Office of Science

**INTERIM GUIDANCE**

***Energy Systems Acquisition Advisory Board*** ***(ESAAB)***

# Equivalent Board

***Procedure***

and

***Baseline Change Control Guidelines***

**December 2003**

**Prepared by the**

**Construction Management Support Division**

**Office of Science**

**Department of Energy**

## CONTENTS

Definitions i

1\. Background 1

2\. Purpose 3

3\. Applicability 5

4.  Office of Science ESAAB EQUIVALENT BOARD-Authority, Roles, and
    Responsibilities 7

    1.  Acquisition Executive 7

    2.  ESAAB Equivalent Board---Secretariat 8

    3.  ESAAB Equivalent Board---Members 9

    4.  Office of Science Program Offices 9

    5.  Federal Project Director 10

5\. Office of Science ESAAB Equivalent Board 11

6\. Office of Science ESAAB Equivalent Board Process 13

6.1 Scheduling 13

6.2 Preparation for ESAAB Equivalent Board Meeting 13

6.3 ESAAB Equivalent Board Meeting 14

7\. Office of Science Role in the Secretarial ESAAB Process 15 7.1
Scheduling 15

7.2 ESAAB Readiness Review 15

7.3 ESAAB Review 16

8\. Office of Science Baseline Change Control Guidelines 17

8.1 Purpose 17

8.2 Scope 17

8.3 References 17

8.4 Field BCC 18

8.5 Appeal Procedure 19

####### Appendices

A Typical Timeline for Secretarial Acquisition Executive ESAAB
Equivalent Board 21

Process for Other Projects

B Typical Timeline for Office of Science ESAAB Equivalent Board 23

Process for Major System Projects

C Office of Science Project Decision/Approval Matrix 25

D Baseline Change Proposal Form 27

**DEFINITIONS**

[Acquisition Executive]{.underline} [(AE)]{.underline}---The Office of
Science approving official for ESAAB Equivalent Board actions and
performance baseline changes for projects less than \$400 million.

[Baseline Change Proposal]{.underline} [(BCP)]{.underline}---The BCP is
a request from the Federal Project Director to make a change to the
scope, cost, and/or schedule baselines of a project. This proposal is
reviewed at the appropriate change control board levels (shown below),
and approved or disapproved by the appropriate change control manager or
Acquisition Executive. Change control levels are defined in the DOE
Manual 413.3-1 and in individual Project Execution Plans. For Major
System Projects, the BCP levels are as follows:

[OLD]{.underline} [NEW]{.underline} [Approval Authority]{.underline}

Level 0 Deviation Secretarial Acquisition Executive

Level 1 Level 1 Director, Office of Science

Level 2 Level 2 Operations/Field Element Office Manager

Level 3 Level 3 Contractor Project Manager

[Contractor Project Manager]{.underline} [(CPM)]{.underline}---The CPM
is generally from the Management and Operation contractor organization,
the Architect-Engineer firm, Construction Management firm, or a
non-Department of Energy, Federal employee assigned to direct the
project. The CPM is typically responsible and accountable for the
day-to-day execution of assigned projects within approved cost,
schedule, and scope baselines, as defined in the Project Execution Plan.

There are five critical decisions[^1]:

> Critical Decision 0 Approve Mission Need

Critical Decision 1 Approve Alternative Selection and Cost Range

Critical Decision 2 Approve Performance Baseline

Critical Decision 3 Approve Start of Construction

Critical Decision 4 Approve Start of Operations or Project Closeout

[Deviations]{.underline}---A Performance Baseline Deviation occurs when
the approved performance baseline scope, schedule, or cost parameters
cannot be met (formerly called a Level 0 change). When a Deviation
occurs, the Secretarial Acquisition Executive is to be notified and a
specific determination must be made whether to terminate the project or
establish a new Performance Baseline.

[ESAAB]{.underline}---The [E]{.underline}nergy [S]{.underline}ystems
[A]{.underline}cquisition [A]{.underline}dvisory [B]{.underline}oard is
established to advise the Secretarial Acquisition Executive on major
resource allocations in order to build successful and balanced programs.
ESAAB reviews shall be conducted for all Major System Projects' Critical
Decisions, Performance Baseline Deviations, and site selections for all
facilities for new sites. The ESAAB and other participants (as
designated) will convene every two months as an advisory body with the
Secretarial Acquisition Executive serving as the Chairperson. Other
principal members of the board include: the Under Secretaries; the
General Counsel; the Chief Financial Officer, the Assistant Secretary of
Environment, Safety and Health, etc. Other senior Departmental officials
may be invited by the Secretarial Acquisition Executive to participate
in the Secretarial ESAAB reviews on an as-needed basis.

[ESAAB Equivalent Board]{.underline}---The ESAAB Equivalent Board is
called by the Office of Science Acquisition Executive to review all
non-Major System Projects (those projects under \$400 million and not
designated as a Major System) Critical Decisions and Level 1 Baseline
Change Proposals. Board members may be selected from within the
Acquisition Executive's organization. This is accomplished by utilizing
Office of Science Staff Office elements (Office of Resource Management,
Office of Laboratory Operations and Environment, Safety and Health,
etc.) and other non-Office of Science personnel (as designated) to
review the project and provide advice to the Office of Science
Acquisition Executive on the readiness of the project to proceed.
However, at least one member from an office not reporting to the
Acquisition Executive will be designated as a contributing
representative.

[ESAAB Equivalent Board Secretariat]{.underline}---The Office of Science
ESAAB Equivalent Board Secretariat resides within the Construction
Management Support Division, which is responsible for establishing and
administrating the Office of Science ESAAB Equivalent Board process in
accordance with Departmental policies and orders, and with this
procedure.

[ESAAB Secretariat]{.underline}---The Department of Energy ESAAB
Secretariat resides in the Office of Engineering and Construction
Management within the Office of Management, Budget and Evaluation and is
responsible for establishing and administrating the DOE ESAAB process.

[Federal Project Director]{.underline} [(FPD)]{.underline}---The FPD is
the Department of Energy employee typically assigned oversight of the
project(s) and the principal Departmental interface with the Contractor
Project Manager.

[Field Organizations]{.underline}---These are organizations (Operations
Office, Area Office, Management and Operating Contractor, Management and
Integrator Contractor, etc.) that are responsible for the execution
and/or oversight of the project in the field.

[Integrated Project Team (IPT)]{.underline}---An IPT is a
cross-functional group of individuals organized to advise the Federal
Project Director in delivering a project to an external or internal
customer. Project Directors, contracting officers, safety and quality,
legal, and personnel in technical disciplines may compose the membership
of the typical IPT.

[Major System Projects]{.underline}---Major System Projects are any
project or system of projects with a Total Project Cost of \$400 million
or greater or any other project so designated by the Deputy Secretary.
Projects may be classified as a Major System Project either solely by
the Deputy Secretary, or by the Deputy Secretary in response to
recommendations from the appropriate Program Secretarial Officer or head
of a departmental office, with endorsement by the appropriate Under
Secretary. The Office of Engineering and Construction Management
maintains and periodically publishes a list of Major System Projects.

[Other Projects]{.underline}---Other Projects include all projects with
a Total Project Cost less than \$400 million but greater than \$5
million and not designated as a Major System Project. This includes
capital equipment, whether funded by capital or operating funds.

[Program Secretarial Officer]{.underline} [(PSO)]{.underline}---The PSO
is the head of the program organization that acts as the Acquisition
Executive for the ESAAB Equivalent Board process.

[Program Manager]{.underline}---Usually the Headquarters Office of
Science personnel assigned for promoting, planning, and oversight of the
execution of assigned projects.

