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Policy and Guidance

  • DOE Order 413.3B (11-29-2010) (pdf)
    Program and Project Management for the Acquisition of Capital Assets
    The purpose of this Order is to a) provide the Department of Energy (DOE) Elements, including the National Nuclear Security Administration (NNSA), with program and project management direction for the acquisition of capital assets with the goal of delivering projects within the original performance baseline (PB), cost and schedule, and fully capable of meeting mission performance, safeguards and security, and environmental, safety, and health requirements unless impacted by a directed change; and b) implement Office of Management and Budget (OMB) Circulars to include: A-11, Part 7, Capital Programming Guide, which prescribes new requirements and leading practices for project and acquisition management; A-123, Management's Responsibility for Internal Control, which defines management's responsibility for internal control in Federal agencies; and A-131, Value Engineering, which requires that all Federal agencies use Value Engineering (VE) as a management tool. Cancels DOE O 413.3A, Chg 1 dated 6-28-06.

Secretarial Memoranda Regarding Project Management :

Guides Associated with DOE Order 413.3B:

DOE G 413.3-1 (9-23-2008) (pdf)
Managing Design and Construction Using Systems Engineering
This Guide provides the Department of Energy's federal project directors with the  methodologies and tools needed to plan, implement and complete assigned projects using a Systems Engineering approach in accordance with the requirements of DOE O 413.3A.

 DOE G 413.3-2 (6-27-2008) (pdf)
Quality Assurance Guide for Project Management
This Guide provides acceptable approaches for implementing the Quality Assurance requirements and criteria of DOE O 413.3A related to the development and implementation of a Quality Assurance Program for the project.		 DOE G 413.3-3 (11-15-2007) (pdf)
Safeguards and Security for Program and Project Management
This Guide provides approaches for implementing security provisions within the functional areas contained in DOE O 413.3A, Program and Project Management for the Acquisition of Capital Assets.
DOE G 413.3--4A (9-15-2011) (pdf)
Technology Readiness Assessment Guide
The Guide assists individuals and teams involved in conducting Technology Readiness Assessments (TRAs) and developing Technology Maturation Plans (TMPs) for the DOE capital asset projects subject to DOE O 413.3B. Cancels and supersedes DOE G 413.3-4.

DOE G 413.3--5A (9-23-2011) (pdf)
Performance Baseline
This guide identifies key PB elements, development processes, and practices; describes the context in which DOE PB development occurs; and suggests ways of addressing the critical elements in PB development.

 

 DOE G 413.3-6A (11-9-2011) (pdf)
High Performance Sustainable Building
The guide supports DOE O 413.3A and provides useful information on the incorporation of high performance sustainable building principles into building-related General Plant Projects and Institutional General Plant Projects at DOE sites.

DOE G 413.3-7A (1-12-2011) (pdf)
Risk Management
This Guide provides non-mandatory risk management approaches for implementing the requirements of DOE O 413.3B, Program and Project Management for the Acquisition of Capital Assets. Cancels DOE G 413.3-7.

 

 DOE G 413.3-8
CANCELED: Environmental Management Cleanup Projects.		 DOE G 413.3-9 (9-23-2008) (pdf)
Project Reviews
This Guide addresses the various project reviews conducted during the life-cycle of a project based on the stage, complexity and duration of a project. This Guide describes typical reviews, the purpose of each, the timing during the project life-cycle, lines of inquiry, and required documentation.

DOE Guide 413.3-10A (3-13-2012) (pdf)
Earned Value Management System (EVMS)
This Guide intends to provide approaches for implementing the Earned Value Management System (EVMS) requirements of DOE O 413.3B, Program and Project Management for the Acquisition of Capital Assets in compliance with the American National Standards Institute/Electronic Industries Alliance (ANSI/EIA)-748-B, Earned Value Management Systems.

 DOE G 413.3-11
CANCELED: Project Management Lessons Learned		 DOE G 413.3-12 (7-22-2010) (pdf)
Project Definition Rating Index
This Guide assists individuals and teams involved in conducting assessments of project definition using a numerical project management tool developed by the Construction Industry Institute (CII), tailored for DOE use.
DOE G 413.3-13 (7-22-2008) (pdf)
Acquisition Strategy
This Guide serves as a tool for federal project directors developing a project acquisition strategy document.

DOE G 413.3-14
CANCELED: Information Technology Projects

DOE G 413.3-15 (9-12-2008) (pdf)
Project Execution Plans
The purpose of this Guide is to 1) povide guidance for the federal project director to produce a useful and flexible plan, and 2) provide guidance on how to appropriately apply tailoring as defined in DOE O 413.3A. 

Sample PEPs
DOE G 413.3-16A (10-26-2011) (pdf)
Project Transition/Closeout (CD-4)
This Guide is written for the federal project director ensuring that processes progress smoothly and that projects meet asset management goals and financial closure requirements of DOE.		 DOE G 413.3-17 (6-20-2008) (pdf)
Mission Need Statement
The guide supports DOE O 413.3A  by providing suggested content, definitions, and examples for writing a clear statement to support an acquisition executive's decision to initiate exploration of options to fulfill a capability gap, which may include a capital asset acquisition.

DOE G 413.3-18A (2-3-2012)
Integrated Project Team Guide for Formation and Implementation
This Guide provides detailed guidance of the preferred processes to form and implement an Integrated Project Team (IPT) in support of proper project execution as prescribed in DOE Order 413.3B. As a complement to the Order, this Guide is an integral component of effective compliance with IPT requirements for capital asset projects.

DOE G 413.3-19, Chg 1 (10-12-2011) (pdf)
Staffing Guide for Project Management
This Guide provides an approach to determining the appropriate level and type of federal personnel needed to effectively plan, direct, and oversee project execution. Also available is an associated staffing model. 

DOE G 413.3-20 (7-29-2011) (pdf)
Change Control Management
This Guide provides a suggested approach and uniform guidance for managing project and contract changes through applying the requirements of DOE O 413.3B.

 

 

 DOE G 413.3-21 (5-9-2011) (pdf)
Cost Estimating Guide
This Guide provides uniform guidance and best practices that describe the methods and procedures that could be used in all programs and projects at DOE for preparing cost estimates.

Capital Asset Plans  

Memorandums from the Secretary, Deputy Secretary, and Under Secretaries

Addiitonal Nonmandatory Guidance