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Page 1Exhibit 123 – Critical Decision Requirements ChecklistsThe Requirements of DOE Order 413.3B, Program and Project Management for the Acquisitionof Capital Assets, Appendix A Requirements, Section 4 “Requirements for Approval of CriticalDecisions” Tables 2-0 through 2-4 are presented in a checklist form suitable for use withMicrosoft Word v10. They can be edited most easily after enabling MS-Word’s “Developer”menu. The checklists may be adapted for use in Tailoring Strategies (looking forward), or inreadiness reviews.Additionally, there are checklists for combined Critical Decision (CD)-2/3, ApprovePerformance Baseline/ Start of Construction/Execution and CD-1/2/3, Approve AlternativeSelection/ Performance Baseline/ Start of Construction/Execution.It is a common EM practice to combine CDs 2 and 3 when funding lines are established (outyear capital funds can not be requested until CD-2 is approved). Order 413.3B (page A-17)allows that CD-1/2/3 may be accomplished simultaneously, when project requirements (e.g.,baseline development) and associated environmental documents (e.g., regulatory agreements) arefinalized in unison.Order 413.3B Tables 2.0 through 2.4 CD-x Requirements are reproduced here for Users’convenience, updated to current DOE Directives. Following them are requirements tables forcombined CD-2/3 and combined CD-1/2/3.ContentsCritical Decision Requirements Checklists2Critical Decision 0: Approve Mission Need2Critical Decision 1: Approve Alternative Selection/Cost Range4Critical Decision 2/3 – Approve Performance Baseline6Critical Decision 1/2/3 – Approve Performance Baseline8Critical Decision 3: Approve Start of Construction/Execution12Critical Decision 4 – EM Mission Completion/Site Transition14Order 413.3B, §A4. Requirements for Approval of Critical Decisions16Table 2.0 - CD-0, Approve Mission Need16Table 2.1 - CD-1, Approve Alternative Selection and Cost Range16Table 2.2 - CD-2, Approve Performance Baseline.19Table 2.3 – CD-3, Approve Start of Construction/Execution21Table 2.4 - CD-4, Approve Start of Operations / Completion23CD-2/3 EM Remediation: Approve Performance Baseline and Start of Construction. 24CD-1/2/3 EM Remediation: Approve Alternate Selection, Performance Baseline andStart of Construction.27
Page 2Critical Decision Requirements ChecklistsThe following requirements checklists were coded for Microsoft Word v.10, and will not work as-is withearlier versions. They are structured for use in a Tailoring Strategy for a Project with TPC 400M, the limitof the Senior Advisor for Environmental Management’s delegation of AE Authority. A Tailoring Strategy isusually prepared post CD-0, and presents the summary line requirements with options for future completion.The tables could be converted for use in a completion report by changing the checkbox labels to “Completed– N/A – Tailored” and then providing the completion vehicle information in the third column.Critical Decision 0: Approve Mission NeedAcquisition Executive Authority The Project is 50M : 50M-- 100M : 400MProgram Secretarial OfficerCritical Decision ApprovalRough Order of Magnitude xxM — xxM Program Secretarial Officer, EM-1Date Approved: October 01, 2012CD – 0 REQUIREMENTSPre-ConceptualPlanning Activities Completed Tailored N/AMission NeedStatement Completed Tailored N/AOECM Review onMNS Completed Tailored N/AOECM review required if high estimate is 100MMission ValidationIndependent ProjectReview Completed Tailored N/ANot Required; Not a Major System ProjectIndependent CostReview Completed Tailored N/ANot Required; Not a Major System ProjectProgramRequirementsDocument Completed Tailored N/ANot required; Not a NNSA activity or site.Safety-in-DesignExpectations Completed Tailored N/ARequired for nuclear hazard Category 1, 2, or 3facilities.Explain
Page 3Post CD-0 Approval Actions:Submit all CD documentsto OECM. Fully Applicable Tailored N/ADevelop Project DataSheets and Exhibit 300s.Identify any MIE. Fully Applicable Tailored N/AInitiate monthly PARS IIreporting. Fully Applicable Tailored N/AInitiate QPRs with the AE. Fully Applicable Tailored N/AProceed with conceptualplanning Fully Applicable Tailored N/A
