U.S.

Department of Energy LIMITED CHANGE

Washington, DC DOE O 413.3B

Chg 7: 06-21-2023

SUBJECT: LIMITED CHANGE TO DOE O 413.3B, PROGRAM AND PROJECT

MANAGEMENT FOR THE ACQUISITION OF CAPITAL ASSETS

1. EXPLANATION OF CHANGES. In an August 18, 2022 memorandum from the Deputy

Secretary on Project Management Policy Update - Root Cause Analysis and Corrective
Action Plans, and Construction Design Threshold Increase (EXEC-2022-003982), the
Office of Project Management (PM) was directed to begin revising DOE Order 413.3B to
incorporate changes within 30 days of that memorandum being signed. Accordingly, in a
September 6, 2022, memorandum, PM initiated with the Directives Review Board a Fast
Track revision in accord with DOE Order 251.lD, Appendix A, Section 1.d.(2) for the
following Deputy Secretarial directed changes:

• Update requirements for corrective action plans tied to root cause analyses when a
project’s performance baseline is breached as noted in the August 18, 2022,
memo.
• Update the thresholds for construction design and minor construction for general
plant projects as noted in the August 18, 2022, memo.
• Incorporate sustainability design requirements noted in an April 5, 2022, memo
from the Deputy Secretary on Climate Adaptation, Resilience and Sustainability
in Project Management (EXEC-2022-00972).
• Update organizational names noted in the April 5, 2022, memo, and any new
changes.
• Incorporate requirements defined in the Deputy Secretary memo of September 18,
2020, (EXEC-2019-006959) which directed that project management lessons
learned be entered into the DOE OPEXShare repository, and for collection of any
lessons learned following each annual project peer review.
• To specify that Energy Savings Performance Contracts (ESPCs) are not required
to follow the project management requirements outlined in DOE Order 413.3B as
stated in the Under Secretary of Energy’s memorandum dated September 13,
2016 (EXEC-2016-002328).