[Office of]{.underline} [Science]{.underline} [Program]{.underline}
[Offices]{.underline}---These are the Office of Science organizations
responsible for advocating, planning, and oversight of the execution of
the specific activities and missions that comprise the various Office of
Science programs (i.e., Office of High Energy Physics, Office of Nuclear
Physics, Office of Basic Energy Sciences, etc.).

[Readiness Review]{.underline}---The ESAAB Readiness Review serves as a
dry run for surfacing issues and their resolution on Major System
Projects at least ten working days prior to the Secretarial ESAAB. The
readiness review board will assist the program/project proponent in
tailoring the ESAAB briefing for the proposed decision, ensuring the
evolving acquisition strategy is sound, assessing the progress made by
the project team, and determining whether the project is ready for the
ESAAB review.

[Secretarial Acquisition Executive]{.underline}
[(SAE)]{.underline}---The Deputy Secretary is the designated SAE for the
Secretarial ESAAB process. The SAE is the approving official for all
Department of Energy ESAAB actions, both critical decisions and
performance baseline deviations Baseline Change Proposals on Major
System Projects and "watch-list" projects.

DOE Manual 413.3-1 designates the Under Secretary/NNSA Administrator as
the Acquisition Executive for Critical Decisions for projects less than
\$400 million and more than \$100 million. The Under Secretary has
further delegated this Acquisition Executive authority to the various
program offices, i.e. Office of Science, in a memorandum dated April 11,
2003.

### 

**1. BACKGROUND**

Department of Energy (DOE) Order 413.3, Program and Project Management
for the Acquisition of Capital Assets and DOE Manual 413.3-1, Project
Management for the Acquisition of Capital Assets, requires all Critical
Decisions for Major System Projects be approved by the Deputy Secretary
as the Secretarial Acquisition Executive before proceeding to the next
acquisition phase. Also, all performance baseline "deviations" must be
approved by the Deputy Secretary or the Under Secretary in accordance
with the Total Project Cost thresholds as shown in the DOE Manual
413.3-1, page 2-8. The Under Secretary has delegated baseline deviation
approval authority to the Director, Office of Science; however, the
authority may not be subsequently delegated below that level for all
projects less than \$400 million.

Both the DOE Order 413.3 and DOE Manual 413.3-1 require that each
Program Secretarial Officer appoint an ESAAB Equivalent Board for
advising on actions regarding those Other Projects (not Major System
Projects) within that Program Secretarial Officer's authority. The
Program Secretarial Officer serves as Acquisition Executive for these
Other Projects and as chair of the ESAAB Equivalent Board. The Program
Secretarial Officer may delegate equivalent Acquisition Executive
functions, including decision approvals, for those Other Projects below
\$100 million to an Associate Director or an Operations/Field Element
Manager. For those delegated Other Projects less than \$20 million, the
Associate Director or Operations/Field Element Manager may further
delegate equivalent Acquisition Executive functions to a direct
reporting subordinate of the Field Element Manager.

The PSO for the Office of Science has delegated Acquisition Executive
authority to the Associate Directors for all projects below \$100
million.

Both the Secretarial ESAAB and the ESAAB Equivalent Board were
formulated to assist the Critical Decision and baseline change control
processes. The Secretarial ESAAB and ESAAB Equivalent processes also
provides a vehicle by which senior management can reinforce Departmental
policy, make necessary course corrections, and verify that all
organizational elements are working toward the same goal.

Performance Baseline Changes requiring approval by the Secretarial
Acquisition Executive or any change to the CD-2, Approve Performance
Baseline, for all projects greater than \$5 million that affect the
technical, schedule, or cost baseline parameters are determined by the
following criteria:

Technical Any change in scope and/or performance that affects mission
need requirements or is not in conformance with current approved Project
Data Sheet.

Schedule A six-month or greater increase (cumulative) in the original
project completion date.

Cost Increase in excess of \$25 million or 25 percent (cumulative) of
the original cost baseline.

In summary, the Secretarial ESAAB advises the Deputy Secretary on
projects designated as Major System Projects (usually \$400 million or
greater) and the ESAAB Equivalent Board advises the Director of the
Office of Science for Other Projects (less than \$400 million) that are
not delegated as Major Systems Projects.

The Office of Science Project Decision/Approval Matrix developed by the
Construction Management Support Division to summarize the many decisions
and approvals established by DOE Order 413.3 and DOE Manual 413.3-1 is
shown in Appendix C.

**2. PURPOSE**

The purpose of this procedure is to define the Office of Science ESAAB
Equivalent Board process for Office of Science Major System Projects and
Other Projects regarding Critical Decisions and baseline changes for all
projects. This ESAAB Equivalent Board Procedure will promote informed,
objective, timely, and documented decisions, made in a formal and
auditable manner. The procedure will also define the role of the ESAAB
Equivalent Board in support of Secretarial ESAAB Reviews for Major
System Projects.

The Office of Science Baseline Change Control guidelines are included in
Section 8 of this document. These guidelines address the use of a
Baseline Change Proposal (BCP) form and the change control process at
the Field level. The Office of Science Baseline Change Control form is
shown in Appendix D.

**Intentionally Blank**

**3. APPLICABILITY**

This procedure is applicable to all Office of Science organizational
elements, including DOE Headquarters, Operations Offices/Field Elements,
and contractors involved in project management. For delegated Other
Projects, the designated Office of Science Program Office or Operations
Office/Field Element Manager will be responsible for implementing the
ESAAB Equivalent Board Procedure.

The Office of Science ESAAB Equivalent Board, when called upon, is
responsible for advising the Office of Science Acquisition Executive on
Critical Decisions and Level 1 Baseline Change Proposals for Office of
Science Other Projects. In addition, for all decisions on Office of
Science Major System Projects, the Acquisition Executive (Director,
Office of Science) may ask the ESAAB Equivalent Board to review
proposals requiring submittals to the Secretarial ESAAB process.

Other Projects that are \$5 million or less (General Plant Projects,
General Purpose Equipment Projects, Accelerator Improvement Projects,
Capital Equipment Projects, and Operating Expense Funded Projects) are
exempted from the Office of Science ESAAB Equivalent Board process.
However, these Other Projects must meet the principles of both DOE Order
413.3 and DOE Manual 413.3-1 where applicable, such as Critical
Decisions, quarterly reviews, project execution plan, change control,
etc. These principles will be applied on a tailored basis as appropriate
to the size and risks of each project.

This procedure does not apply to capital assets acquired by state and
local governments or other entities through DOE grants.

**Intentionally Blank**

**4. OFFICE OF SCIENCE ESAAB EQUIVALENT BOARD---AUTHORITY,** **ROLES,
and RESPONSIBILITIES**

**4.1 Acquisition Executive**

The Acquisition Executive (AE) will serve as Chairperson of the Office
of Science ESAAB Equivalent Board meetings, make decisions on
disposition of all requested Critical Decisions and Level 1 Baseline
Change Proposals, and assign action items resulting from meeting
discussions. The AE or ESAAB Secretariat shall document relevant
considerations and the final decision. A copy of all AE decisions shall
be forwarded to the Secretariat of the next level ESAAB board.

#### For Projects with a Total Project Cost Greater Than \$100 million but Less Than \$400 million 

As delegated by the Under Secretary in his memorandum dated April 11,
2003, the Director of the Office of Science will act as the AE for the
Office of Science ESAAB Equivalent Board meetings for Other Projects
(greater than \$100 million but less than \$400 million), unless AE
authority for Other Projects is delegated further. Further delegation of
AE authority for Other Projects with a Total Project Cost greater than
\$5M, but less than \$100 million may be made to the Associate Director
or Field Element Manager. Duties of the Director, as AE, include:

-   Establishing and serving as chairperson of the ESAAB Equivalent
    Board meetings.