Page 4Critical Decision 1: Approve Alternative Selection/Cost RangeThe Project is 100M, and 50MAcquisition Executive Authority Memorandum: Huizenga/EM1 to Craig/CBC,Retract Delegation of AE Authority for CAPs atNNSS and LANL, dated July 16, 2012Reiterated in CD0/MNS memo dated October 17,2012.The EMCBC Director will be the AE for allsubsequent Critical Decisions.Program Secretarial OfficerEMCBC Director (SES)Date Received: July 16, 2012Critical Decision Approval Program Secretarial OfficerEMCBC Director, AE (SES)Date Received:CD-1 REQUIREMENTS Fully ApplicableTailoring Strategy Tailored N/AApprove Acquisition Fully ApplicableStrategy Tailored N/APreliminary ProjectExecution Plan Fully Applicable Tailored N/AAppoint FederalProject Director Fully Applicable Tailored N/AEstablish Integrated Fully ApplicableProject Team TailoredDevelop Initial Fully ApplicableRisk Management TailoredPlan N/A Fully Applicable Tailored N/AComply with One Fully Applicablefor-One Replacement Tailored(HR 109-86) N/AConceptual DesignReport Fully Applicable Tailored N/APreliminary HazardAnalysis Report Fully Applicable Tailored N/AIntegrated SafetyManagement Plan Fully Applicable Tailored N/AQuality AssuranceProgram Fully Applicable Tailored N/AIndependent CostReview (ICR) N/A
Page 5Safeguards andSecurity Fully Applicable Tailored N/ANationalEnvironmentalPolicy Act (NEPA)Strategy Fully Applicable Tailored N/A Fully ApplicableEnvironmentalCompliance Strategy Tailored N/AUpdate Project Data Fully ApplicableSheet Tailored N/AHazard Category1, 2, or 3 nuclearfacilities prepare Safety DesignStrategyDo an IndependentProject ReviewConceptual SafetyDesign ReportConceptual SafetyValidation Report Fully Applicable N/APost CD-1 Approval Actions:Submit all CD documentsto OECM. Fully Applicable Tailored N/ABegin the project design. Fully Applicable Tailored N/ADevelop an AcquisitionPlan, if applicable. Fully Applicable Tailored N/AContinue monthly PARS II Fully Applicablereporting. Tailored N/A Fully Applicable Tailored N/AFor nuclear facilities, develop Fully Applicablea Checkout, Testing and TailoredCommissioning Plan N/AContinue QPRs with theAE.
Page 6Critical Decision 2/3 – Approve Performance BaselineThe Project TPC is ( 50M; 50M-- 100M; 400M)Critical Decision Approval Program Secretarial OfficerEMCBC Director, AE (SES)AE authority per Memorandum: Huizenga/EM1 toBaseline:Total Project Cost:Date Received:Completion Date:CD – 2/3 REQUIREMENTSUpdate AcquisitionStrategy Fully Applicable Tailored N/A Explain any tailoring or why this is N/A. As theproject progresses, detail how this was met.Establish PerformanceBaseline Fully Applicable Tailored N/AFinalize ProjectExecution Plan Fully Applicable Tailored N/AProject ManagementPlan Fully Applicable Tailored N/APreliminary & FinalDesign Fully Applicable Tailored N/APerformance Baseline Fully ApplicableValidation and Execution TailoredReadiness IPR N/AIndependent CostEstimate or Review Fully Applicable Tailored N/AEarned ValueManagement System Fully Applicable Tailored N/ATechnology ReadinessAssmt. Fully Applicable Tailored N/AHazard Analysis Report Fully Applicable Tailored N/AConstruction ProjectSafety and Health Plan Fully Applicable Tailored N/A Note any updates to the Integrated SafetyManagement PlanQuality AssuranceProgram Fully Applicable Tailored N/ASecurity VulnerabilityAssessment Fully Applicable Tailored N/A
Page 7Environmental (EIS/EA/FONSI/ CX) Fully Applicable Tailored N/AUpdate Project DataSheet Fully Applicable Tailored N/AHazard Category 1, 2, or3 nuclear facilities Fully Applicableprepare TIPRSDSPSDASERRefer to DOE-STD-1189-2008. Nuclear facilities N/A use a “graded approach,” very similar to“tailoring.”Post CD-2/3 Approval Actions:Submit all CD documents to MA63. Submit any BCP Fully Applicable N/Adocuments to MA63 as they occur. TailoredUpdate the Project Data Sheet and Exhibit 300. Fully Applicable N/A TailoredCommit all the resources up to the TPC, to execute Fully Applicable N/Athe project. The AE should endorse any negative Tailoredchanges to the approved funding profile.Submit Lessons Learned regarding up-front project Fully Applicable N/Aplanning and design to PSO and MA63. TailoredConduct EVMS surveillance at least every two years. Fully Applicable N/A TailoredTBD. Conducted by: Contractor 20M 50MContinue monthly PARS II reporting (including Fully Applicable N/Aearned value data). FPD, Program Manager and TailoredOECM will provide monthly assessments.Continue QPRs with the AE or their designee. Fully Applicable N/A TailoredConduct annual project peer review for projects with a Fully Applicable N/ATPC 100M. Tailored
