DOE G 413.3-24 Planning and Scheduling

U.S.
Department of Energy GUIDE

Washington, DC
NOT
MEASUREMENT
SENSITIVE
DOE G 413.3-24
Approved: 4-8-2022
SUBJECT: PLANNING AND SCHEDULING
[This guide describes acceptable, but not mandatory, means for complying with requirements.
Guides are not requirements documents and are not to be construed as requirements in any audit
or appraisal for compliance with associated rules or directives].
AVAILABLE ONLINE AT: INITIATED BY:

www.directives.doe.gov Office of Project Management
DOE G 413.3-24 i (and ii)
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FOREWORD
This U.S. Department of Energy (DOE) guide is for use by all Departmental elements. This guide
assists project teams by outlining project scheduling principles and best practices in planning and
executing capital asset projects to meet the requirements of DOE Order (O) 413.3B, Program and
Project Management for the Acquisition of Capital Assets. This guide provides non-mandatory
information for fulfilling requirements contained in rules, regulatory standards, and DOE
directives. Guides are not requirement documents and are not to be construed as requirements in
any audit or appraisal for compliance. Send citations of errors, omission, ambiguities, and
contradictions found in this guide to PMpolicy@hq.doe.gov.
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CONTENTS
FOREWORD ............................................................................................................................... I
1. PURPOSE .............................................................................................................................. 1
2. BASIS .............................................................................................................................. 1
3. BACKGROUND ........................................................................................................................ 2
4. ROLES AND RESPONSIBILITIES.......................................................................................... 5
4.1 FEDERAL PROJECT DIRECTORS ................................................................................. 5
4.2 CONTRACTOR CONTROL ACCOUNT MANAGERS AND PROJECT CONTROL
STAFF......................................................................................................................................... 5
5. SCHEDULE OF DELIVERABLES .......................................................................................... 6
6. DELIVERABLES ...................................................................................................................... 7
6.1 SCHEDULING CONTRACT CLAUSES.......................................................................... 7
6.2 PLANNING FOR AN INTEGRATED MASTER SCHEDULE ....................................... 7
6.3 MATURATION OF AN INTEGRATED MASTER SCHEDULE ................................... 9
6.3.1 General Expectations ................................................................................................. 10
6.3.2 , High-level Master Schedule .............................................................. 11
6.3.3 Post CD-1, IMS for the Selected Alternative ............................................................ 11
6.3.4 ........................................................ 14
6.3.5 Post CD-2, Baseline IMS with the Construction Plan of Execution ......................... 18
7. PLANNING AND SCHEDULING SPECIAL TOPICS ......................................................... 24
7.1 INTEGRATION OF RISK MANAGEMENT INTO THE SCHEDULE ........................ 24
7.2 LEVEL OF EFFORT ........................................................................................................ 24
7.3 INCLUSION OF LEVEL OF EFFORT IN THE INTEGRATED MASTER SCHEDULE:
24
7.4 SCHEDULE DOCUMENTATION AND CODING ....................................................... 26
7.5 SCHEDULE CONFIGURATION OPTIONS .................................................................. 27
7.6 DESKTOP PROCEDURES.............................................................................................. 28
7.7 SCHEDULE MARGIN AND DOE SCHEDULE CONTINGENCY IN AN IMS .......... 28
7.7.1 Overview ................................................................................................................... 28
7.7.2 Establishing SM and DOE Schedule Contingency ................................................... 29
7.7.3 Representation of SM in the IMS .............................................................................. 29
7.7.4 Representation of DOE Schedule Contingency in the IMS ...................................... 29
7.7.5 Drawdown of SM ...................................................................................................... 30
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7.7.6 Drawdown of DOE Schedule Contingency............................................................... 30

7.8 SUBCONTRACTOR INTEGRATION AND MANAGEMENT IN THE IMS .............. 32
7.8.1 Overview ................................................................................................................... 32
7.8.2 Types of Subcontractors ............................................................................................ 32
7.8.3 Vertical Integration.................................................................................................... 32
7.8.4 Subcontractor Schedule Integration Methods (FP and Cost Reimbursement with
EVMS clause Subcontracts) ...................................................................................... 32
7.8.5 Utilizing Subcontractor Schedule of Values for Status and Performance ................. 34
7.8.6 IMS Level of Detail for Subcontractor Scope ........................................................... 34
7.8.7 Associated Contractor Schedules .............................................................................. 35
7.9 INCORPORATION AND TREATMENT OF WORKAROUNDS IN THE IMS .......... 35
7.9.1 Overview ................................................................................................................... 35
7.9.2 Workaround Plan Validity and Documentation ........................................................ 35
7.9.3 Threshold of Forecast-Only (ETC Only) Activities .................................................. 35
7.10 BASELINE SCHEDULE UPDATES .............................................................................. 37
7.10.1 When to Update the Baseline Schedule..................................................................... 37
7.10.2 Update Implementation ............................................................................................. 38
7.11 SCHEDULE VISIBILITY TASKS AND ZERO BUDGET ACTIVITIES ..................... 39
7.11.1 Overview ................................................................................................................... 39
7.11.2 Application of SVTs and ZBAs ................................................................................ 40
7.12 ADVERSE WEATHER PLANNING .............................................................................. 40
7.12.1 Overview ................................................................................................................... 40
7.12.2 Adverse Weather Planning Approach ....................................................................... 40
7.12.3 Planning for Known Weather Impacts ...................................................................... 41
7.13 FORCE MAJEURE EVENTS .......................................................................................... 42
7.14 CONTRACT VERSUS PROJECT ................................................................................... 42
7.15 GOVERNMENT SCHEDULES ...................................................................................... 43
8. ACRONYMS AND ABBREVIATIONS ................................................................................ 44
9. SOURCES CITED ................................................................................................................... 47
APPENDIX A—SCHEDULE ASSESSMENT PRINCIPLES ...................................................... 1
APPENDIX B: RECONCILIATION BETWEEN THE DOCUMENT, THE GAO SCHEDULE
ASSESSMENT GUIDE AND NDIA PASEG—DOE TAILORING ................. 1
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FIGURES
Figure 1 Relationship between the IMPs, IMS, and other project deliverables ............................. 3
Figure 2. IMP Levels ...................................................................................................................... 8
Figure 3. IMP Structure .................................................................................................................. 9
Figure 4. Rolling Wave Planning................................................................................................. 15
Figure 5. Construction Support Services LOE Model ................................................................. 25
Figure 6. Planning LOE in the IMS .............................................................................................. 26
Figure 7. IMS Codes .................................................................................................................... 27
Figure 8. Primavera P6 Schedule Options ................................................................................... 28
Figure 9. Planning schedule margin, Contractor completion, DOE Contingency ........................ 31
Figure 10. Slips impact on schedule margin and CD 4................................................................. 31
Figure 11. Adverse Weather Calendar ......................................................................................... 41
TABLES
Table 1. Actions or Deliverables ................................................................................................... 6