-   Making the final decision for Critical Decisions and Level 1
    Baseline Change Proposals for projects not delegated further.

-   Documenting further delegation of AE authority for Other Projects.

#### 

#### For Projects with a Total Project Cost Greater Than \$5 million but Less Than \$100 million 

An Office of Science Associate Director or Field Element Manager will
act as the AE for the Office of Science ESAAB Equivalent Board for all
projects with a Total Project Cost greater than \$5 million but less
than \$100M, unless AE authority is delegated further. The Associate
Director or Field Element Manager may delegate AE authority to a direct
reporting subordinate of the Field Element Manager, for Other Projects
with a Total Project Cost greater than \$5 million but less than \$20M.
Duties of the Associate Director or Field Element Manager, as AE,
include:

-   Establishing and serving as chairperson of the ESAAB Equivalent
    Board meetings.

-   Making the final decision for Critical Decisions and Level 1
    Baseline Change Proposals for projects not delegated further.

-   Documenting further delegation of AE authority for Other Projects
    and providing to the Construction Management Support Division a copy
    of the documentation.

#### For Projects with a Total Project Cost Greater Than \$5 million but Less Than \$20 million 

Where delegated by an Associate Director or Field Element Manager, a
direct reporting subordinate of the Field Element Manager will serve as
AE for Other Projects with a Total Project Cost greater than \$5 million
but less than \$ 20 million. Duties of a direct reporting subordinate of
the Field Element Manager, as AE, include:

-   Establishing and serving as chairperson of the ESAAB Equivalent
    Board for Critical Decisions and Baseline Change Proposals (the
    board and procedures must be planned in coordination with the Office
    of Science Construction Management Support Division).

-   Providing to the Construction Management Support Division and other
    appropriate offices, copies of the meeting minutes and decisions
    rendered.

**4.2 ESAAB Equivalent Board---Secretariat**

The ESAAB Equivalent Board Secretariat responsibilities reside in the
Office of Science Construction Management Support Division for all
projects where the AE authority resides at Headquarters.
Responsibilities of the Secretariat include:

-   Participating in all Office of Science ESAAB Equivalent Board
    Meetings.

-   Administering the ESAAB Equivalent Board process for the Office of
    Science Headquarters AE.

-   Coordinating ESAAB Equivalent Board schedules for the AE.

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-   Providing comments on significant project issues to the AE and
    Office of Science Program Office.

-   Recording minutes and action items resulting from ESAAB Equivalent
    Board meetings and disseminating as appropriate.

-   Maintaining records of all Office of Science ESAAB Equivalent Board
    meetings, for both DOE Headquarters and Operations Offices/Field
    Elements.

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-   Assisting and providing oversight for the Office of Science
    Operations/Field Element Managers' ESAAB Equivalent Board procedures
    and processes.

-   Notifying and extending an invitation to the Office of Engineering
    and Construction Management for all Office of Science Secretarial
    ESAAB Reviews and ESAAB Equivalent Board meetings.

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-   
-   

**4.3 ESAAB Equivalent Board---Members**

The Office of Science ESAAB Equivalent Board is an advisory board (not a
voting board) to the AE. The ESAAB Equivalent Board members are
responsible for:

-   Attending all ESAAB Equivalent Board meetings or providing a
    representative.

-   Providing a timely review of project materials.

-   Evaluating the project fully in his/her area(s) of expertise and
    identifying potential issues.

-   Preparing directed questions and/or comments (prior to the ESAAB
    Equivalent Board meeting) on specific project issues that require
    resolution.

-   Working to resolve issues and provide options and solutions.

-   Providing advice to the ESAAB Equivalent Board AE.

    4.  **Office of Science** **Program Offices**

#### Associate Director

The Office of Science Program Office Associate Director is responsible
for:

-   Identifying Program Manager(s) that will be responsible for ESAAB
    Equivalent Board activities within their organization.

-   In coordination with the Operations Office/Field Element, ensuring
    that the Office of Science ESAAB Equivalent Board Procedures are
    being implemented.

> **Program Manager**

-   
-   
-   
-   

The Office of Science Program Manager is responsible for:

-   Coordinating with the ESAAB Equivalent Board Secretariat and Federal
    Project Director (when identified) to schedule ESAAB meetings.
    Office of Science ESAAB Equivalent Board meetings shall be scheduled
    at a minimum of one month in advance of the actual meeting date.

-   Working with the Federal Project Director (when identified) and/or
    the Integrated Project Team to prepare project materials for
    presentation to the board members. Presentation material shall be
    delivered to the Office of Science ESAAB Secretariat a minimum of
    one week prior to the ESAAB meeting.

-   Presenting proposed Critical Decisions or Baseline Change Proposals
    to the ESAAB Equivalent Board when the Federal Project Director is
    not available.

-   Working with the Federal Project Director (when identified) to
    answer inquiries and resolve issues with board members.

-   

-   Developing and coordinating decision documentation with ESAAB
    Equivalent Board Secretariat to capture action items and/or issues
    resulting from the review.

**4.5 Federal Project** **Director**

The Federal Project Director is responsible for:

-   Coordinating with Program Manager and ESAAB Equivalent Board
    Secretariat to schedule ESAAB Equivalent Board meetings. The ESAAB
    Equivalent Board meeting shall be scheduled at a minimum of one
    month in advance of the actual meeting date.

-   Coordinating with the Program Manager and the Integrated Project
    Team in preparation of project documents supporting the decision
    process.

-   Preparing the ESAAB Equivalent Board presentation and decision
    documentation for signature by the AE. Presentation material shall
    be delivered to the Office of Science ESAAB Secretariat a minimum of
    one week prior to the ESAAB meeting.

-   Presenting proposed Critical Decisions or Baseline Change Proposals
    to the ESAAB Equivalent Board.

-   Working with the Program Manager and the Integrated Project Team to
    coordinate responses to ESAAB Equivalent Board questions and
    requests and to resolve issues.

**5. OFFICE OF SCIENCE** **ESAAB EQUIVALENT BOARD**

The Office of Science ESAAB Equivalent Board Members, when called upon,
will review and advise the Acquisition Executive on Critical Decisions
and Level 1 Baseline Change Proposals for Other Projects from \$100
million to less than \$400 million that have not been designated a Major
System Project (see Table 5-1).

**Table 5-1. Board Members for Other Projects (\$100 million** **to less
than \$400M)**

+---------------------------+------------------------------------------+
| **Role/Area of Inquiry**  | **Principal Board Member**               |
+---------------------------+------------------------------------------+
| **Chairperson**           | Director, Office of Science              |
+---------------------------+------------------------------------------+
| **ESAAB Equivalent        | Director, Construction Management        |
| Secretariat**             | Support Division                         |
+---------------------------+------------------------------------------+
| **Senior SC Management**  | Principal Deputy Director, Office of     |
|                           | Science                                  |
|                           |                                          |
|                           | Deputy Director for Operations, Office   |
|                           | of Science                               |
+---------------------------+------------------------------------------+
| **Non-Proponent**         | Associate Director: BES, HEP, NP, FES,   |
|                           | LOESH, BER, ASCR (as appropriate)        |
| **SC Program Office**     |                                          |
+---------------------------+------------------------------------------+
| **Legal (As Required)**   | Office of the General Counsel            |
+---------------------------+------------------------------------------+
| **Budget**                | Director, Financial Management Division  |
+---------------------------+------------------------------------------+
| **Environmental**         | Director, Environment, Safety and Health |
|                           | Division                                 |
+---------------------------+------------------------------------------+
| **Safety & Health**       | Director, Environment, Safety and Health |
|                           | Division                                 |
| **(Integrated Safety      |                                          |
| Management)**             |                                          |
+---------------------------+------------------------------------------+
| **Security Management     | Security Management Team Leader          |
| Team**                    |                                          |
+---------------------------+------------------------------------------+
| **Infrastructure**        | Director, Laboratory Infrastructure      |
|                           | Division                                 |
+---------------------------+------------------------------------------+
| **Procurement**           | Director, Grants and Contracts Division  |
+---------------------------+------------------------------------------+
| **Project Management**    | Director, EM or NNSA Office of Project   |
|                           | Management                               |
+---------------------------+------------------------------------------+
| **OECM Representative**   | Director, Office of Engineering and      |
|                           | Construction Management                  |
+---------------------------+------------------------------------------+
| **Specialized Support (As | Project-specific technology support:     |
| Required)**               |                                          |
|                           | R&D subject matter experts               |
|                           |                                          |
|                           | Program specialists                      |
|                           |                                          |
|                           | Other SC Program Offices                 |
|                           |                                          |
|                           | Public or Congressional Affairs          |
|                           |                                          |
|                           | Laboratory Program Representative        |
+---------------------------+------------------------------------------+