Page 8Critical Decision 1/2/3 – Approve Performance BaselineThe Project TPC is ( 50M; 50M-- 100M; 400M)Critical Decision Approval Program Secretarial OfficerEMCBC Director, AE (SES)AE authority per Memorandum: Huizenga/EM1toBaseline:Total Project Cost:Date Received:Completion Date:CD –1/2/3 REQUIREMENTSApprove an AcquisitionStrategy Fully Applicable Tailored N/AEstablish PerformanceBaseline Fully Applicable Tailored N/A Fully Applicable Tailored N/A Fully Applicable Tailored N/A (if applicable; for M&Os)Final Project ExecutionPlanApprove the FPDPrepare the FundingRequest and Ex. 300Develop a RMPProject Management PlanComply with One-for-One Fully ApplicableReplacement (HR 109-86) Tailored N/AConcept thru Final Design Fully Applicable Tailored N/APerformance BaselineValidation and ExecutionReadiness IPR (or EIR) Fully Applicable Tailored N/AIndependent CostEstimate or Review Fully Applicable Tailored N/AEarned ValueManagement System Fully Applicable Tailored N/ATechnology ReadinessAssmt. Fully Applicable Tailored N/AHazard Analysis Report Fully Applicable Tailored N/APerform Design ReviewFinalize Safety Sign. SSCEstablish Code of RecordIncorp. HPSB FeaturesFinal Design Report
Page 9Develop and implementan ISM Plan Fully Applicable Tailored N/AConstruction ProjectSafety and Health Plan Fully Applicable Tailored N/A Note any updates to the Integrated SafetyManagement PlanQuality AssuranceProgram Fully Applicable Tailored N/ASecurity VulnerabilityAssessment Fully Applicable Tailored N/AEnvironmental (EIS/EA/FONSI/ CX) Fully Applicable Tailored N/AUpdate Project Data Sheet Fully Applicable Tailored N/AHazard Category 1, 2, or 3nuclear facilities Fully Applicableprepare SDSIPRTIPRPSDASERRefer to DOE-STD-1189-2008. Nuclear facilities N/A use a “graded approach,” similar to “tailoring.”Post CD-1/2/3 Approval Actions:Submit all CD documents to MA63. Submit any BCP Fully Applicabledocuments to MA63 as they occur. TailoredUpdate the Project Data Sheet and Exhibit 300. Fully Applicable TailoredCommit all the resources up to the TPC, to execute Fully Applicablethe project. The AE should endorse any negative Tailoredchanges to the approved funding profile.Submit Lessons Learned regarding up-front project Fully Applicableplanning and design to PSO and MA63. TailoredConduct EVMS surveillance at least every two years. Fully Applicable TailoredContinue monthly PARS II reporting (including Fully Applicableearned value data). FPD, Program Manager and TailoredOECM will provide monthly assessments.Continue QPRs with the AE or their designee. Fully Applicable TailoredConduct annual project peer review for projects with a Fully ApplicableTPC 100M. Tailored N/A N/A N/A N/A N/A N/A N/A N/A
Page 10Critical Decision 2: Approve Performance BaselineThe Project TPC is 50M : 50M-- 100M : 400MAcquisition Executive Authority Program Secretarial OfficerOffice Director (SES)Date Received: July 16, 2012Memorandum: Huizenga/EM1 to Craig/CBC,Retract Delegation of AE Authority for CAPs atNNSS and LANL, dated July 16, 2012Critical Decision ApprovalDate Received: Cost Baseline:Program Secretarial OfficerEMCBC Director, AE (SES)CD-2 REQUIREMENTSUpdate Acquisition Fully ApplicableStrategy TailoredCompletion date: N/AEstablishPerformanceBaseline Fully Applicable Tailored N/AApprove UpdatedProject ExecutionPlan Fully Applicable Tailored N/ADevelop a ProjectManagement Plan Fully Applicable Tailored N/AComplete Preliminary Fully ApplicableDesign Tailored N/AEIR or IPR forPerformanceBaseline Validation Fully Applicable Tailored N/ATechnology Readiness Fully ApplicableAssessment Tailored N/A Fully ApplicableEmploy an EarnedValue Mgmt System Tailored N/AHazard AnalysisReport Fully Applicable Tailored N/AUpdate ISMS Plans Fully Applicable Tailored N/AQuality AssuranceProgram Fully Applicable Tailored N/ASecurityVulnerabilityAssessment Fully Applicable Tailored N/APrepare a Hazardous Fully ApplicableAnalysis Report Tailored N/AExplain any tailoring or why this is N/A. As theproject progresses, detail how this was met.
