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DOE O 413.3B, Program and Project Management for the Acquisition of Capital Assets

Functional areas: Acquisition, Defense Nuclear Facility Safety and Health Requirement, Program Management

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. Supersedes DOE O 413.3A, Chg 1 dated 6-28-06.

o413.3bFinal11-29-10.pdf -- PDF Document, 2.06 MB

Writer: jglascock
  • Administration
  • Procurement
  • Safety
ID: DOE O 413.3B
Type: Order
OPI: PM - Office of Project Management Oversight and Assessments
Status: Archive
Approved Date: Nov 29, 2010
CRD: Yes
Invoking Directive: Yes
Program and Project Management for the Acquisition of Capital Assets
Scroll and Zoom for details. Click on Nodes to View Document.

Navy/DOE Naval Nuclear Propulsion Program; Bonneville Power Administration. Although exemption is contained in current directive, BPA exemption memo is attached for historical purposes.

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Julie Reddick says:
Aug 28, 2014 09:53 PM

Can you help with a question? DOE O 413.3B requires that a Record of Decision SHALL be issued AFTER CD-2 is granted but prior to CD-3 approval. We have an EIS, and need an amended ROD, and the ROD could be drafted as soon as we have CD-0 or CD-1. Waiting until after CD-2 could result in schedule delays for the integrated permitting steps. I could find no basis for waiting to CD-2 - did I miss something? Do you recommend we ask for an exemption per DOE O 251.1c?


Diane Johnson says:
Sep 02, 2014 08:01 PM

Reply from Jay Glascock - You do not need to file for an exemption to Order 413.3B. As long as you have the ROD prior to CD-3, you're okay. You need the ROD to start construction, which is the definition of CD-3 - start construction/execution. By definition, you don't have a project at CD-0 and you don't have an approved alternative until CD-1. Somewhere between CD-1 approval and prior to CD-3, you need to finalize the EIS and obtain the ROD.

bill weaver says:
May 29, 2015 10:20 PM

413.3b says a Code of Record (COR) is required for nuclear facilities --not just for haz cat 1,2,3 nuclear facilities --was that you intent--nuclear facilities are defined to include less than haz cat 3 nuclear facilities (formally called radiological facilities)

Greg Mclellan says:
Jun 10, 2015 10:01 PM

Recommend replacing the ORP Letter of Authorization for Scott Samuelson with one for Kevin Smith. Kevin assumed the role of ORP Manager in 2013.

Eric Fitzgerald says:
Oct 15, 2015 06:47 PM

I have questions based on the following from DOE O 413.3B:

Reference Appendix A, page A-15 "CD-4 is the achievement of the project completion criteria defined in the PEP, the approval of transition to operations, and it marks the completion of the execution phase. The approval of CD-4 is predicated on the readiness to operate and/or maintain the system, facility, or capability. Transition and turnover does not necessarily terminate all project activity. In some cases, it marks a point known as Beneficial Occupancy Date (BOD) at which the operations organizations assume responsibility for starting operations and maintenance"

Reference Appendix C, page C-25 "Likewise, it may be appropriate to split CD-4. For example, “CD-4A” to designate beneficial occupancy of a facility in advance of operations start-up, particularly if there is a significant time lapse."

and Reference definitions 'Beneficial Occupancy - Stage of construction of a building or facility, before final completion, at which its user can occupy it for the purpose it was constructed. Beneficial occupancy does not imply that a project has reached CD-4."

• On a multiple facility project, with 'Transition and turnover' performed for Beneficial Occupancy, is this performed prior to CD-4 or does this imply a split CD-4?

Kevin Casada says:
Jan 16, 2016 08:19 PM

Clarification question. An asset that is below the $5mil threshold, is to be utilized by one contractor and is a warehouse/office building, is it exempt from 413.2?

Jim McDonald says:
Jan 21, 2016 10:57 PM

On behalf of Jay Glascock: The requirements of Order 413.3B are mandatory for all capital asset projects having a Total Project Cost (TPC) of $10M or greater.

Gary Bumgardner says:
May 17, 2016 07:52 PM

Please update the delegation for PPPO Acting Manager Robert Edwards III from William Murphy.

Department of Energy
Washington, DC 20585
APR 05 2016



SUBJECT: Delegation of Project Management Executive Authority for
Capital Asset Projects at the P01ismouth/Paducah Project Office
In accordance with Department of Energy (DOE) Order (0) 413.3B, Program and
Project Management of the Acquisition of Capital Assets, I delegate Project Management
Executive (PME) Authority for all Office of Environmental Management (EM) Capital
Asset Projects .(CAP) at the P01ismouth/Paducah Project Office (PPPO) with a Total
Project Cost (TPC) of less than $100 million to you, as the Acting Manager for PPPO,
with the exception of Critical Decision (CD)-0, Approve Mission Need.

Gary Bumgardner

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