Table 2. Criteria Examples ............................................................................................................ 8
Table 3. Applicability of GAO Best Practices ............................................................................. 10
Table 4. Post CD-1 to Pre CD-2 Assessments ............................................................................. 12
Table 5. Pre CD-2 Assessment Principles ................................................................................... 16
Table 6. Post CD-2 Assessment Principles .................................................................................. 22
Table 7. Types of Non-Budgeted duration activities .................................................................... 39
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1. PURPOSE
This guide outlines effective principles for developing and maturing project schedules at a level
of detail corresponding to the critical decision process outlined in Department of Energy (DOE)
Order 413.3B, Program and Project Management for the Acquisition of Capital Assets ("the
Order"). It also guides assessments of project schedules for the same purpose. The principles
addressed within this guidance pertain to acquisition of capital assets governed by DOE O
413.3B. The guide does not address strategic, program, site, operations, or sustainment planning
although elements of this guide may be tailored to meet the needs of program management.
2. BASIS
The Order requires projects to develop, maintain, and document an integrated master schedule
(IMS) in a manner consistent with the methods and best practices identified in the National Defense
Industrial Association (NDIA) Planning and Scheduling Excellence Guide (PASEG) and the
Government Accountability Office Schedule Assessment Guide, GAO 16-89G (GAO). 1 This
guide reconciles these two references within the DOE acquisition management system for capital
asset projects.
NOTE: Oracle Primavera P6 is a typical project management software used for planning,
scheduling, and managing DOE capital asset project work. While projects may use any
software, this guide in some instances cites specific P6 terminology for terms not defined in the
Order or the associated 413.3 Guide series for a common basis of discussion. In other instances,
this guide recommends settings specific to, and includes screenshots from, P6 to demonstrate
key points. Projects may use other scheduling software with adjustments to settings, as
necessary, to achieve the same functions as demonstrated.
The following considerations clarify the applicability of the PASEG to DOE:
1. Oracle Primavera P6 (P6) uses "activity" where the PASEG uses "task"; omits the
concepts of summaries and hammocks described in PASEG Section 5.7; and may not
function like MS Project, the basis for examples in the PASEG. Note: P6 has LOE
Hammocks which function differently than hammocks as described in the PASEG.
2. Discussion of work breakdown structures in the PASEG does not apply to DOE.
3. DOE critical decisions meet the intent of the critical design and operational readiness
reviews described in PASEG Section 5.6.
4. Apportioned Effort is typically restricted in DOE to where time phased is consistent with
the base.
5. Other DOE guidance meets the intent of PASEG Section 6.0.
1
DOE O 413.3, current version, Appendix C, Section 16.
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6. In relation to PASEG Section 10.2, projects may use an Acumen Fuse template that
includes tests PM uses when assessing schedules.
7. Other DOE guidance meets the intent of PASEG Section 11.3.
8. Of the subsections in PASEG Section 13, only Section 13.4 applies to capital asset
acquisition projects.
Prior to critical decision (CD)-1, the Order requires an approved Acquisition Strategy containing
a high-level master schedule. 2 The Order requires projects above the $50M threshold to employ
an earned value management system (EVMS) compliant with EIA-748 (the current version at the
time of contract award) prior to CD-2, unless the project is being executed under a fixed price
(FP) contract direct with DOE, or the project has an approved exemption in accordance with
DOE O 413.3B. 3 Guidelines 6 and 7 of EIA-748 describe the role of a project schedule and the
planning and scheduling process for what work remains, which resources will perform the work,
and by when the work would need to occur for the project to be completed by the approved CD-4
date. A project IMS is resource loaded and shows a critical path (also known in DOE and P6 as
"Longest Path"). 4 A resource loaded IMS contains all costs to include unit prices and quantities
as appropriate, for staff, labor, facilities, material, and equipment, to complete the required
activities. For FP contracts, the schedule will include the total contract cost. 5
Projects list key milestones and completion dates in the IMS by estimated month and year. 6 By
this same point, prior to CD-2, projects improving or constructing nuclear facilities have a
current achievable IMS. 7
Subsequent to CD-2, the Order specifies that performance data uploads into the Project
Assessment and Reporting System (PARS) conform to the DOE Integrated Program
Management Report (IPMR) Data Item Description (DID). 8 Report format 6 covered in Section
3.7 of the IPMR defines each of the data items required related to the IMS.
While projects may use various calendars which are identified in notes on schedule assumptions,
examples and discussion in this guide assume each month has approximately 22 workdays and
each week has five workdays.
3. BACKGROUND
Integrated planning is the process where a project translates its requirements into its scope,
breaks its scope into products, identifies the activities needed to accomplish its products, and
assigns sufficient resources to the activities to complete them. GAO best practice expectations
are for projects to have a scope statement, a work breakdown structure (WBS), and an integrated
2
DOE O 413.3, current version, Appendix A, Table 2.1 and Attachment 2, Definition 2.
3
DOE O 413.3, current version, Paragraph 3.c.(3).
4
DOE O 413.3, current version, Appendix C, Section 8 and Attachment 1, Section 6.
5
DOE O 413.3, current version, Attachment 1, Section 6 and Attachment 2, Definition 97.
6
DOE O 413.3, current version, Appendix A, Table 2.2.
7
DOE O 413.3, current version, Appendix C, Section 6(a).
8
DOE O 413.3, current version, Appendix C, Section 8 and Appendix C, Section 20(a).
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master plan (IMP) or similar event-based, top-level plan. The IMP contains the project's
approach for integrating and elaborating on the contents of the project's scope statement, project
execution plan (PEP), and WBS as shown in Figure 1. It is recommended that the elements of
the IMP or similar plan be included within or referenced in the PEP. The IMP outlines a
hierarchy of project events, including critical milestones, each supported by specific
accomplishments, and each accomplishment has prerequisites, completion criteria, or both. The
IMS then extends the IMP by detailing activities, each with a duration and resource needs, which
can result in the accomplishments listed in the IMP. The IMP and IMS also have linkage to the
EVMS, risk management, and internal and external status reviews. See Section 6.2 for further
description of the IMP or similar plan.
Figure 1. Relationship between the IMPs, IMS, and other project deliverables
A performance measurement baseline (PMB) includes an integrated, networked schedule that
establishes progress goals and documents accomplishments indicative of execution of the scope
of work. The schedule communicates what work remains, which resources perform the work,
and by when the work would need to occur for the project to finish by the approved CD-4 date.
Projects integrate their schedules horizontally as evidenced by networks with critical and
near-critical paths and vertically as evidenced by the inclusion of all work regardless of the
performing entity. A schedule achieves horizontal traceability when the logic connecting
predecessors and successors creates a logical and realistic whole. Logic includes the
relationships for the sequencing of the events for a logical forward and backwards reasonable
plan of execution. A schedule achieves vertical traceability when its information rolls up
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logically and consistently. Horizontal and vertical traceability demonstrates realism in the
schedule.
The integration of cost (budget) into the schedule ensures a viable and achievable plan but
depends on verifying resource demands and funding requirements throughout the phases of a
project.
An IMS accounts for all project scope contained in planning packages (PP) and work packages
(WP) included in the project IMP and WBS. The IMS sequences all project milestones and
activities contained in PP and WP, regardless of the performing entity, in a logically linked,
horizontally and vertically traceable network, spanning project start to project completion.
Network logic relationships include any constraints, leads, or lags that control the start or finish
of each milestone or activity. The logically networked and resource-loaded schedule supports
the calculation of the project's critical path, near critical paths, and free and total float values to
enable the analysis of the schedule's completeness, realism, and achievability. The project
critical path does not include activities designated as level of effort (LOE). Furthermore, PP and
WP activity durations, based on the allocation and availability of resources and materials, roll up
vertically to establish the overall duration required to complete each accomplishment. Resource
load schedule activities after finalizing the project estimate. 9 Resources include hours, by major
functional organizations, and dollars, by element of cost (EOC), aligned to the WBS, Control
Account (CA), WP, and WP activities through the schedule coding structure. 10 Loading dollars
provides the basis for the budgeted cost of work scheduled (BCWS) required in an EVMS.
The baseline IMS reflects the most current resource-loaded, time-phased plan for accomplishing
all scope in the PMB, including LOE. Integrate the baseline IMS with a cost processor through
the WBS to provide the BCWS. A project earns value (EV), or its budgeted cost of work
performed (BCWP), as it completes work against BCWS. For this reason, the actual date of
completion for each activity is recorded each month in an updated and adjusted forecast IMS
(mirroring the activities in the baseline IMS) enabling project management to see how actual
performance impacts the following work yet to be finished.
Use P6 filters with its group and sort functionality to customize views of the schedule to meet the
needs of various audiences. Multiple schedules are not recommended in P6 for a single project.
P6 users may group and sort activities by:
1. WBS—to show the schedule by WBS element;
2. Organizational Breakdown Structure (OBS)—to show the schedule by control account