The Office of Science ESAAB Equivalent Board, when called upon, will
review or approve Critical Decisions and Level 1 Baseline Change
Proposals for Other Projects greater than \$5 million to less than
\$100M that have not been designated as a Major System Project and have
not been further delegated to a direct reporting subordinate of the
Field Organization Manager (see Table 5-2).

**Table 5-2. Board Members for Other Projects (greater than** **\$5
million to less than \$100 million)**

+---------------------------+------------------------------------------+
| **Role/Area of Inquiry**  | **Principal Board Member**               |
+---------------------------+------------------------------------------+
| **Chair**                 | Associate Director                       |
+---------------------------+------------------------------------------+
| **ESAAB Equivalent        | Construction Management Support Division |
| Secretariat**             | Representative                           |
+---------------------------+------------------------------------------+
| **Non-Proponent**         | BES, HEP, NP, FES, LOESH, BER, ASCR (as  |
|                           | appropriate) Representative              |
| **SC Program Office**     |                                          |
+---------------------------+------------------------------------------+
| **Legal (As Required)**   | Office of the General Counsel            |
|                           | Representative                           |
+---------------------------+------------------------------------------+
| **Budget**                | Financial Management Division            |
|                           | Representative                           |
+---------------------------+------------------------------------------+
| **Environmental**         | Environment, Safety and Health Division  |
|                           | Representative                           |
+---------------------------+------------------------------------------+
| **Safety & Health**       | Environment, Safety and Health Division  |
|                           | Representative                           |
| **(Integrated Safety      |                                          |
| Management)**             |                                          |
+---------------------------+------------------------------------------+
| **Security Management     | Security Management Team Representative  |
| Team**                    |                                          |
+---------------------------+------------------------------------------+
| **Infrastructure**        | Laboratory Infrastructure Division       |
|                           | Representative                           |
+---------------------------+------------------------------------------+
| **Procurement**           | Grants and Contracts Division            |
|                           | Representative                           |
+---------------------------+------------------------------------------+
| **OECM Representative\*** | Office of Engineering and Construction   |
|                           | Management Representative                |
+---------------------------+------------------------------------------+
| **Project Management      | Public or Congressional Affairs          |
| Specialized**             | Representative Laboratory Program        |
|                           | Representative                           |
| **Support (As Required)** |                                          |
+---------------------------+------------------------------------------+
|                           | Project-Specific Technology Support      |
|                           | Representative:                          |
|                           |                                          |
|                           | R&D subject matter experts               |
|                           |                                          |
|                           | Program specialists                      |
|                           |                                          |
|                           | Other SC Program Offices                 |
+---------------------------+------------------------------------------+

### 

### \* An OECM representative should be invited to ESAAB Equivalent Board Meetings, but does not serve as a board member for projects with a Total Project Cost less than \$20 million.

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

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

**6. OFFICE OF SCIENCE**

**ESAAB EQUIVALENT BOARD PROCESS**

**6.1 Scheduling**

For Other Projects between \$5 million and \$400M, the appropriate
Office of Science Program Manager in cooperation with the Federal
Project Director will formally request (approximately one month prior to
the date) that the ESAAB Equivalent Board Secretariat schedule an ESAAB
Equivalent Board meeting for approval of a Critical Decision or a Level
1 Baseline Change Proposal. Following the Office of Science timeline
(shown in Appendix A), the ESAAB Equivalent Board Secretariat will begin
the scheduling process and notify the designated Acquisition Executive,
the Program Office, and the Federal Project Director. The ESAAB
Equivalent Board Secretariat will also notify the ESAAB Equivalent Board
members of the intended meeting. The Office of Engineering and
Construction Management is a board member for all projects \$20M and
greater, and is to be notified and invited to all ESAAB Equivalent Board
meetings for all projects.

**6.2 Preparation for ESAAB Equivalent Board Meeting**

The Program Manager, in coordination with the Federal Project Director
(when identified), will supply appropriate decision documentation
including project briefing materials to the ESAAB Equivalent Board
Secretariat approximately one week in advance of the ESAAB Equivalent
Board meeting. Decision documentation will include: a description of the
decision requested; a signature area for board members' endorsements,
and an approval line for use by the AE; as well as any action items
and/or issues resulting from the ESAAB Equivalent Board meeting. The
Secretariat will work with the Program Manager to ensure that decision
documentation is complete and to resolve board members' issues.

Other materials provided for the ESAAB Equivalent Board meeting may
include: results from any external and/or internal reviews since the
prior ESAAB Equivalent Board meeting, Corrective Action Plans, and other
materials that support the proposed decision documentation.

The ESAAB Equivalent Board members and Secretariat will examine the
project through the materials provided and provide questions and
comments to the Federal Project Director and Program Manager prior to
the ESAAB Equivalent Board meeting. Board members should identify any
project issues, and should emphasize their concerns in their comments:

-   Items to be corrected that will improve the probability of project
    success.

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-   Whether the identified issue(s) of project preparations are of
    sufficient impact that the project should not proceed.

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-   Cost impact of instituting a recommendation that addresses the
    comments.

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-   Alternative methods for attaining project success or possible
    "trade-offs."

-   Risks and vulnerabilities that may affect environment, safety and
    health or quality assurance aspects of the project.

The Program Manager working with the Federal Project Director will take
the lead in resolving comments and questions of the board members
regarding outstanding issues and requirements.

**6.3 ESAAB Equivalent Board Meeting**

At the formal ESAAB Equivalent Board meeting, the Federal Project
Director or the Program Manager (if a Federal Project Director has not
been identified) or will present the project's request for Critical
Decision or Baseline Change Proposal to the ESAAB Equivalent Board. The
presentation should be brief, emphasizing the decision that is being
requested of the Acquisition Executive, as well as review steps that
were taken.

At the conclusion of the presentation, the decision documentation will
be coordinated with the ESAAB Equivalent Board and offered to the
Acquisition Executive for approval or disapproval. The decision
documentation should include any action items that require completion
prior to AE approval or significant issues resulting from the ESAAB
Equivalent Board meeting. Significant changes to the decision
documentation, if required, will be made by the Secretariat, Program
Manager, and Federal Project Director and offered to the Acquisition
Executive for signature within one week of the ESAAB Equivalent Board
meeting. The Secretariat will provide signed copies of the meeting
minutes and decision documentation to the Federal Project Director,
Program Office, Acquisition Executive, OECM, and other involved offices
within one week of the Acquisition Executive's decision.

