EAC is engaged in the following activities:

  • Identifying cross-cutting engineering-related issues that require resolution at the laboratory level
  • Issuing, reviewing and updating laboratory level engineering standards and processes, including the Engineering Manual
  • Reviewing and incorporating applicable engineering-related DOE Orders, codes, regulations to determine appropriate implementation
  • Identifying Subject Matter Experts as needed
  • Providing standards that define the desired level of quality and performance requirements for engineering design, construction and operation
  • Fostering coordination, communication and awareness about the FNAL Engineering Management System and engineering practices and processes.

4.5   Engineering Process

The Engineering and Design Process integrates Quality Assurance and ES&H into sound, code-compliant, engineering procedures and practices. The Engineering Process is described in the Fermi National Accelerator Laboratory Engineering Manual and utilizes the steps outlined below.

4.5.1        Requirements and Specifications

The Engineering Team Leader prepares engineering specifications based on requirements from the project or system manager. Considerations in preparing requirements include the scope of work, functional or technical requirements, ESH&Q requirements, relevant codes and standards and interfaces. Specifications are approved by line management and project management prior to the initiation of design.


4.5.2        Engineering Risk Assessment

A risk assessment is conducted in order to assess project risk as well as to determine the appropriate level of engineering documentation and review. Risks to be considered include technical complexity, potential environmental impact, vendor capabilities and schedules, resource availability, Quality Assurance requirements, safety hazards, manufacturing complexity, schedule, interfaces, experience and capabilities of team members, regulatory requirements, funding availability, reporting requirements, potential public impact, and cost.

4.5.3        Requirements and Specifications Review

Review of the requirements and specifications takes a graded approach depending on the evaluated risk of the project. Low- risk engineering activities may utilize an informal technical review by peer engineers. High-risk projects require formal technical reviews with SMEs from outside the engineering department or laboratory. In all cases, the review of requirements and specifications shall be appropriately documented.

4.5.4        System Design

Once Requirements and Specifications are completed and approved, system design is initiated. An engineering design must be properly documented, including calculations, drawings, operating modes and procedures and maintenance plans.

4.5.5        Engineering Design Review

The purpose of design reviews is to ensure that proper engineering design has been conducted, such that the component, sub-system or system meets the requirements and specifications while adhering to relevant requirements and codes. Design reviews utilize a graded approach based on the assessment of risk. Reviews occur at various stages of the engineering process, such as prototyping, conceptual design, preliminary design and final design. Reviews may be sponsored by the Department Head, the Project Management or Division/Section Management.

4.5.6        Procurement and Implementation

Procurement of goods and services is in accordance with Fermilab Procurement Policies. In the implementation phase, the Engineering Team Leader regularly provides cost and schedule progress to the line and project management. Quality assurance verification is obtained for delivered parts and components. The Engineering Team Leader coordinates with support staff to ensure proper fabrication and installation of the project components.

4.5.7        Testing and Validation

Testing and validation demonstrate that the component or system satisfies the project requirements and component specifications, based on documented acceptance criteria. The level of testing and validation varies considerably in a graded approach depending on project risk. Testing and validation results shall be documented, prior to release to operations.

4.5.8        Release to Operations

Operating and maintenance documents and procedures are prepared, as appropriate.

4.5.9        Final Documentation

The Engineering Team Leader creates, controls, and archives documentation in order to complete a project. This process uses a graded approach as determined by the department head and Engineering Team Leader following the guidance of the Engineering Risk Assessment. The final documentation includes all documents from prior steps in the process.

5.0   Policies

6.0   Key Processes, Procedures, and Manuals

7.0   Approach to Collaboration and Communication

Reviews at all phases of the design process provide feedback to the stakeholders and engineering teams.  The outcomes of reviews are tracked (iTrack) and inadequate findings are assigned for correction.  The iTrack system provides periodic reminders of needed responses.