manager (CAM);
3. IMP—to show the schedule by event, accomplishment, and criteria; or,
9
PASEG views resource-loading as optional.
10
GAO distinguishes between fixed and variable resources.
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4. Special—to show a summary schedule through a custom sort.
4. ROLES AND RESPONSIBILITIES
The following are best practices adopted as typical roles and responsibilities.
4.1 FEDERAL PROJECT DIRECTORS
• Review the project's PMB, including the schedule with key project milestone dates
and contract deliverables.
• Ensure timely, reliable, and accurate integration of contractor performance data into
the project's scheduling, accounting, and performance measurement systems,
including PARS.
• Ensure that project performance data is loaded in the specified format into PARS and
that the data reflect reality.
• Assess project performance monthly, including progress made against the baseline
and forecast schedules including critical path.
 Alert senior management in a timely manner when the project may realize
significant schedule delays or cost overruns and then mitigate.
 Communicate effectively among all project stakeholders.
• Ensure project initiation and completion is synchronized with program’s overall

operations schedule.
4.2 CONTRACTOR CONTROL ACCOUNT MANAGERS AND PROJECT

CONTROL STAFF
• Develop and maintain, through change control, a resource-loaded IMS, including all
activities, linked to WBS elements, needed to execute the contract requirements with
a critical path, composed of discrete activities, that for cost reimbursable contracts
contains labor, material, and equipment unit prices and quantities, as appropriate.
• Include in addition to project activities all significant external milestones, regulatory

commitments, and dependencies.
• Update the forecast schedule with actual start and finish dates and revised activity
durations and relationships necessary to realistically complete the project.
• Update resources required to complete the work so that Estimate to Complete (ETC)
can be kept up to date.
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• Upload baseline and forecast schedule data into PARS in accordance with project
performance upload requirements.
• Provide to the Federal Project Director (FPD) requested project information to

support:
 Budget planning, execution, and reporting;
 Project planning and execution;
 Audit and evaluation; and,
 Other performance assessment and information needs.
• Submit requests for an over target schedule (OTS) to the contracting officer when
indicated by project performance. 11
• Identify, quantify, and mitigate schedule risks throughout the life of the project.
5. SCHEDULE OF DELIVERABLES
Table 1 identifies the actions or deliverables associated with a project schedule through the
project CD-gate life cycle.
Table 1. Actions or Deliverables
PRE POST
Action or Deliverable Basis CD Action or Deliverable Basis
• CD-4 date range O 413.3B 0 — —
• CD-4 date range O 413.3B 1 • Include EVMS clause, with O 413.3B
• High-Level Master subcontractor flow down, in
Schedule in Acquisition contract
Strategy • Initiate IMS development
with inclusion of master
schedule in acquisition
strategy
• Update IMS generated O 413.3B 2 • IMS updates O 413.3B
CD-4 date in the PB • PARS data uploads
• IMS contains the
applicable construction
schedule
• IMS updates O 413.3B 3 • IMS updates O 413.3B
11
DOE O 413.3, current version, Attachment 1, Section 1.
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PRE POST
Action or Deliverable Basis CD Action or Deliverable Basis
• PARS data uploads • PARS data uploads
• IMS updates O 413.3B 4 • Project closeout (document O 413.3B
• PARS data uploads final IMS status)
6. DELIVERABLES
6.1 SCHEDULING CONTRACT CLAUSES
Include in cost reimbursable contracts the following clauses, provisions, and standards that
support scheduling such as:
• Federal Acquisition Regulation clause 48 CFR §52.234-4, EVMS;
• DOE Strategic Integrated Procurement Enterprise System (STRIPES) corporate

provision DOE-K-2001;
• STRIPES corporate clause DOE-H-2024; and,
• DOE IPMR DID, Section 3.7, concerning report Format 6, IMS.
6.2 PLANNING FOR AN INTEGRATED MASTER SCHEDULE
Integrated Master Schedule