Page 11Conduct Preliminary Fully ApplicableSecurity Assessment Tailored N/AFinal Environmental Fully ApplicableImpact Statement/ TailoredEA N/AUpdate Project Data Fully ApplicableSheet Tailored N/AHazard Category1, 2, and 3 NuclearFacilities prepare TIPRSDS UpdatePSDRPSVR N/A Fully Applicable TailoredRefer to DOE-STD-1189-2008.Refer to DOE-G 413.3-9.Post CD – 2 ApprovalSubmit all CD documents, and if there are changes to the PB, submit BCPdocuments to OECM.Submit budget request for the TPC.Obtain AE endorsement on any changes to the approved funding profile thatnegatively impacts the project.Continue monthly PARS II reporting (including earned value data). FPD,Program Manager and OECM will provide monthly assessments.Continue QPRs with the AE or their designee.Initiate annual project peer review for projects with a TPC 100M.
Page 12Critical Decision 3: Approve Start of Construction/ExecutionAcquisition Executive Authority The Project TPC is 50M : 50M-- 100M : 400MProgram Secretarial OfficerOffice Director (SES)Critical Decision ApprovalDate Received: Cost Baseline:Program Secretarial OfficerEMCBC Director, AE (SES)CD-3 REQUIREMENTSUpdate CD-2 Fully ApplicableDocuments: PEP, TailoredPB, PDS, etcCompletion date: N/AComplete andReview the FinalDesign Fully Applicable Tailored N/AEmploy CertifiedEVM System Fully Applicable Tailored N/APerform EIR/IPR for Fully ApplicableConstruction Tailored N/AConduct aTechnologyReadiness Assmt Fully Applicable Tailored N/AUpdate HazardAnalysis Report Fully Applicable Tailored N/AConstruction Project Fully ApplicableSafety and Health TailoredPlan N/AUpdate the QualityAssurance Program Fully Applicable Tailored N/AFinalize SecurityVulnerabilityAssessment Report Fully Applicable Tailored N/AHazard Category 1,2, and 3 NuclearFacilities prepare Update the SDSPDSASER Fully Applicable Tailored N/AExplain any tailoring or why this is N/A. As theproject progresses, detail how this was met.For Projects Subject to DOE-STD-1189-2008. Seealso 10 CFR Part 830, Subpart B)
Page 13Post CD-3 ApprovalSubmit all CD documents to OECM.Commit all the resources necessary, within the funds provided and withinthe TPC, to execute the project.Within 90 days, submit Lessons Learned regarding up-front projectplanning and design to PSO and OECM.Update PDS, or other funding documents for MIE and OE, and OMB 300s,if applicable. (Refer to OMB Budget Call for PDS and Exhibit 300Template.)Conduct EVMS surveillance to ensure compliance with ANSI/EIA-748B,or as defined in the contract. Contractor must conduct the surveillanceannually. OECM and PMSO must conduct their surveillance at the contractmidpoint or every two years, during contract extensions, or as requested bythe AE.Continue monthly PARS II reporting (including earned value data). FPD,Program Manager and OECM will provide monthly assessments.Continue QPRs with the AE or their designee.Continue annual project peer reviews for projects with a TPC 100M.