​​8.0   Contractor Assurance Requirements

8.1   Metrics and Key Performance Indicators (KPIs)

Periodic design reviews are held and compared to estimated cost and schedule milestones.  Communications between the stakeholders and design teams with input from the Chief Project Officer ensures issues are brought to light quickly and acted upon promptly.

8.2   Assessments

If issues are discovered in the execution of the project which show deficiencies in the Engineering Management System, detailed analysis of the faults and corrective action plans are undertaken.  This process can span multiple Management Systems to determine the root cause of the flaw.  The corrective actions are then initiated under the guidance of the Chief Engineer and/or other Management System Owners as needed.

8.3   Approach to Issues Management

The primary means of issues management is through formal engineering reviews coupled with iTrack investigations.  Human Performance Improvement (HPI) reviews are additionally conducted to uncover systemic issues.

8.4   Lessons Learned

A Lessons Learned database will be linked to the engineering process page to allow for easy search and retrieval of prior incidents.  New information will be stored in this central location to allow review by Design Teams prior to beginning a new design.

8.5   Risk Management

An Engineering Risk Analysis spreadsheet is used to determine the overall risk and to set the appropriate level of formality at each stage in the design process.  The Risk Analysis applies the Graded Approach to set threshold levels for risks involving:


Environmental Impact

Vendor Issues

Resource Availability



Manufacturing Complexity




Regulatory Requirements

Project Funding

Project Reporting Requirements

Public Impact

Project Cost.

Risks/assessments monitored by:

  • Self-Assessment Program
  • iTrack Procedures and Risk Assignment
  • Corrective Action Plans – in iTrack
  • Effectiveness Reviews – in iTrack

9.0   Required Reports and Records

There are no formal requirements for assessment of the Engineering Management System. Periodic self-assessment ensures that the management system is providing consistency to engineering systems, practices, procedures and processes at Fermilab, and minimizing risk to the laboratory from a failure in the engineering process. A self-assessment shall be carried out on a biennial basis. Action items from these self-assessments are to be posted, assigned and tracked through the iTrack system.

10.0   Extension of Management System to SDSTA (SURF)

This Management System applies to the minimum requirements for engineering work at Sanford Underground Research Facility that is sponsored, managed, or overseen by FNAL. Additional state or local requirements, such as the need for a South Dakota Professional Engineering (PE) stamp for certain designs apply and will be followed as an extension of this Management System.

