DOE Responsibilities

Three objectives regarding roles and responsibilities that are necessary to achieve defined project objectives as well as the objectives of DOE O413.3B are:

• Strengthening line management accountability for successful project management results

• Clearly defining the roles, responsibilities, authority, and accountability of the Federal Project Management Team relative to the contractor Project Management Team

• Developing effective IPTs to assist the FPD in planning, programming, budgeting, and successfully acquiring capital assets.

DOE line managers are responsible for successfully developing, executing, and managing projects within the approved PB. Delegation of authority from one line manager to a lower-level line manager must be documented and consistent with DOE delegation authorities and the qualifications of the lower-level line manager. Although the authority and responsibility for decision-making may be delegated to a lower-level manager, the senior manager remains accountable for the decisions made by subordinate managers.

Clear roles, responsibilities and accountabilities among the project’s owner, line management organizational elements, and support staff organizations shall be documented in the preliminary project execution plan at CD-1 and updated during subsequent changes to the PEP.

• Serve as the Chief Executive responsible and accountable for all project acquisitions.

• Exercise decision-making authority, including CDs for all Major System Projects.

• Serve as Chair for the ESAAB.

• Receive PME authority from the CE, as appropriate.

• Designate a project owner before CD-1.

• Program Secretarial Officers and Deputy Administrators/Associate Administrators

• Hold line accountability for applicable capital asset project execution and implementation of policy.

• Hold accountability for project-related site environment, safety and health, and safeguards and security.

• Approve MNS documents and AS documents for all capital asset projects (cannot be delegated).

• Approve disposition of projects and PB changes below the CE approval level following PB deviations. If delegated, this authority cannot be further delegated.

• Ensure the identification of requirements and request the necessary budget to support the mission need.

• Visit the project site and review the progress against key milestones that were approved as part of the performance baseline.

• Program Managers and Heads of Field Organizations

• Direct initial project planning and execution roles for projects assigned by the PME.

• Initiate definition of mission need based on input from Sites, Laboratories and Program Offices.

• Establish the initial IPT in advance of the designation of a FPD.

• Oversee development of project definition, technical scope and budget to support mission need.

• Initiate development of the AS before CD-1 (during the period preceding designation of the FPD).

• Perform functions as a PME when so delegated.

• Develop project performance measures and monitor and evaluate project performance throughout the project.

• Allocate resources throughout the program.

• Oversee the project line management organization and ensure the line project teams have the necessary experience, expertise, and training in design engineering, safety and security analysis, construction, and testing.

• Serve as the FPD until the FPD is appointed.

• Ensure that performance measures, resource allocations, and project oversight, as applicable, address integration of safety into design and construction for Hazard Category 1, 2, and 3 nuclear facilities.

• Review prerequisite documents (as listed in O 413.3B Appendix A, Tables 2.0-2.5) before each CD submission.

• Identify which contracts should incorporate the CRD and notify the Contracting Officer to include the CRD in the contract.

Successful performance of DOE projects depends on professional and effective project management by the FPD. The FPD is accountable to the PME, Program Secretarial Officer or delegated authority, as appropriate, for the successful execution of the project within a PB.

The FPD's assigned project must meet cost, schedule and performance targets unless circumstances beyond the control of the project directly result in cost overruns and/or delays. FPDs must demonstrate initiative in incorporating and managing an appropriate level of risk to ensure best value for the government. In cases where significant cost overruns and/or delays may occur, the FPD must alert senior management in a timely manner and take appropriate steps to mitigate them.

Roles and responsibilities of the FPD's team must be clearly defined relative to the contractor management team. DOE Guides provide further information. These roles and responsibilities include:

• Attain and maintain certification in concert with the requirements outlined in DOE O 361.1C before they are delegated the authority to serve as FPD and/or within one year of appointment, achieve the appropriate level of certification.

• Serve as the single point of contact between Federal and contractor staff for all matters relating to a project and its performance.

• Prepare and maintain the IPT Charter and operating guidance with IPT support and ensure that the IPT is properly staffed. Define and oversee the roles and responsibilities of each IPT member.

• Appointed as the Contracting Officer's Representative, as delegated by the Contracting Officer.

• Lead the IPT and provide broad project guidance. Delegate appropriate decision-making authority to the IPT members.

• Approve the IPT charter for non-Major System Projects.

• Ensure the development and implementation of key project documentation (e.g., the PEP).

• Define project cost, schedule, performance, and scope baselines.

• Ensure that design, construction, environmental, sustainability, safety, security, health and quality efforts performed comply with the contract, public law, regulations and EOs.

• Ensure timely, reliable and accurate integration of contractor performance data into the project's scheduling, accounting, and performance measurement systems, to include PARS II.

• Evaluate and verify reported progress; make projections of progress and identify trends.

• Approve (in coordination with the Contracting Officer) changes in compliance with the approved change control process documented or referenced in the PEP.

• Ensure that safety is fully integrated into design and construction for Hazard Category 1, 2, and 3 nuclear facilities.

• Ensure early warning systems (triggered by thresholds) and communication channels are in place, so senior leadership is informed of potential project issues in time to make productive changes.

• Serve as DOE's principal point of contact and advisor relating to project management.

• Develop policy, requirements and guidance for the planning and management of capital asset projects.

• Assist in the planning, programming, budgeting and execution process for the acquisition of capital assets in coordination with the Program Secretarial Officer and PMSO.

• Support the Program Secretarial Officer in the CD process; and oversee the acquisition management process.

• Serve as a member and Executive Secretariat for the ESAAB and the PMRC. When performing the Executive Secretariat duties, the Director of PM-1 is accountable to the Deputy Secretary.

• Manage the Project Management Career Development Program (PMCDP).

• Establish, maintain and execute the EVMS Certification and Surveillance Review processes in accordance with established levels to ensure full compliance with applicable FAR and OMB requirements.

• Perform EVMS Certification and Surveillance Reviews.

• Review MNS documents for projects with a TPC of $100M or greater.

• Review the AS for Major System Projects.

• Maintain a corporate project reporting capability.

• Establish, maintain and execute a corporate EIR capability to provide an independent assessment and analysis of project planning, execution and performance.

• Validate the PB for all capital asset projects with a TPC greater than or equal to $100M to permit inclusion in the DOE annual budget.

• For Major System Projects, conduct an ICR prior to CD-0. For projects with a TPC of $100M or greater, develop an ICE and/or conduct an ICR prior to CD-1, develop an ICE prior to CD-2 and CD-3.

• Support the FPD.

• Work with the Contracting Officer to develop a project AS and AP, as applicable.

• Ensure that project interfaces are identified, defined and managed to completion.

• Identify, define and manage to completion the project environmental, safety, health, security, risk and QA requirements.

• Identify and define appropriate and adequate project technical scope, schedule and cost parameters.

• Perform periodic reviews and assessments of project performance and status against established performance parameters, baselines, milestones and deliverables.

• Plan and participate in project reviews, audits, and appraisals as necessary.

• Review and comment on project deliverables (e.g., drawings, specifications, procurement, and construction packages).

• Review change requests, as appropriate, and support CCBs as requested.

• Support preparation, review and approval of project completion and closeout documentation.

• Ensure safety is effectively integrated into design and construction.

• Review all CD packages and recommend approval/disapproval