Source: DOE Order 413.3B, Appendix C, Section 16 Applies to:
"The IMS shall be developed, maintained, and documented in a manner • Post-CD-1
consistent with methods and the best practices identified in the Planning and • Pre-CD-2
Scheduling Excellence Guide, published by the National Defense Industrial
Association, and the GAO's Schedule Assessment Guide."
An IMP, while not a specific deliverable identified in O 413.3B, is a proven successful method
and best practice identified by GAO and PASEG for developing the IMS. An IMP or similar is
an event-driven plan that documents significant accomplishments necessary to complete the
work. It defines how the project will be organized. IMP and IMS are not equivalent, however
together they provide a systematic approach to planning, scheduling, and managing.
The IMP or similar plan does not contain dates but rather project events, significant
accomplishments, and success criteria that serve as the foundation for the content of the IMS as
shown in Figure 2. The project team produces the IMP or similar plan.
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Figure 2. IMP Levels
Project Events identify major assessment points corresponding to primary project goals. This
would be the DOE O 413.3 CD gate maturity points, CD1-CD4.
Significant Accomplishments (1) List desired results realized at the completion of each event
indicative of the project's progress. Label these accomplishments. For example, for an event
like "approve start of execution," then provide "final design review approval," "external
independent review (EIR) completed," and "EVMS certification" as associated accomplishments.
(2) Include, at a minimum, requirements and activities identified in the request for proposal,
contract, or project scope statement.
Success Criteria identify one or more measurable or objective and qualitative or quantitative
success criteria that indicate acceptable completion of each accomplishment or preparedness for
a future accomplishment. Examples appear in Table 2.
Table 2. Criteria Examples
Type of Success Significant

Success Criteria Criteria Accomplishment
Mission need statement approval Prerequisite Pre-conceptual
Analysis
EVMS system description approval Prerequisite EVMS certification
Final design approval Acceptable completion Final design
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Integration:
• Structure the IMP in accordance with Figure 3, which illustrates how the IMS
integrates the IMP's project events, significant accomplishments, and success criteria,
listed sequentially (i.e., vertically) in the figure. 12
• Use an integrated coding system, combined with a disciplined approach to labeling

planning elements, suitable for management.
• Phrase IMP element titles in the past tense because the IMP assumes the project will
complete each event, accomplishment, and criteria.
• Phrase IMS milestones and activities in the imperative.
• Transfer the coding structure in the IMP to the IMS. Ensure the IMS includes all
IMP elements.
• Roll up the work and status of IMP sub-elements and IMS activities to determine the
work and status for any IMP element.
Figure 3. IMP Structure

6.3 MATURATION OF AN INTEGRATED MASTER SCHEDULE
Integrated Master Schedule

Source: DOE Order 413.3B, Appendix C, Section 16 Applies to:
"Projects shall develop and maintain an Integrated Master Schedule (IMS)." • Post -CD-1
through CD-4
12
Some refer to this integration as a "horizontal" integration.
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6.3.1 General Expectations
The 10 best practices for project schedules of the GAO Schedule Assessment Guide appear in
Table 3. The terms "limited" and "full" refer to the level of applicability of the GAO best
practice in that phase of a project. The guidance published by GAO and NDIA in its PASEG
apply to projects for which a PMB has been established. Therefore, the 10 best practices have no
or limited applicability until prior to CD-2.
Table 3. Applicability of GAO Best Practices
Prior to Post Prior to Post

GAO Best Practice (GAO 16-89G) CD-1 CD-1 CD-2 CD-2
1—Capturing All Activities Limited Limited Full Full
2—Sequencing All Activities Limited Full Full Full
3—Assigning Resources to All Activities Limited Limited Full Full
4—Establishing the Duration of All Limited Full Full Full
Activities
5—Verifying That the Schedule Can Be Limited Full Full Full
Traced Horizontally and Vertically
6—Confirming That the Critical Path is Limited Full Full Full
Valid
7—Ensuring Reasonable Total Float Not Full Full Full
applicable
8—Conducting a Schedule Risk Analysis Limited Limited Full Full
9—Updating the Schedule Using Actual Not Limited Full Full
Progress and Logic applicable
10—Maintaining a Baseline Schedule Not Limited Full Full
applicable
This guide addresses four schedule evolutions:
• Prior to CD-1, a high-level Master Schedule
• Post CD-1, IMS for the selected alternative
• Prior to CD-2, baseline/forecast IMS
• Post CD-2, baseline/forecast IMS with the construction plan of execution

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6.3.2 , High-level Master Schedule
The high-level Master Schedule prior to CD-1 addresses each viable alternative being analyzed.
It is comprised of:
Scheduling Objective: Include milestones in the schedule for commitments to stakeholders,