Page 14Critical Decision 4 – EM Mission Completion/Site TransitionCritical Decision Approval Date Received:Program Secretarial OfficerEMCBC Director, AE (SES)CD – 4 REQUIREMENTS Fully Applicable Tailored N/AVerify that Key Performance Parameters andProject Completion Criteria have been metand that mission requirements have beenachieved.Project Transition toOperations Plan² Fully Applicable Tailored N/ATBD. Most likely N/A.Readiness to Operate( Cat 3 Nuclear) Fully Applicable Tailored N/ATBD. Most likely N/A.Final Hazard AnalysisReport Fully Applicable Tailored N/ARevise the EnvironmentalManagement System Fully Applicable Tailored N/AContractor EvaluationDocuments Fully Applicable Tailored N/AHazard Category 1, 2, or 3 Fully Applicablenuclear facilities prepare N/AKey PerformanceParameters / ProjectCompletion CriteriaRefer to DOE-STD-1189-2008. Nuclearfacilities use a “graded approach,” verysimilar to “tailoring.”Do a ORR or RASDATSRsSERNOTES:1. Documents and reports are not intended to be stand-alone and may be combined.2. For Environmental Management Clean-up Projects, refer to 29 CFR 1910.120.Post CD-4 Approval Actions and Project CloseoutPOST CD – 4 REQUIREMENTSSubmit all CDdocuments to MA63 Fully Applicable N/AFinalize PARS IIreporting Fully Applicable N/ASubmit LessonsLearned Fully Applicable N/AWithin 90 days!
Page 15Submit Initial Project Fully ApplicableCloseout Report N/AFinal ProjectCloseout Report Fully Applicable N/ADocument FacilitySustainment Goals Fully Applicable N/AUpdate FIMS Fully Applicable N/AUpdate the Site 10Year Plan Fully Applicable N/AWithin 90 days!
Page 16Order 413.3B, §A4. Requirements for Approval of Critical Decisions4.a. CD-0, Approve Mission Need (Page A-5)Table 2.0 - CD-0, Approve Mission NeedPrior to CD-01Approval Authority2Perform Pre-Conceptual Planning activities that focus on the Program Offices' strategic goals andobjectives, safety planning, design, development of capability gaps, high-level projectparameters, a ROM cost range, and schedule estimates.Perform a Mission Validation Independent Review on all Major System Projects. (Refer to DOE PSOG 413.3-9.)Approve a Mission Need Statement Document with recommendation from OECM for projectswith a TPC 100M. (Refer to DOE G 413.3-17.)PSOFor Major System Projects, or for projects as designated by the SAE, OECM will conduct anIndependent Cost Review (ICR).For NNSA only, prepare a Program Requirements Document that defines the ultimate goalswhich the project must satisfy. (Refer to NNSA Business and Operating Policy.)For Hazard Category 1, 2, and 3 nuclear facilities, and to the specificity possible, documentDOE expectations for Safety-in-Design. (Refer to DOE-STD-1189-2008.)PSOSafety Basis ApprovalAuthority (SBAA)Post CD-0 ApprovalSubmit all CD documents to OECM.Develop a Project Data Sheet (PDS) for Line Item Projects to request Project Engineering andDesign (PED) funds. Develop funding documents for MIE or OE projects for the design, andOMB 300s. (Refer to OMB Budget Call for PDS and Exhibit 300 Templates)Initiate monthly PARS II reporting (excluding earned value data). FPD, Program Manager andOECM will provide monthly assessments, as appropriate.Initiate Quarterly Project Reviews (QPRs) with the AE or their designee.Proceed with conceptual planning and design used to develop alternative concepts and functionalrequirements using operating funds.NOTES:1. Documents and reports are not intended to be stand-alone and may be combined.2. Where no approval authorities are noted, authorities are established through other directives or the Program Offices(e.g., Functions and Requirements Assignment Matrix).4.b. CD-1, Appr
Page 1 Exhibit 123 – Critical Decision Requirements Checklists The Requirements of DOE Order 413.3B, Program and Project Management for the Acquisition of Capital Assets, Appendix A Requirements, Section 4 “Requirements for Approval of Critical Decisions” Tables 2-0 through 2-4 are presented in a checklist form suitable for use with
