# Presentation: 721241

## DOE Order 413.3Aand the New Guides

**Catherine Santana**
*Deputy Director*
*Project Management Systems & Assessments*
*Office of Engineering and Construction Management*
- November 14, 2006

## Why Update DOE O 413.3?

**Integrate Safety into Design and Construction**
**Enhance DOE’s Structured Project Management Policies**
**Restructure Existing Order**
- Organize by Phases and Critical Decisions
- Clarify Requirements Related to each CD
**Eliminate Conflict Between Order and Manual**
**Enhance Roles and Responsibilities**

## Significant Changes

** **_**Applicability**_
- Applicable to capital asset acquisition projects having a TPC  $20M
- Sound project management principles and PARS reporting requirements apply to all projects with a TPC  $5M

## Significant Changes (cont.)

_**Critical Decision Thresholds and Authorities**_
- The Under Secretaries have been included in the CD process.
- CD authority thresholds have been increased to ensure line management accountability:
- _MS Projects._  Projects with a TPC  $750M
- _Non-MS Projects._  Projects with a TPC < $750M
- Environmental Management Clean-up Project CD Authority Thresholds are provided.
- Departmental-wide IT Project CD Authority Thresholds are provided.

## Significant Changes (cont.)

_**Integrating Safety into Design and Construction**_
- Integration of safety into design and construction has been clarified and strengthened, particularly for Hazard Category 1, 2, and 3 nuclear facilities.
- Safety requirements for each CD have been identified.
- A Technical Independent Project Review, which focuses on safety documentation, was added as part of the CD-1 Design Review for high-risk, high-hazard, and Hazard Category 1, 2, and 3 nuclear facilities.

## Safety

**DOE O 413.3A Now Identifies the Safety Requirements for Each CD**
**ES&H Will Publish DOE-STD-1189-2006 to Provide Implementation Guidance for Nuclear Facility Requirements**
**The Order Allows Delayed Implementation of the Safety Requirements Until Six Months After Issuance of the Standard**

## Other Improvements

**IT Project Requirements are Now Included**
**The Mission Need Statement review and recommendation by PA&E is limited to projects with a TPC ******** $100M  **
**External Independent Reviews**
- External Independent Reviews by OECM are limited to projects with a TPC  $100M.
- For projects < $100M, Programs are responsible for this requirement, including CD-2 Performance Baseline Validation.
**The Acquisition Strategy review and recommendation by OECM is limited to MS Projects**

## Other Improvements (cont.)

**Earned Value Management Systems (EVMS)**
- Projects having a TPC between $20M and $50M must have an EVMS that is self-certified by the contractor as ANSI/EIA-748-A-1998 compliant.
- Projects having a TPC  $50M require an ANSI/EIA-748-A-1998 compliant EVMS certified by OECM.
**Roles and Responsibilities were updated to include the: **
- Under Secretaries
- Office of the Chief Information Officer
- Central Technical Authorities
- Chief of Defense Nuclear Safety and Chief of Nuclear Safety

## The New Guides

**John Makepeace**
*Project Management Systems Team Lead*
*Office of Engineering & Construction Management*

**DOE M 413.3-1, *****Project Management for the Acquisition of Capital Assets*****, **
- Last Updated March 28, 2003
- Chapters 1-3 Canceled by DOE O 413.3A
- Currently Out of Sync with the New DOE O 413.3A
**Manual Will be Replaced With a Series of Guides**
- All Programs & the DNFSB Concur with Approach
- Allows for Phased Release of Topical Areas
- Will Facilitate More Timely Updates in the Future
- Makes the Release of Additional Topics More Manageable

## Participation

**Department-wide Participation**
- OECM Will Lead Overall Effort
- Each Guide Will be Lead by a Program
- A Named Primary Lead for Each Guide
- Supported by Staff From Other Programs
- Charted Process and Goals
- Assistance from EFCOG
- Administrative
- Consistency Across Guides
- Subject Matter Expertise

## Topics

**Topics and Assignments (19 Guides)**
- MA (7)
- HSS (3)
- NA (3)
- EM (2)
- SC (1)
- NE (1)
- CIO (1)
- PA&E (1)
- Possibly a 20th Guide: Management of Design & Construction (NA)

## Guide Topics

| # | Guide Topic | Lead | Priority | Complexity |
| --- | --- | --- | --- | --- |
| 1 | Integrating Safety into Design & Construction | HSS | High | Most |
| 2 | Quality Assurance | MA | High | Least |
| 3 | Safeguards & Security | HSS | High | Most |
| 4 | Tailoring | NE | High | Least |
| 5 | Performance Baselines & Baseline Management | SC | Medium | Most |
| 6 | Environmental Stewardship | HSS | Medium | Moderate |
| 7 | Risk Management | EM | Medium | Most |
| 8 | EM Clean-up Projects | EM | Medium | Most |
| 9 | Project Reviews | MA | Medium | Moderate |
| 10 | Earned Value Management | MA | Medium | Least |
| 11 | Project Management Lessons Learned Process | MA | Medium | Least |
| 12 | Cost Estimating | MA | Medium | Moderate |
| 13 | Acquisition Strategies | MA | Medium | Most |
| 14 | Alternative Financing | MA | Medium | Least |
| 15 | IT Projects | CIO | Medium | Moderate |
| 16 | Project Execution Plans | NA | Medium | Most |
| 17 | CD-4 | NA | Medium | Moderate |
| 18 | Mission Need Statement | PA&E | Medium | Least |
| 19 | Integrated Project Teams | NA | Low | Least |

## Schedule

**Goal: Completion of All Guides by the End of FY 2008**
- Staggered Release
- High Priority Topics Start Soonest
- Duration Based Upon Estimated Complexity
- Least Complex: 6 Months
- Moderately Complex: 9 Months
- Most Complex: 1 Year
- Time includes Draft and Two Comment/Revision Cycles