###  

**7. OFFICE OF SCIENCE ROLE IN THE**

**SECRETARIAL ESAAB PROCESS**

The ESAAB shall meet bi-monthly, or when called upon by the Deputy
Secretary of Energy. Per DOE Order 413.3 and Manual 413.3-1, the Deputy
Secretary, as the Secretarial Acquisition Executive, shall approve all
Major System Projects' Critical Decisions, performance baseline
deviations, and site selection for new missions, before the project can
proceed to the next acquisition phase. The Director of the Office of
Science endorses and submits Critical Decision requests and performance
baseline deviations to the Secretarial Acquisition Executive for Major
System Projects.

**7.1 Scheduling**

For Office of Science Major System Projects, the Office of Science ESAAB
Secretariat will coordinate an ESAAB Review date with the ESAAB
Secretariat (resides within the Office of Engineering and Construction
Management), based on a project's Critical Decision or Baseline Change
requirements. This written request for an ESAAB Review will be submitted
to the ESAAB Secretariat by the Office of Science ESAAB Secretariat in
coordination with the appropriate Program Manager (following the
timelines shown in Appendix B).

**7.2 ESAAB Readiness Review**

Prior to, and in preparation of, an ESAAB Review, an ESAAB Readiness
Review is required (approximately three weeks prior to the ESAAB
Review). A meeting of the Office of Science ESAAB Equivalent Board (see
Appendix B) may serve as a substitute for the Office of Engineering and
Construction Management ESAAB Readiness Review, provided that ESAAB
Equivalent Board membership is augmented with representatives from the
ESAAB organizations, and coordinated with the ESAAB Secretariat for
other ESAAB requirements. The Director of the Office of Science will
serve as chairperson of the ESAAB Readiness Review. The Program Office
in coordination with the Operations/Field Element Manager must provide
presentation materials to the Office of Science ESAAB Secretariat one
week prior to the ESAAB Readiness Review for distribution to board
members.

**7.3 ESAAB Review**

A senior program representative or the Federal Project Manager will
present a decision briefing (20 minutes or less) for approval of a CD or
performance baseline deviation to the SAE. The briefing shall
demonstrate that the project has met the necessary requirements and is
ready to proceed. The briefing will address the requirements set forth
in Section 7, Office of Engineering and Construction Management ESAAB
Procedure.

ESAAB Board members shall ensure specific Departmental issues are
addressed and resolved prior to commitment of resources to the next
phase in the life cycle of an acquisition.

The ESAAB Secretariat will then prepare a Memorandum of Decision,
documenting the decision, for the Secretarial Acquisition Executive to
sign. The Office of Science Program Office and ESAAB Equivalent Board
Secretariat will be asked for input in drafting this Memorandum of
Decision. Signed copies of the Memorandum of Decision will be provided
to the Federal Project Director, Program Office, and ESAAB Equivalent
Board members and involved offices by the Office of Science ESAAB
Equivalent Board Secretariat.

**8. OFFICE OF SCIENCE**

**BASELINE CHANGE CONTROL GUIDELINES**

**8.1 Purpose**

The purpose of these guidelines is to define the Department of Energy
Office of Science Baseline Change Control (BCC) process and to establish
guidelines for the subordinate change control process for Office of
Science projects. A disciplined change control process shall be used to
control changes to established cost, schedule, and technical baselines
for all Office of Science project activities. A disciplined and
integrated change control process shall be implemented in the Office of
Science to:

-   Establish cost, schedule, and technical baselines and thresholds for
    projects;

-   Assure changes to these baselines are defined, documented, and
    formally approved and that authority and responsibility for approval
    are delineated;

-   Enhance accountability and traceability in the decision making
    process; and

-   Provide assurance that decisions are made at the appropriate
    management level and are in accordance with the SC ESAAB Equivalent
    Board Procedure, DOE Order 413.3 and DOE Manual 413.3-1.

**8.2 Scope**

These guidelines are applicable to all Office of Science organizational
elements, including DOE Headquarters and field offices involved in
establishing or changing cost, schedule, and technical baselines for SC
projects.

**8.3 References**

References for these BCC guidelines include: 1) DOE Manual 413.3-1,
Project Management for the Acquisition of Capital Assets, March 28,
2003; and 2) DOE Order 413.3, Program and Project Management for the
Acquisition of Capital Assets, October 13, 2000.

**8.4 Field** **BCC**

**8.4.1 Boards**

Baseline Change Control Boards must be established to process changes to
all Major System Projects and Other Projects. Boards are non-voting and
consist of a Chairperson, members, and advisors. For each Field board,
contractors may be advisors to the board and this is encouraged. The
Chairperson has full decision making authority and may provide
disposition without conducting a board meeting.

**8.4.2 Systems**

For all Other Projects, formal baseline change control systems must be
established at each Field Element. System design is the responsibility
of each Field Element and must be in compliance with DOE Order 413.3,
DOE Manual 413.3-1, and the Office of Science ESAAB Equivalent Board
Procedure. Boards are not required. Minimum requirements include:

-   Cost, schedule, and technical baselines and thresholds must be
    established;

-   Procedures must be established that document how the system is
    structured, how it works, and what records and reports are required;

-   Authority for approval of baseline changes must be defined,
    documented, and approved;

-   Decisions must be made by the appropriate management level decision
    maker and disposition must be documented; and

-   Baseline changes must be clearly defined, documented, and approved
    before implementation.

**8.4.3 Project Baseline Change Control Process at the Field Level**

***Process***

Each Field Element must prepare, approve, and issue formal documentation
that defines the structure of the change control process and the
mechanics of how it works (i.e., procedures and board charters). The
process documentation must address change control for Major System
Projects and Other Projects.

***Baseline Change Proposal***

Each Field Element must ensure that all proposed changes are documented.
Minimum requirements include: description of the change; justification;
impact of non-approval and impact to project cost, schedule, and
technical baselines; and changes to the funding profile. Changes that
require Headquarter board action must either be submitted on the Office
of Science Baseline Change Control form or contain this type of
information. The Office of Science Baseline Change Control form and
instructions for completion are located in Attachments 1 and 2.

***Record of Disposition***

Disposition of all proposed changes to Major Systems Projects and Other
Projects must be recorded, dated, and signed by the DOE change control
chairperson. Disposition for Other Projects must be documented in some
responsible way by the responsible DOE line/project manager. Each Field
Element must submit to the Level 1 Secretariat copies of all Major
Systems Projects and Other Projects Level 2 Field Element-approved
change requests, disposition records, meeting minutes, and summaries of
actions taken.

**8.5 Appeal Procedure**

If a requested Baseline Change Proposal is not approved, then the
advocate of the change has the prerogative to appeal the decision to the
next higher level, according to the following procedure. The decision
cannot be appealed at greater than one level above the level at which
the Baseline Change Proposal was first denied not appealed above Level
1.

1.  All the relevant material should be forwarded to the Secretariat of
    the next level board above the level which the Baseline Change
    Proposal was denied. Succinct arguments for the appeal should also
    be presented in this material.

2.  The Secretariat of the appeal board will review the material for
    completeness.

3.  The Secretariat shall schedule a Baseline Change Control Board. An
    appeal cannot be decided by the Chairperson without holding a
    Baseline Change Control Board meeting.

4.  The Chairperson shall make the final decision, and the results of
    that decision shall be distributed to appropriate board members, the
    Federal Project Director, and the Secretariat of the lower-level
    ESAAB Board.