2. LOCATIONS OF CHANGES:

Page Paragraph Changed To

2 3a “The principles (see Appendix C, “The Project Management Principles
Paragraph 1.a.-l.) as set forth in this [see Appendix C, Paragraph 1] as set
Order apply to all capital asset projects. forth in this Order apply using a
They also apply to General Plant tailored approach to all capital asset
Projects (GPPs) for which the approved projects $50M and below inclusive of
total estimated cost does not exceed the minor construction projects [also
minor construction threshold, using a referred to as General Plant Projects
tailored approach.” (GPPs)]1.”
2 3a “This Order does not apply to Financial “This Order does not apply to
Assistance Awards (grants and Financial Assistance Awards (grants
cooperative agreements) covered under and cooperative agreements) covered
 Page Paragraph Changed To
2 CFR Parts 200 and 910 and 10 CFR under 2 CFR Parts 200 and 910 and
Part 600 (legacy awards).” 10 CFR Part 600 (legacy awards), or
to Energy Savings Performance
Contracts (ESPCs) as referenced in 48
CFR 23.205.”
A-6 4b Added “Lessons learned shall be
captured by the Program in
consultation with the FPD during this
reassessment of a selected alternative
and entered into the DOE lessons
learned system of record, currently
known as DOE OPEXShare, as
described in DOE 210.2 (current
version).”
A-7 4b (Table 2.1) “Document Guiding Principles for “Incorporate and document
Federal Leadership in High compliance with climate adaptation,
Performance and Sustainable Building resilience, and sustainability
provisions per EO 13693, Section 3(h), requirements (refer to Appendix C,
support for the Site or Strategic Paragraph 5.), support for the Site
Sustainability Plan(s) per DOE O 436.1 Sustainability Plan(s) per DOE O
and/or other sustainability 436.1 (current version) and/or other
considerations planned in the high performance and sustainable
Conceptual Design Report, Acquisition building considerations (refer to DOE
Strategy, and/or PEP, as appropriate. G 413.3-6, current version, and
(Refer to DOE G 413.3-6A.)” Guiding Principles for Sustainable
Federal Building) in the PEP,
Conceptual Design Report and
Acquisition Strategy as appropriate.”
A-8 4b (Table 2.1) Added “Individuals leading project
peer reviews, or other reviews
A-12 4c(1) (Table 2.2)
intended to meet the project peer
A-15 4d (Table 2.3) review requirements in this Order,
shall elicit lessons learned with
D-12 VII(B) (Table 4)
potential Department-wide
implications and submit them into
DOE lessons learned system of
record, as described in DOE O 210.2
(current version).”
A-10 4c(1) (Table 2.2) “Incorporate the Guiding Principles for “Incorporate and document
Federal Leadership in High compliance with climate adaptation,
A-13 4d (Table 2.3)
Performance and Sustainable Buildings resilience, and sustainability
per EO 13693, Section 3(h), requirements (refer to Appendix C,
sustainability requirements per DOE O Paragraph 5.), support for the Site
436.1, and/or other sustainability Sustainability Plan(s) per DOE O
considerations into the preliminary 436.1 (current version), and/or other
design and design review. (Refer to high performance and sustainable
DOE G 413.3-6A.)” building considerations (refer to DOE
G 413.3-6, current version and
Guiding Principles for Sustainable
Federal Buildings) in the PEP,
preliminary and/or final designs, and
design review reports as appropriate.”
A-14 4d (Table 2.3) “Within 90 days, submit Lessons “Within 90 days, submit Lessons
Learned regarding up-front project Learned not previously recognized
planning and design to PSO and PM” regarding up front project planning
and design into the DOE lessons
learned system of record, as described
 Page Paragraph Changed To
in DOEO 210.2 (current version) for
projects with a TPC > $100M.”
A-16 4e (Table 2.4) “Within 90 days, submit Lessons “Within 90 days, submit Lessons
Learned regarding project execution and Learned not previously recognized
facility start-up to PSO and PM. regarding project execution and
facility start-up into the DOE lessons
learned system of record, as described
in DOE O 210.2 (current version).”
A-17 4f (Table 2.5) “Complete and document achievement “Complete and document
of Facility Sustainment goals (e.g., achievement of climate adaptation,
LEED Gold, LEED Silver, etc.), as resilience, and sustainability
applicable, via an independent third- requirements (refer to Appendix C,
party entity within one year of facility Paragraph 5.), support for the Site
occupancy in accordance with EO Sustainability Plan(s) per DOE O
13693, Section 3(h), EO 13514, Section 436.1 (current version), and/or other
3, and DOE O 436.1.” high performance and sustainable
building considerations (refer to DOE
G 413.3 6, current version, and
Guiding Principles for Sustainable
Federal Buildings) which were
documented in the PEP, as
applicable.”
A-20 6a Added “A formal corrective action
plan shall be developed by the
D-15 IX.A
Program Office to address root causes
resulting in a project performance
baseline deviation. The corrective
action plan shall be submitted to the
PME for approval, and along with the
root cause analysis, inform the PME’s
decision during the BCP approval