contract deliverables, critical decisions and high-level activities to create a high-level longest
path.
Maturity: This phase represents the submittal and approval of a CD-1 schedule to DOE. It does
not include the maturity of the CD-1 design as it approaches CD-2. Nonetheless, a common best
practice prior to CD-1 is to further mature the preferred alternative’s schedule in the form of a
preliminary working IMS tailored to the conceptual approach outlined in CD-1. This enables
better estimation of the cost range proposed at CD-1 while maintaining the high-level master
schedule for the other alternatives considered in the Analysis of Alternatives (AoA).
Mechanics: Depicts relationships between Activities and milestones with a high-level longest
path.
Risk: Depicts schedule margin between the end of the PMB and the delivery date specified in the
CD 0 approval. Depicts schedule contingency between the delivery date and the high-end of the
approved CD-4 date range.
Status: Prior to CD-1 approval, the schedule does not require forecasting.
Assessments: No assessments on the pre-CD-1 milestone schedule will occur.
6.3.3 Post CD-1, IMS for the Selected Alternative
Scheduling Objective: The project matures in this phase from the alternative selection to the
detail design.
Maturity: The schedule between CD-1 approval and CD-2 contains detailed activities as design
scope is defined but may be immature with limited activities in the post CD-2 phase. From CD-1
approval to CD-2 approval, preparation of a baseline schedule begins with enough remaining
project life-cycle activities to generate a high-level realistic critical path for the period post CD-2
to CD-4 consistent with the high-end estimate approved at CD-1. As the baseline matures, add
detail to the baseline schedule. [GAO 16-89G best practice #1 (GAO BP #1)].
Mechanics: Define relationships for all activities [GAO BP #2]. Load each activity with the
resources required to complete the work [GAO BP #3]. Load resources so that all resources
tally to the high-end of the approved CD-1 cost range. It is anticipated that some WBS elements
may only have high-level or summary values for resource requirements at this phase. Assign
each activity a realistic duration. This includes the scope scheduled between CD-2 and CD-4
[GAO BP #4]. Add logical relationships between associated activities or milestones, resources,
and durations to generate a realistic critical path through project completion [GAO BP #6].
Determine the total float of each activity and of the overall project through consideration of
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activity durations coupled with the identified logical dependencies [GAO BP #7]. Demonstrate
vertical traceability when subcontractor and summary schedules become available. Demonstrate
horizontal traceability through schedule float and schedule logical relationships [GAO BP #5].
Risk: Maintain a risk register. Complete a schedule risk analysis (SRA), the results of which
form the basis for DOE schedule contingency and contractor schedule margin (SM) calculated
prior to CD-2. 13 Per DOE Order 413.3B, analyze the risk at a confidence level between 70 and
90 percent.
Status: Show status of design accomplishments made during preliminary design in preparation
for CD-2.
Assessments: Complete the assessments in Table 4 to verify the soundness of the schedule post
CD-1. (The table shows GAO best practices in blue.) Find descriptions of each assessment in
Appendix A.
Table 4. Post CD-1 to Pre CD-2 Assessments
Number Name
1. Capturing All activities
1 WBS Dictionary Matches IMS—Baseline
10 Hours in IMS consistent with Cost Tool Hours—Baseline
11 Risk Mitigations Included—Forecast
28 Baseline IMS Includes HDV Material
29 Critical key milestones and deliverables in IMS—Baseline
60 Risk Mitigations Included—Baseline
2. Sequencing All activities
2 Adequate Predecessors and Successors—Baseline
3 Limited SF Relationships—Baseline
4 Limited SS or FF Relationships—Baseline
5 Limited Leads—Baseline
6 Limited Lags Baseline
7 Minimize Merge Points—Baseline
8 Limit Hard Constraints—Baseline
9 Minimize Soft Constraints—Baseline
12 No LOE Discrete Successors—Baseline
13
Schedule contingency described in GAO 16-89G, current version, includes both DOE schedule contingency and
contractor SM.
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Number Name
30 Adequate Predecessors or Successors—Forecast
31 Limited SF Relationships—Forecast
32 Limited SS or FF Relationships—Forecast
33 Limited Leads—Forecast
34 Limited Lags—Forecast
35 Minimize Merge Points—Forecast
36 No LOE Discrete Successors—Forecast
37 Limit Hard Constraints—Forecast
38 Minimize Soft Constraints—Forecast
3. Assigning Resources to All activities
13 Adequate Resource Loading—Baseline
14 No SVTs with Resources—Baseline
16 Reasonable Resource Profile—Baseline
17 No SM Resources—Baseline
39 Reasonable Resource Profile—Forecast
40 No SVTs with Resources—Forecast
41 Adequate Resource Loading—Forecast
42 No SM Resources—Forecast
4. Establishing the Duration of All activities
15 Minimize Duration—Baseline
21 Minimize Work Packages—Baseline
5. Verifying that the Schedule Can Be Traced Horizontally and Vertically
24 Vertical Traceability—Baseline
6. Confirming That the Critical Path is Valid
18 Critical Path Push Assessment—Baseline
19 Critical Path Pull Assessment—Baseline
20 No LOE on Critical Path—Baseline
22 Critical Path Reasonably Defined—Baseline
23 Continuous Critical Path—Baseline
46 Continuous Critical Path—Forecast
47 Critical Path Reasonably Defined—Forecast
14 DOE G 413.3-24
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Number Name
48 Critical Path Push Assessment—Forecast
49 Critical Path Pull Assessment—Forecast
50 No for LOE on Critical Path—Forecast
7. Ensuring Reasonable Total Float
25 Reasonable Total Float—Baseline
51 Reasonable Total Float—Forecast
8. Conducting a Schedule Risk Analysis
26 SM Linkage—Baseline
52 SM Duration Consistent with Risk—Forecast
53 SM Linkage—Forecast
9. Updating the Schedule Using Actual Progress and Logic
54 Physical Complete with No Actual Finish Date—Forecast
55 Statused Out of Sequence—Forecast
56 Actual Start without Physical Percent Complete—Forecast
57 Status Reliability—Forecast
58 Baseline Versus Forecast—Activity Count
59 Forecast Versus Baseline—Activity Count
10. Maintaining a Baseline Schedule
27 Negative Total Float—Baseline
6.3.4
Scheduling Objective: The project matures in this phase, from the alternative selection to a
detailed design. Prepare for an independent cost estimate (ICE) or EIR prior to CD-2 by
significantly maturing the IMS. Submit to the ICE and EIR review teams the forecast IMS in
place of the proposed baseline IMS. The ICE and EIR review teams will assess the realism of
this forecast schedule.
Maturity: Develop an IMP. Include in the IMP events like critical decisions or other key
milestones, deliverables, products, and acceptance criteria, any of which may appear in the PEP.
Structure or reconcile the IMS against the IMP.
• Include in the baseline IMS the entire scope the project will submit for approval prior
to CD-2. Align the baseline IMS to the basis of estimate (BOE) used to generate the
contractor CD-2 cost estimate and the government ICE. Ensure PPs through the start
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of execution or construction have adequate maturity to support a realistic critical path