5.  The decision by the chairman, at the appeal level, is final.

**Intentionally Blank**

**APPENDIX A**

######### TYPICAL TIMELINE FOR

**OFFICE OF SCIENCE**

**ESAAB EQUIVALENT BOARD**

**PROCESS FOR**

######## OTHER PROJECTS

Typical Timeline for Office of Science

###### ESAAB Equivalent Board Process

###### for Other Projects

**Cumulative**

**[Work Days]{.underline}**

**From To**

**[Process]{.underline} [Duration]{.underline} [Request]{.underline}
[Decision ]{.underline}**

1\. Receive CD or BCP Request Date from Program Office Start 18 0

2\. ESAAB Secretariat Schedules SC ESAAB Equivalent Board 1 day 17 1

3\. Program Office Submits Briefing and Supporting Material 10 days 16 2

4\. SC AE and Board Review CD/BCP Request and Materials 5 days 6 12

5\. Presentation to SC AE and Board/Disposition of CD/BCP 1 day 5 1

6\. Transmit Dispositioned CD/BCP 5 days 0 18

**APPENDIX B**

**TYPICAL TIMELINE FOR**

**OFFICE OF SCIENCE**

**ESAAB EQUIVALENT BOARD**

######### PROCESS FOR

**MAJOR SYSTEM PROJECTS**

Typical Timeline for

### Office of Science ESAAB Equivalent Board Process

###### for Major System Projects

**Cumulative**

**[Work Days]{.underline}**

**From To**

**[Process]{.underline} [Duration]{.underline} [Request]{.underline}
[Decision]{.underline}**

1.  Receive CD or BCP Request Date from SC Program Office Start 49 0

2.  Schedule ESAAB Readiness Review with SC ESAAB 1 day 48 1

Equivalent Board Members and Secretarial ESAAB

Representatives

3.  Prepare Briefing and Supporting Material 10 days 38 11

4.  Submit Materials to ESAAB Readiness Board 1 day 37 12

5.  Review CD/BCP Request and Materials 5 days 32 17

6.  Conduct ESAAB Readiness Review 1 day 31 18

7.  Resolve Comments 5 days 26 23

8.  

9.  SC ESAAB Secretariat Requests SAE ESAAB with OECM\* 15 days 11 38

8.1 Distribute Final Briefing Package to ESAAB Members 5 days

OECM, ESAAB Secretariat\*\*

10. 

11. SAE ESAAB Meeting and CD/BCP Dispositioned 1 day 10 39

12. Staff Memorandum of Decision with Actions (if necessary) 10 days 0
    49

\*The ESABB meets once every two months, or at the call of the SAE.

\*\*No more changes to the briefing are allowed.