11.0   Additional References

  • ANSI O1.1                          Woodworking machinery
  • ANSI Z136.1                       Lasers 2000
  • AWS Z 49.1                        (American Welding Standard) Cutting, Welding and Hot Work Activities 1999 version
  • ANSI/ASHRAE 15              Mechanical refrigeration
  • ANSI/ASME B30.10           Hooks 2005
  • ANSI/ASME B30.11           Monorails and Underhung Cranes 2004
  • ANSI/ASME B30.16           Overhead Hoists (Underhung) 2003
  • ANSI/ASME B30.17           Overhead and Gantry Cranes (Top Running Bridge, Single Girder, Underhung Hoist) 2003
  • ANSI/ASME B30.2             Overhead and gantry cranes 2005
  • ANSI/ASME B30.20           Below the hook lifting devices 2006
  • ANSI/ASME B30.21           Manually Lever Operated Hoists 2005
  • ANSI/ASME B30.22           Articulating Boom Cranes 2002
  • ANSI/ASME B30.5             Mobile and locomotive truck cranes 2004
  • ANSI/ASME B30.9             Slings 2003
  • ANSI/ASME B31.3             Process Piping 2004
  • ANSI/ASME B31.5             Refrigeration piping 2001
  • ASME                                 Pressure Vessel Code - Section VIII
  • ASME B20.1-1996             Safety Standard for Conveyors & Related Equipment
  • FESHM 5031                     Pressure vessels
  • FESHM 5031.1                  Pressure piping systems
  • FESHM 5032                     Cryogenic system review
  • FESHM 5032.1                  Liquid nitrogen dewar installation rules
  • FESHM 5032.2                  Guidelines For the Design, Fabrication, Testing, Installation, and Operation of LH2 Targets
  • FESHM 5033                     Vacuum vessel safety
  • FESHM 5033.1                  Vacuum window safety
  • FESHM 5035                     Mechanical refrigeration systems
  • IEC 61511                          Functional Safety, Safety Instrumented Systems for the Process Industry Sector
  • Pressure Equipment Directive (PED) 97/23
  • 10 CFR 435                       RDR Energy Conservation Voluntary Performance Standards for New Buildings; Mandatory for Federal Buildings. (The hazards that this law addresses are not directly related to ES&H issues but applicable to engineering design.) 
  • 10 CFR 436                       RDR Federal Energy Management and Planning Programs. (The hazards that this law addresses are not directly related to ES&H issues but applicable to engineering design.)
  • ANSI B30.9 (1992)            RDR Slings (equipment design specification only)
  • ANSI N14.6-1993              RDR Radioactive Materials, Special Lifting Devices for Shipping Containers Weighing 10,000 pounds (4500 kg) or More
  • AWS B2.1                          RDR Specification for Welding Procedure and Performance Qualification
  • AWS D1.1                         RDR Welding Code-Steel
  • AWS D1.2                         RDR Structural Welding Code-Aluminum
  • AWS D1.3                         RDR Structural Welding Code-Sheet Steel
  • AWS D1.6                         RDR Structural Welding Code-Stainless Steel
  • AWS D9.1                         RDR Sheet Metal Welding Code
  • AWS QC-1                        RDR Specification for Qualification and Certification of Welding Inspectors
  • AWWA D100                    RDR Welded Steel Tanks for Water Storage
  • DOE-STD-1090-2007      with exceptions RDR Hoisting and Rigging Standard (Formerly Hoisting and Rigging Manual)
  • FED-STD-795                  RDR Uniform Federal Accessibility Standards
  • Instrument Society of America (ISA) S5.1 RDR Instrumentation. Symbols & Ident, 1993
  • Instrument Society of America (ISA) S5.4 RDR Instrumentation Loop Symbols, 1996
  • International Building Code (IBC) 2009 RDR (Exceptions: Replace all references to the ICC Electrical Code with the NFPA 70 National Electric Code, latest edition; All appendices; See additional exceptions identified in the WSS ID Team Report, Attachment B IBC matrix)
  • International Fire Code (IFC) 2009 RDR (Include Appendix B through I as reference only; Exception: Appendix A â€" Board of Appeals)
  • International Fuel Gas Code (IFGC) 2009 RDR (Include Appendix B through I as reference only)
  • International Mechanical Code (IMC) 2009 RDR (Exceptions: All Appendices)
  • International Plumbing Code (IPC) 2009 RDR (Include Appendix B through Gas reference only)
  • NBIC RDR National Board Inspection Code (for existing and new pressure vessels) (The latest edition of the NBIC is to be used (see NBIC Foreword for specific applicability).
  • Necessary & Sufficient requirements in the Fermi National Accelerator Contract

12.0   Acronyms and Terms

CEChief Engineer


Deputy Chief Engineer
CFOChief Financial officer
COOChief Operating officer
CSOChief Safety officer
D/S/P HEADSSenior managers responsible for each of Fermilab's major organizations (Division, Section, or Project)
EACEngineering Advisory Council
FNALFermi National Accelerator Laboratory, also known as Fermilab
FRAFermi Research Alliance, LLC
FSOFermi Site Office of the U.S. Department of Energy
HPIHuman Performance Improvement
Engineering Team LeaderPerson assigned to lead the design of components, a sub-system or a system
NEPANational Environmental Policy Act


Fermilab Engineering Manual (pdf).aspx
12/16/2014 4:43 PMMatt Crawford
Fermilab Engineering Manual Appendices (pdf).aspx
12/17/2014 10:28 AMMatt Crawford