through CD-4. Just like projects combining CD-2 and CD-3 should a design maturity
near 100 percent, commensurately define execution and construction activities prior
to a CD-2/3 [GAO BP #1]. If available, define subcontractor efforts based on
subcontractor estimates received as part of planning for construction or execution.
• Use rolling wave or block planning, defined as cycles of detail planning, to develop
WPs, PPs, and Summary Level Planning Packages (SLPPs). Support the baseline
with WPs through near-term detail planning periods and by PPs or SLPPs throughout
the remainder of the IMS.
• Include sufficient details in WPs and their associated activities to allow for execution.
Use PPs or SLPPs beyond the near-term rolling wave and block planning spans as
shown in Figure 4. PPs have no duration limit. However, ensure WPs have shorter
durations than PPs, generally less than two months. 14 Keep the scope, schedule, and
budget of both WPs and PPs integrated.
Figure 4. Rolling Wave Planning
14
Neither GAO nor PASEG specify a maximum duration for activities. The related assessment counts activities
with durations in excess of 44 working days.
16 DOE G 413.3-24
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End the schedule with a CD-4 milestone and any closeout and commissioning activities
necessary.
Mechanics: Define relationships for all activities [GAO BP #2]. Load each activity with the
resources required to complete the associated scope [GAO BP #3]. Assign each activity a
realistic duration. Buffer the schedule risk by adding SM. Limit discrete activity durations to
less than two months in the absence of quantifiable backup data (QBD) [GAO BP #4]. Plan
future activities beyond the detail planning period with enough detail to accurately depict the
relationships, resources and durations to generate a realistic critical path through project
completion [GAO BP #6]. Confirm a small percentage of incomplete activities comprise the
critical path. Justify the duration and resources of activities with detailed BOEs. Calculate
schedule float and determine the critical path by conducting a forward and backward pass
through the schedule [GAO BP #7]. Identify subcontracted work and subcontractor schedules in
the IMS to allow for horizontal and vertical traceability [GAO BP #5].
Risk: Maintain the risk register. Complete an SRA through CD-4. An SRA feeds optimistic,
most likely, and pessimistic activity durations into a Monte Carlo simulation to determine the
probability of completion by a specified date. Base the CD-4 date on an SRA calculated without
SM or DOE schedule contingency. After analyzing the probability of achieving CD-4 at a
confidence level between 70 and 90 percent, base the schedule margin and DOE contingency on
the gap between the last activity and the risk adjusted CD-4 date. Baseline the schedule, deemed
achievable through the risk assessment, with SM and DOE schedule contingency included to
generate a CD-4 date [GAO BP #7, 8].
Status: Summarize historical costs as "sunk costs" [GAO BP #10]. Retain the baseline IMS that
supported the CD-2 approval as the baseline IMS. Use a copy of this baseline IMS as the
forecast IMS for recording future status.
Assessment: Complete the assessments in Table 5 to verify the soundness of the schedule prior
to CD-2. (The table shows GAO best practices in blue.) Find descriptions of each assessment in
Appendix A.
Table 5. Pre CD-2 Assessment Principles

Number Name
1. Capturing All Activities
60 Risk Mitigations Included—Baseline
2. Sequencing All Activities
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Number Name
3. Assigning Resources to All Activities
4. Establishing the Duration of All Activities
5. Verifying That the Schedule Can be Traced Horizontally and Vertically
43 Vertical Traceability—Forecast
44 Supplemental Vertical Traceability—Forecast
45 Subcontractor Vertical Traceability—Baseline
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Number Name
6. Confirming That the Critical Path is Valid
50 No LOE on the Critical Path – Forecast
58 Baseline Versus Forecast Activity Count
59 Forecast Versus Baseline Activity Count
6.3.5 Post CD-2, Baseline IMS with the Construction Plan of Execution
Document differences, if any, between schedule tools and algorithms used by subcontractors and
the contractor in a manner consistent with the WBS.
Scheduling Objective: Manage the execution of the project, including long lead procurements,
following the expectation for the baseline and forecast IMSs described in this section.
• Confirm the baseline and forecast schedules contain the entire scope of the project.
The baselined scope, schedule, and budget remain under change control for the
remaining duration of the project.
• As the project approaches the start of construction, update the IMS to reflect the
details of the construction plans including authorized long lead procurements and
executed construction contracts. Use rolling wave techniques for planning. Reflect
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the detailed field execution, or lower level, schedules used for near term planning in
the IMS.
Maturity: Reconcile scope in the IMS with the most recent changes impacting scope. Complete
and reconcile work authorizations. Ensure that both the baseline and forecast schedules fully
comply with GAO 16-89G and PASEG.
• After CD-2, copy the baseline IMS and designate it as the forecast IMS. Progress and
track activities and update plans and schedules reflecting work performed in the
forecast IMS. Follow established configuration management and change control
processes when maintaining the baseline IMS. Fully integrate, and keep consistent,
schedule and cost between the baseline and forecast schedules.
• Continue to use rolling wave or block planning to support the baseline with WPs
through near-term planning periods and by PPs or SLPPs throughout the remainder of
the IMS.
Mechanics: Ensure activities reflect the most detailed level of planning completed. Load each
activity with sufficient resources to complete the work [GAO BP #3]. Limit activity durations to
two months or less [GAO BP #4]. Develop the schedule through CD-4 with enough detail to
accurately depict the relationships, resources, and durations to generate a realistic critical path
through project completion [GAO BP #6]. Confirm the reasonableness of schedule float, all
activities have logical ties, and that the earned value technique (EVT) assigned to each WP or
activity reflects how project intends to accomplish the work [GAO BPs #2, 3, 4, 6,].
• Develop the schedule through a forward pass by identifying the successor to the
current activity then determining those activities' logical successors until reaching
CD-4. Review and validate the schedule through a backward pass by starting at the
end of the schedule and continuing back to the beginning. Confirm all activities
required to complete the project appear in the IMS, each logically linked to
completely defined predecessors. Ensure each activity in the baseline and forecast
schedule, except for start and finish milestones, has at least one predecessor and one
successor. Justify and document exceptions.
• Construct the schedule linking most activities with finish to start (FS) logic. Use FS
logic to connect at least one successor activity to predecessors with a start to start
(SS) or finish to finish (FF) relationship to prevent dangling logic. Avoid using start
to finish (SF) logic [GAO BP #2]. 15 Use lags sparingly. Lags delay the start of an
activity. Document and justify all lags, typically those longer than 22 working days,
in a user-defined field in P6. 16 Do not use leads, also known as negative lags [GAO
BP #2].
• Limit, and justify in P6, the use of hard constraints which override relationship logic
and may make the results of float calculations difficult to understand [GAO BP #2].
15
GAO "discourages" using this relationship. PASEG says to "avoid" its use.
16
Neither GAO nor PASEG specify an acceptable maximum number of days per lag.
20 DOE G 413.3-24
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Avoid using mandatory constraints in P6. Minimize the use of finish no earlier, finish
no later, and start type constraints. Use a finish on or before constraint for CD-4.17.
• Assess the schedule for activities or milestones with a large number (typically 15) of
predecessors except for CD-3, CD-4, or the schedule margin activity [GAO BP #2]. 18
• Estimate resources using historical data [GAO BP #3]. Load labor, material, and
equipment costs to include unit prices and quantities on activities, excluding
milestones and schedule visibility tasks (SVTs). Identify high dollar value (HDV)
material with a code associated with the activity and plan the receipt dates.
• Review availability constraints placed on resources loaded on activities. CAMs