process.”
A-20 6a Added “During the performance
baseline change process, PM shall
assess and validate, via an external
independent review and/or
independent cost review, as
appropriate, the extent and
effectiveness to which corrective
actions have been taken to address
and resolve the identified root causes.
Following approval of a project
performance BCP, PM, as a review
team participant or observer on
project peer reviews, when necessary
and as appropriate, shall
independently assess the effectiveness
of approved corrective actions taken
to address and resolve the identified
root causes.”
A-23 7a(2) Updated the membership section of
the Energy Systems Acquisition
Advisory Board (ESAAB), consistent
with the new DOE organizational
structure.
 Page Paragraph Changed To
A-28 7f(2) “Director, Office of Project Director, Office of Project
Management Oversight and Management (Executive Secretariat)
Assessments,
Office of the Under Secretary of Energy
(Executive Secretariat)
A-28 7f(6) “Deputy Director for Science Programs, “Deputy Director for Operations,
Office of Science” Office of Science”
B-3 and 3 Added new responsibilities to
B-4 Program Secretarial Officers and
Deputy Administrators/Associate
Administrators for NNSA, pertaining
to measuring and reporting on
activities to implement climate
adaptation, resilience and
sustainability requirements for
applicable projects and ensuring the
capture of lessons learned.
B-7 and 8 Added new responsibilities to Federal
B-8 Project Director pertaining to
coordinating collaboration between
site management and project teams to
partner with local utilities,
communities, Tribal, local and state
governments and identifying,
capturing and entering lessons
learned.
B-11 14 Added new responsibilities to Office
of Project Management pertaining to
identifying and eliciting lessons
learned.
B-13 18a(3) Added new responsibility to PMGB
pertaining to lessons learned.
C-1 1 (j) Added “Adoption of practical
measures to incorporate clean energy
sources, climate adaptation, resilience
and sustainability early in the design.”
C-4 5 Added new section pertaining to
Climate Adaptation, Resilience and
Sustainability.
C-9 8 Updated the threshold for construction
design as stated in 50 U.S.C. 2746(b).
C-16 10e Added “Implement EO 14057 Section
207 requirement that DOE/NNSA as
an agency must annually divert from
landfills at least 50 percent of non-
hazardous solid waste, including food
and compostable material, and
construction and demolition waste and
debris by fiscal year 2025; and 75
percent by fiscal year 2030.”
C-18 and 14 Revised Lessons Learned Process
C-19 section.
 Page Paragraph Changed To
C-20 19 Added “Starting at CD-1, Approve
Alternative Selection and Cost Range,
compliance with the climate
adaptation, resilience, and
sustainability requirements and
considerations is to be documented in
a separate section of the PEP.”
C-29 24 Added “Individuals leading project
peer reviews, or other reviews
intended to meet the project peer
review requirements in this Order,
will elicit lessons learned with
potential Department-wide
implications and enter them into the
DOE lessons learned system of
record, as described in DOE O 210.2
(current version) prior to completing
their review reports.”
D-15 IX.A Added “A formal corrective action
and plan shall be developed by the
D-16 Program Office to address root causes
resulting in a project performance
baseline deviation. The corrective
action plan shall be submitted to the
PME for approval, and along with the
root cause analysis, inform the PME’s
decision during the BCP approval
process.”
D-16 IX.A Added “During the performance
baseline change process, PM shall
assess and validate, as a member of
the PMSO IPR, the extent and
effectiveness to which corrective
actions have been taken to address
and resolve the identified root causes.
Following approval of a project
performance BCP, PM, as a review
team participant or observer on
project peer reviews, when necessary
and as appropriate, shall
independently assess the effectiveness
of approved corrective actions taken
to address and resolve the identified
root causes. The PMSO shall do
likewise when PM is otherwise not
available as a participant or observer.”
Attachm 15 Revised section to include Climate
ent 1, adaptation, resilience, and
page 5 sustainability requirements and LEED
Gold certification.
Attachm 17 Added “Contractors must identify,
ent 1, collect, capture, and enter lessons
page 5 learned into the DOE lessons learned
system of record, as described in DOE
O 210.2 (current version). All
department employees and contractors
 Page Paragraph Changed To
may gain access to the lessons learned
repository.”
Attachm 41, 56, 66,76, and Added definition for Energy Savings
ent 2 78 Performance Contracts, High
Performance and Sustainable
Building, Leadership in Energy and
Environmental Design, Minor
Construction Project (replaced
General Plant Project), and Net-Zero.
Attachm 67 Added “A good work practice or
ent 2 innovative approach that is captured
and shared to promote repeat
application or an adverse work
practice or experience that is captured
and shared to prevent recurrence.”
All Entire Document “PARS II” PARS