**APPENDIX C**

**OFFICE OF SCIENCE PROJECT DECISION/APPROVAL MATRIX**

**Office of Science Project Decision/Approval Matrix**

+---+----------------+-----------+------+--------+----------+--------+
|   |                | **[\>     | *    | **[\<  | **\<\$20 | **[    |
|   |                | ]{.underl | *\<\ | ]{.und | m        | \<]{.u |
| - |                | ine}\$400 | $400 | erline | illion** | nderli |
| - |                | million** | m    | }\$100 | **to     | ne}\$5 |
| - |                |           | illi | mil    | \>\$5    | mil    |
| - |                |           | on** | lion** | m        | lion** |
| - |                |           | **to | **to   | illion** |        |
| - |                |           | \>\  | \>\$5  |          |        |
| - |                |           | $100 | mil    |          |        |
| - |                |           | m    | lion** |          |        |
| - |                |           | illi |        |          |        |
|   |                |           | on** |        |          |        |
|   |                |           | **US |        |          |        |
| * |                |           | D    |        |          |        |
| * |                |           | eleg |        |          |        |
| T |                |           | ated |        |          |        |
| O |                |           | to   |        |          |        |
| T |                |           | SC   |        |          |        |
| A |                |           | -1** |        |          |        |
| L |                |           |      |        |          |        |
|   |                |           |      |        |          |        |
|   |                |           |      |        |          |        |
| P |                |           |      |        |          |        |
| R |                |           |      |        |          |        |
| O |                |           |      |        |          |        |
| J |                |           |      |        |          |        |
| E |                |           |      |        |          |        |
| C |                |           |      |        |          |        |
| T |                |           |      |        |          |        |
|   |                |           |      |        |          |        |
|   |                |           |      |        |          |        |
| C |                |           |      |        |          |        |
| O |                |           |      |        |          |        |
| S |                |           |      |        |          |        |
| T |                |           |      |        |          |        |
|   |                |           |      |        |          |        |
|   |                |           |      |        |          |        |
| ( |                |           |      |        |          |        |
| T |                |           |      |        |          |        |
| P |                |           |      |        |          |        |
| C |                |           |      |        |          |        |
| ) |                |           |      |        |          |        |
| * |                |           |      |        |          |        |
| * |                |           |      |        |          |        |
|   |                |           |      |        |          |        |
|   |                |           |      |        |          |        |
|   |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
|   |                |           |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
| * |                |           |      |        |          |        |
| * |                |           |      |        |          |        |
| D |                |           |      |        |          |        |
| E |                |           |      |        |          |        |
| C |                |           |      |        |          |        |
| I |                |           |      |        |          |        |
| S |                |           |      |        |          |        |
| I |                |           |      |        |          |        |
| O |                |           |      |        |          |        |
| N |                |           |      |        |          |        |
| / |                |           |      |        |          |        |
| A |                |           |      |        |          |        |
| P |                |           |      |        |          |        |
| P |                |           |      |        |          |        |
| R |                |           |      |        |          |        |
| O |                |           |      |        |          |        |
| V |                |           |      |        |          |        |
| A |                |           |      |        |          |        |
| L |                |           |      |        |          |        |
| * |                |           |      |        |          |        |
| * |                |           |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
| P |                | Reviewed  |      |        |          | N/A    |
| r |                | by        |      |        |          |        |
| i |                | O         |      |        |          |        |
| o |                | MBE-ME-20 |      |        |          |        |
| r |                | and       |      |        |          |        |
| t |                | approved  |      |        |          |        |
| o |                | by SC-1   |      |        |          |        |
| C |                |           |      |        |          |        |
| D |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
| 0 |                |           |      |        |          |        |
| , |                |           |      |        |          |        |
| M |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| s |                |           |      |        |          |        |
| s |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| o |                |           |      |        |          |        |
| n |                |           |      |        |          |        |
| N |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| d |                |           |      |        |          |        |
| S |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| a |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| m |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| n |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
| P |                | Reviewed  |      |        |          | N/A    |
| r |                | by        |      |        |          |        |
| i |                | O         |      |        |          |        |
| o |                | MBE-ME-90 |      |        |          |        |
| r |                | and       |      |        |          |        |
| t |                | approved  |      |        |          |        |
| o |                | by SC-1   |      |        |          |        |
| C |                |           |      |        |          |        |
| D |                |           |      |        |          |        |
| - |                |           |      |        |          |        |
| 1 |                |           |      |        |          |        |
| , |                |           |      |        |          |        |
| A |                |           |      |        |          |        |
| c |                |           |      |        |          |        |
| q |                |           |      |        |          |        |
| u |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| s |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| o |                |           |      |        |          |        |
| n |                |           |      |        |          |        |
| S |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| r |                |           |      |        |          |        |
| a |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| g |                |           |      |        |          |        |
| y |                |           |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
| * | Approve        | S-2       | SC-1 | SC-1   | SC-1     | N/A or |
| * | Mission Need - |           |      |        |          | FPD    |
| C | CD-0           |           |      |        |          |        |
| R |                |           |      |        |          |        |
| I |                |           |      |        |          |        |
| T |                |           |      |        |          |        |
| I |                |           |      |        |          |        |
| C |                |           |      |        |          |        |
| A |                |           |      |        |          |        |
| L |                |           |      |        |          |        |
| D |                |           |      |        |          |        |
| E |                |           |      |        |          |        |
| C |                |           |      |        |          |        |
| I |                |           |      |        |          |        |
| S |                |           |      |        |          |        |
| I |                |           |      |        |          |        |
| O |                |           |      |        |          |        |
| N |                |           |      |        |          |        |
| S |                |           |      |        |          |        |
| * |                |           |      |        |          |        |
| * |                |           |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
|   | Approve        | S-2       | SC-1 | SC AD  | PM or    | N/A or |
|   | Alternative    |           |      |        | SOM if   | FPD    |
|   | Selection and  |           |      |        | d        |        |
|   | Cost Range -   |           |      |        | elegated |        |
|   | CD-1           |           |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
|   | Approve        | S-2       | SC-1 | SC AD  | PM or    | N/A or |
|   | Performance    |           |      |        | SOM if   | FPD    |
|   | Baseline -     |           |      |        | d        |        |
|   | CD-2           |           |      |        | elegated |        |
+---+----------------+-----------+------+--------+----------+--------+
|   | Approve Start  | S-2       | SC-1 | SC AD  | PM or    | N/A or |
|   | of             |           |      |        | SOM if   | FPD    |
|   | Construction - |           |      |        | d        |        |
|   | CD-3           |           |      |        | elegated |        |
+---+----------------+-----------+------+--------+----------+--------+
|   | Approve Start  | S-2       | SC-1 | SC AD  | PM or    | N/A or |
|   | of Operation - |           |      |        | SOM if   | FPD    |
|   | CD-4           |           |      |        | d        |        |
|   |                |           |      |        | elegated |        |
+---+----------------+-----------+------+--------+----------+--------+
| * | SAE -          | S-2 if    |      |        |          | N/A    |
| * | Deviation      | change in |      |        |          |        |
| C |                | Pe        |      |        |          |        |
| H |                | rformance |      |        |          |        |
| A |                | Baseline  |      |        |          |        |
| N |                | of        |      |        |          |        |
| G |                | [\>]{.un  |      |        |          |        |
| E |                | derline}6 |      |        |          |        |
| C |                | months or |      |        |          |        |
| O |                | [\        |      |        |          |        |
| N |                | >]{.under |      |        |          |        |
| T |                | line}\$25 |      |        |          |        |
| R |                | million   |      |        |          |        |
| O |                | or 25% of |      |        |          |        |
| L |                | TEC/TPC   |      |        |          |        |
| * |                | **or**    |      |        |          |        |
| * |                | change in |      |        |          |        |
|   |                | scope     |      |        |          |        |
|   |                | that is   |      |        |          |        |
|   |                | not in    |      |        |          |        |
|   |                | co        |      |        |          |        |
|   |                | nformance |      |        |          |        |
|   |                | with the  |      |        |          |        |
|   |                | Project   |      |        |          |        |
|   |                | Data      |      |        |          |        |
|   |                | Sheet     |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
|   | Program -      | SC-1      | SC-1 | SC AD  | PM or    | N/A    |
|   | Level 1        |           |      |        | SOM if   |        |
|   |                |           |      |        | d        |        |
|   |                |           |      |        | elegated |        |
+---+----------------+-----------+------+--------+----------+--------+
|   | Project -      | PM, SOM   | PM,  | PM,    | PM, SOM  | PM,    |
|   | Level 2        | or FPD    | SOM  | SOM or | or FPD   | SOM or |
|   |                | (Opt)     | or   | FPD    | (Opt)    | FPD    |
|   |                |           | FPD  | (Opt)  |          | (Opt)  |
|   |                |           | (    |        |          |        |
|   |                |           | Opt) |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
|   | Contractor -   | C         | Co   | Cont   | Co       | Cont   |
|   | Level 3        | ontractor | ntra | ractor | ntractor | ractor |
|   |                |           | ctor |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
| P |                | SC-1      | SC-1 | SC AD  | PM or    | N/A    |
| r |                |           |      |        | SOM if   |        |
| o |                |           |      |        | d        |        |
| j |                |           |      |        | elegated |        |
| e |                |           |      |        |          |        |
| c |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| E |                |           |      |        |          |        |
| x |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| c |                |           |      |        |          |        |
| u |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| o |                |           |      |        |          |        |
| n |                |           |      |        |          |        |
| P |                |           |      |        |          |        |
| l |                |           |      |        |          |        |
| a |                |           |      |        |          |        |
| n |                |           |      |        |          |        |
| A |                |           |      |        |          |        |
| p |                |           |      |        |          |        |
| p |                |           |      |        |          |        |
| r |                |           |      |        |          |        |
| o |                |           |      |        |          |        |
| v |                |           |      |        |          |        |
| a |                |           |      |        |          |        |
| l |                |           |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
| E |                | S-2       | S-2  | S-2    | S-2      | S-2    |
| n |                |           |      |        |          |        |
| v |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| r |                |           |      |        |          |        |
| o |                |           |      |        |          |        |
| n |                |           |      |        |          |        |
| m |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| n |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| a |                |           |      |        |          |        |
| l |                |           |      |        |          |        |
| I |                |           |      |        |          |        |
| m |                |           |      |        |          |        |
| p |                |           |      |        |          |        |
| a |                |           |      |        |          |        |
| c |                |           |      |        |          |        |
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| S |                |           |      |        |          |        |
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| t |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| m |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| n |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| R |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| c |                |           |      |        |          |        |
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| r |                |           |      |        |          |        |
| d |                |           |      |        |          |        |
| o |                |           |      |        |          |        |
| f |                |           |      |        |          |        |
| D |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| c |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| s |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| o |                |           |      |        |          |        |
| n |                |           |      |        |          |        |
| / |                |           |      |        |          |        |
| S |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| S |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
| l |                |           |      |        |          |        |
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| c |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
| o |                |           |      |        |          |        |
| n |                |           |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
| E |                | EIR Prior | EIR  | EIR    | EIR      | N/A    |
| x |                | to CD-2 & | P    | Prior  | Prior to |        |
| t |                | CD-3 IPR  | rior | to     | CD-2 IPR |        |
| e |                | Prior to  | to   | CD-2   | Prior to |        |
| r |                | CD-0 ORR  | CD-2 | IPR    | CD-3 ORR |        |
| n |                | Prior to  | IPR  | Prior  | Prior to |        |
| a |                | CD-4      | P    | to     | CD-4     |        |
| l |                |           | rior | CD-3   |          |        |
| I |                |           | to   | ORR    |          |        |
| n |                |           | CD-3 | Prior  |          |        |
| d |                |           | ORR  | to     |          |        |
| e |                |           | P    | CD-4   |          |        |
| p |                |           | rior |        |          |        |
| e |                |           | to   |        |          |        |
| n |                |           | CD-4 |        |          |        |
| d |                |           |      |        |          |        |
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| a |                |           |      |        |          |        |
| d |                |           |      |        |          |        |
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| n |                |           |      |        |          |        |
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| s |                |           |      |        |          |        |
| s |                |           |      |        |          |        |
| R |                |           |      |        |          |        |
| e |                |           |      |        |          |        |
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+---+----------------+-----------+------+--------+----------+--------+
| P |                | Monthly   |      |        |          |        |
| A |                | Project   |      |        |          |        |
| R |                | Status    |      |        |          |        |
| S |                | After     |      |        |          |        |
| R |                | CD-0      |      |        |          |        |
| e |                |           |      |        |          |        |
| p |                |           |      |        |          |        |
| o |                |           |      |        |          |        |
| r |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| i |                |           |      |        |          |        |
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| g |                |           |      |        |          |        |
| ( |                |           |      |        |          |        |
| E |                |           |      |        |          |        |
| V |                |           |      |        |          |        |
| M |                |           |      |        |          |        |
| S |                |           |      |        |          |        |
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| r |                |           |      |        |          |        |
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| c |                |           |      |        |          |        |
| t |                |           |      |        |          |        |
| s |                |           |      |        |          |        |
| \ |                |           |      |        |          |        |
| > |                |           |      |        |          |        |
| \ |                |           |      |        |          |        |
| $ |                |           |      |        |          |        |
| 2 |                |           |      |        |          |        |
| 0 |                |           |      |        |          |        |
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+---+----------------+-----------+------+--------+----------+--------+
|   |                | Monthly   |      |        |          |        |
|   |                | Project   |      |        |          |        |
|   |                | Pe        |      |        |          |        |
|   |                | rformance |      |        |          |        |
|   |                | After     |      |        |          |        |
|   |                | CD-2      |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+
| Q |                | Quarterly |      |        |          |        |
| u |                | Project   |      |        |          |        |
| a |                | Pe        |      |        |          |        |
| r |                | rformance |      |        |          |        |
| t |                | Review    |      |        |          |        |
| e |                | After     |      |        |          |        |
| r |                | CD-0      |      |        |          |        |
| l |                |           |      |        |          |        |
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+---+----------------+-----------+------+--------+----------+--------+
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+---+----------------+-----------+------+--------+----------+--------+
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+---+----------------+-----------+------+--------+----------+--------+
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| R |                |           |      |        |          |        |
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| i |                |           |      |        |          |        |
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| w |                |           |      |        |          |        |
| ( |                |           |      |        |          |        |
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| ) |                |           |      |        |          |        |
+---+----------------+-----------+------+--------+----------+--------+