determine and justify the sequence, relationships, duration, and resources estimated
for activities. Confirm that the available budget can sustain resource demand peaks.
Model resource availability with soft constraints such as with a start-on-or-after
constraint in P6. 19
• Include and clearly label all LOE activities in the IMS, do not link them as
predecessors to discrete work nor Contract Budget Base (CBB) completion milestone,
but logically plan LOE without level loading. For discrete work, ensure CAMs
estimate the loading without reserves or margin buffers [GAO BP #4].
• Maintain vertical and horizontal integration. After CD-3, align each activity to its
assigned contractor. For more guidance, see section 7.3.5.3 [GAO BP #5]. Ensure
that incomplete discrete and LOE WPs, PPs, and SLPPs found in the EVMS cost tool
also appear in the baseline schedule and that the budget at completion (BAC) labor
hours by WBS code, start dates, and end dates for incomplete WPs and PPs match.
Use the IMS duration, relationships, and resources to calculate the forward and
backward pass to identify the critical (longest) path with the following characteristics:
continuous, non-constrained until the end, and with minimal lags [GAO BP #6].
• Challenge activities with negative or high total float. Total float is the amount of time
that a schedule activity can be delayed from its early start date without delaying the
project finish date or impacting a schedule constraint. Negative total float implies an
infeasibility in the schedule. An excessive amount of float may challenge the validity of
the schedule. Where total float is considered high the resource profile curve can be
affected possibly skewing resource-leveling scenario analyses. Review such high total
float changes monthly for reasonableness and adequate justification. Conversely,
investigate any negative total float which may indicate a performance issue requiring
workarounds or additional management priority. [GAO BP #7].
17
Neither GAO nor PASEG supports including hard constraints in the schedule.
18
Neither GAO nor PASEG specify an acceptable maximum number of predecessors.
19
PASEG addresses the availability of resources.
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Risk: Maintain the Risk Register. Complete an SRA [GAO BP #8] prior to a long lead
procurement, executing a construction contract, annually calculating a comprehensive estimate at
complete (EAC), and changing the PB. Assess the likelihood of achieving the established CD-4
date based on an SRA calculated without SM or DOE schedule contingency using a confidence
level between 70 and 90 percent. Find more detailed guidance on SRAs in both GAO-16-89G
and PASEG.
Status: Maintain the forecast schedule with actual start and finish dates, percent complete, and
forecasted remaining durations. Ensure supplemental or detailed schedules developed by
contractors remain consistent with the forecast schedule. Status the schedule and recalculate the
critical path at least monthly. Review new activities for logic and completeness. For earned
value, ensure that CAMs status activities consistent with the identified EVTs. Do not calculate
earned value (EV) for discrete work based on the passage of time.
• Review free and total float, which communicate schedule priorities, changes, and
impacts, for significant changes. Use free float to de-conflict resources or activities
as its use does not impact successor activities [GAO BP#9].
• Performing activities out of sequence, or changing logic, may increase total float.
Prior to executing, have the integrated project team review and validate these changes
while verifying that all activities have proper predecessor and successor relationships.
• If problems arise, incorporate workarounds in the forecast schedule as soon as

possible. Ensure the CAMs, with assistance from project controls, update the
schedule in P6. Assign the schedule a unique identification number and archive it
monthly [GAO BP #9].
• Calculate the IMS via the retained logic option in P6 and not the progress override.
Reconcile or correct circular errors monthly [GAO BP #9]. Hold IMS management
reviews monthly. Document significant variations and workarounds. [GAO BP #9]
• Keep the baseline schedule, including original durations, relationships, resources, and
EVTs, under configuration control and use it for earned value calculations. Maintain the
baseline to demonstrate an executable plan and sequence for future activities [GAO BP
#10].
Assessment: Complete the assessments in Table 6 to verify the soundness of the schedule post
CD-2. (The table shows GAO best practices in blue.) Find descriptions of each assessment in
Appendix A.
22 DOE G 413.3-24
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Table 6. Post CD-2 Assessment Principles

Number Name
1. Capturing All Activities
60 Risk Mitigations Included— Baseline
2. Sequencing All Activities
3. Assigning Resources to All Activities
4. Establishing the Duration of All Activities
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Table 6. Post CD-2 Assessment Principles