**APPENDIX D**

**BASELINE**

**CHANGE** **PROPOSAL FORM**

**Office of Science Baseline Change Proposal Form**

+-----------------+-----------------+-----------------+-----------------+
| 1\) BCP Number: |                 | 2\) BCP Title:  |                 |
+-----------------+-----------------+-----------------+-----------------+
| 3\) Date        |                 | 4\) WBS Number  |                 |
| Received at     |                 | (If             |                 |
| Field Element:  |                 | Applicable):    |                 |
+-----------------+-----------------+-----------------+-----------------+
| 5\) Project     |                 |                 |                 |
| Title (and      |                 |                 |                 |
| Budget Number   |                 |                 |                 |
| if Applicable): |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 6\) Change      | 7\) BCP Level   | 8\) Directed    | 9\) Post        |
| Destination     |                 | Change?         | Reduction:      |
|                 | Level 0 □ Level |                 |                 |
| Priority □      | 3 □             | Yes □ No □      | Yes □ No □      |
| Routine □       |                 |                 |                 |
|                 | Level 1 □ Level |                 | n/a □           |
|                 | 4 □             |                 |                 |
|                 |                 |                 |                 |
|                 | Level 2 □       |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 10\) Point of   |                 | 11\) FAX:       |                 |
| Contact:        |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 12\) Phone      |                 | 13\) Location:  |                 |
| Number:         |                 | CH-110          |                 |
+-----------------+-----------------+-----------------+-----------------+
| 14\) Change     |                 |                 |                 |
| Description:    |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 15\) Change     |                 |                 |                 |
| Justification:  |                 |                 |                 |
|                 |                 |                 |                 |
| Scope:          |                 |                 |                 |
|                 |                 |                 |                 |
| Cost:           |                 |                 |                 |
|                 |                 |                 |                 |
| Schedule        |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 16\) Impact on  |                 |                 |                 |
| End State/Other |                 |                 |                 |
| S               |                 |                 |                 |
| ites/Structure: |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+

<table>
<colgroup>
<col style="width: 16%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="5">17) BCP Number:</td>
<td colspan="5">18) BCP Title:</td>
</tr>
<tr class="even">
<td colspan="3">19) Impact on Cost Baseline</td>
<td></td>
<td colspan="2">Approved Baseline ($K)</td>
<td colspan="2">Proposed Baseline ($K)</td>
<td colspan="2">Change ($K)</td>
</tr>
<tr class="odd">
<td colspan="3"><p>Budget at Completion (BAC):</p>
<p>Management Reserve (MR):</p>
<p>Contingency:</p>
<p>Total Project Costs (TPC):</p></td>
<td></td>
<td colspan="2"><p>$</p>
<p>$</p>
<p>___________________$</p>
<p>$</p></td>
<td colspan="2"><p>$</p>
<p>$</p>
<p>___________________$</p>
<p>$</p></td>
<td colspan="2"><p>$</p>
<p>$</p>
<p>___________________$</p>
<p>$</p></td>
</tr>
<tr class="even">
<td colspan="10">20) Impact on Annual Cost Plan:</td>
</tr>
<tr class="odd">
<td>Fiscal Year</td>
<td>Prior FYs</td>
<td>FY03</td>
<td>FY04</td>
<td>FYXX</td>
<td>FYXX</td>
<td>FYXX</td>
<td>FYXX</td>
<td>FYXX</td>
<td>FYXX</td>
</tr>
<tr class="even">
<td><p>Appr. TPC ($K)</p>
<p>BCWX Changes ($K)</p>
<p>MR Changes ($K)</p>
<p>Cont. Changes ($K)</p>
<p>Prop. TPC ($K)</p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="10"><p>21-A) Explanation of Impact on Cost Baseline and
Cost Plan</p>
<p>21-B) Basis of Estimate</p></td>
</tr>
</tbody>
</table>

+-----------------+-----------------+-----------------+-----------------+
| 22\) BCP        |                 | 23\) BCP Title: |                 |
| Number:         |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 24A) Impact on  |                 |                 |                 |
| Schedule        |                 |                 |                 |
| Baseline:       |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| Milestone       | Approved        | Proposed        | Change (Months) |
| (Number and     | Baseline        | Baseline        |                 |
| Title)          | (Month/Year)    | (Month/Year)    |                 |
+-----------------+-----------------+-----------------+-----------------+
| 24B) Impact on  | Approved        | Proposed        | Change (Months) |
| S               | Baseline        | Baseline        |                 |
| ites/Facilities | (Month/Year)    | (Month/Year)    |                 |
+-----------------+-----------------+-----------------+-----------------+
| 25A)            |                 |                 |                 |
| Explanation of  |                 |                 |                 |
| Impact on       |                 |                 |                 |
| Schedule        |                 |                 |                 |
| Baseline:       |                 |                 |                 |
|                 |                 |                 |                 |
| 25B)            |                 |                 |                 |
| Explanation of  |                 |                 |                 |
| Impact on       |                 |                 |                 |
| S               |                 |                 |                 |
| ites/Facilities |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 26\) Impact on  |                 |                 |                 |
| Technical Scope |                 |                 |                 |
| Baseline:       |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 27\)            |                 |                 |                 |
| Explanation of  |                 |                 |                 |
| Impact on       |                 |                 |                 |
| Technical Scope |                 |                 |                 |
| Baseline:       |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 28\) Other      |                 |                 |                 |
| Impacts         |                 |                 |                 |
| (H              |                 |                 |                 |
| ealth/Safety/En |                 |                 |                 |
| vironment/etc.) |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| 29\) Interim or |                 |                 |                 |
| Corrective      |                 |                 |                 |
| Actions:        |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+

[^1]: [Critical Decision]{.underline} [(CD)]{.underline}---A CD is an
    approval given at specific points in a project's life cycle that
    marks a formal transition from one project phase to another project
    phase (e.g., from conceptual design to preliminary design). CDs are
    used as review points to assure the Acquisition Executive or
    Secretarial Acquisition Executive that the project is ready to
    proceed into the next phase and remains a valid mission need. The
    Under Secretary and Deputy Secretary must be formally notified of
    CD-0 and CD-4 decisions for non-Major System projects \$100 million
    and over.