Number Name
5. Verifying That the Schedule Can Be Traced Horizontally and Vertically
43 Vertical Traceability—Forecast
44 Supplemental Vertical Traceability—Forecast
45 Subcontractor Vertical Traceability—Baseline
6. Confirming That The Critical Path is Valid
50 No LOE on Critical Path—Forecast
58 Baseline Versus Forecast Activity Count
59 Forecast Versus Baseline Activity Count.
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7. PLANNING AND SCHEDULING SPECIAL TOPICS
This section details various unique aspects of scheduling within a DOE environment. While
some of these topics (e.g. Risk Management) are covered in greater depth in other G 413.3 series
guides, topical information relevant to development and use of the IMS is discussed in this
guide.
7.1 INTEGRATION OF RISK MANAGEMENT INTO THE SCHEDULE
Overview: The risk management plan (RMP) 20 identifies actions the project plans to take to
mitigate realized threats and exploit realized opportunities. Although scope may incorporate risk
responses without traceability to single schedule activities, plan significant risk mitigations,
especially those assigned resources, as discrete activities. Use a coding structure common to
both the risk register and IMS for risk mitigation activities.
Risk Management Integration Process: Include in the baseline IMS risk mitigations identified
during development of the project baseline using the same identification number found in the
risk management plan. The P-6 note/text field may be used to document the rationale of chosen
process/logic and historical context as well as noting risk trigger points.
Vet unauthorized risk mitigations through the change control process prior to inclusion within
the baseline IMS. Then add the same risk mitigation activities to the forecast IMS. The freeze
period does not apply to these added activities.
For risk mitigation assigned to LOE activities, ensure that the LOE staffing and resources are
adequate to address the LOE scope inclusive of the risk mitigation. Apply a risk response code
from the risk register to each LOE activity intended to mitigate a risk.
List the IMS activity identification code for each risk mitigation in the risk register. Leave risk
mitigation activities in the risk register and forecast IMS open until completion or cancellation of
the activities has occurred.
7.2 LEVEL OF EFFORT
Overview: Activity-based methods either cannot, or impracticably can measure the performance
of LOE WPs and activities. Include all activities, both discrete and LOE, in the IMS.
7.3 INCLUSION OF LEVEL OF EFFORT IN THE INTEGRATED MASTER

SCHEDULE:
Construction Support Services (CSS) 21 Special Consideration:
• Code CSS activities with the LOE earned value technique in the baseline IMS and
forecast IMS. As technical or design issues arise during execution, add to the forecast
20
DOE G 413.3-7, Risk Management Guide, current version, https://go.usa.gov/xtXpq.
21
Previously referred to as Title III.
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IMS zero budget, non-resourced “ETC Only” activities sequenced using precedence
logic with the impacted discrete construction work. See Figure 7 for an example.
The whole intent of this sub-process is to allow the EVT of LOE and allow it to
impact discrete work. This is unique to CSS. Related activity start and finish dates
will slip, possibly impacting the project critical path, overall timeline, and ETC cost.
• Arrange CSS and other similar LOE activity (Figure 5, long dark blue bar) in the
forecast IMS to finish on the forecasted finish date of the last discrete construction
activity. Through baseline change control, re-time remaining budget in a linear
fashion. Update the construction support LOE EAC. If slips occur, the EVT for CSS
is changed to percent complete to allow it to finish when both the discrete work
finishes and the risk of design changes is eliminated. Claim full earned value or
budgeted cost of work performed (BCWP) for the LOE activity only following
completion of the last discrete activity. Figure 5 depicts the process.
Figure 5. Construction Support Services LOE Model
Address in the EVM system description project support services, including the threshold for
adding “ETC Only” activities (aka, zero budget activities) to the forecast schedule. 22
Planning LOE In the IMS
22
Additional guidance is contained in the DOE-PM (PM-30) Position Paper "Construction Support (e.g. Title III) as
LOE," 9/14/2018, https://go.usa.gov/xfwn4.
26 DOE G 413.3-24
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LOE is planned in the IMS so that it does not impact discrete work. Figure 6 shows the
recommended linkages in the IMS for planning level of effort.
Figure 6. Planning LOE in the IMS
7.4 SCHEDULE DOCUMENTATION AND CODING
Prepare schedule documentation useful to new schedulers, reviewers, and auditors encompassing
the following:
Data Dictionary
Describe the code fields, and options for each code field, utilized in the schedule in a data
dictionary. Figure 7 identifies recommended codes:
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General Use Codes

Control Account Manager Integrated Master Plan ID
Planning Package / Work Package ID Schedule Visibility Task ID
Control Account ID Earned Value Technique
Organization Breakdown Structure ID Quantifiable Backup Data Location
Work Breakdown Stucture ID Subcontractor ID
Contract Line Item Number (CLIN) Critical / Driving Path ID
Major / Toll Gate Milestone ID Baseline Change Proposal / Request
Inter-project Logic Key Performance Parameters
GFI / GFS ID Zero Budget Activity ID
ETC Only ID
Schedule Risk Analysis
Duration Confidence SRA Maximum Duration
SRA Minimum Duration Risk Mitigation ID
SRA Most Likely Duration Schedule Margin ID
Other Recommended Codes / Dictionary Elements
High Dollar Value / Critical Material ID High Float Justification
Lag Justification Negative Float Justification
Constraint Justification
Figure 7. IMS Codes
Associate additional information pertinent to activities using custom code fields in the native
schedule application as well as during automated reviews to more easily group, sort, and filter
the schedule. Avoid including this information in activity descriptions or note fields.
7.5 SCHEDULE CONFIGURATION OPTIONS
Address in the schedule documentation what configuration options, known in P6 as

administrative preferences, to select to facilitate consistent statusing or importing schedule
information. Particularly sensitive preferences include:
1. Duration units and format;
2. Resource usage profiles based on all projects or only on opened projects; and,
3. Resource assignment options.
Other options may impact total float calculations, the definition of critical activities and float
paths, and out-of-sequence activities. See Figure 8 for example P6 schedule options.
28 DOE G 413.3-24
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Figure 8. Primavera P6 Schedule Options

7.6 DESKTOP PROCEDURES
Include desktop procedures that address:
1. Schedule activities reoccurrence;
2. Schedule hierarchy;
3. Schedule archiving and data retention;
4. Baseline change and configuration control;
5. Schedule health assessments;
6. Schedule anomaly review and justification; and,
7. Integration of the schedule with cost estimating and other EVM tools.
7.7 SCHEDULE MARGIN AND DOE SCHEDULE CONTINGENCY IN AN IMS
7.7.1 Overview
Schedule margin (SM) and DOE schedule contingency buffer the schedule against unforeseen
events that could cause a delay. Use SM to mitigate realized risks impacting scope assigned to
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the contractor. In contrast, use DOE schedule contingency to mitigate realized risks impacting
scope retained by DOE but still threaten the timely completion of the project. Initially establish
SM and DOE schedule contingency in conjunction with CD-2 but updates may occur in
conjunction with changes.
7.7.2 Establishing SM and DOE Schedule Contingency
Set the SM commensurate with the schedule risk calculated at a probability level typically
between 70 and 90 percent. The SRA accounts for risk events assigned to the contractor and
contractor activity duration uncertainty. Activity duration uncertainty is determined either
through a three-point duration estimate or by confidence level (high, medium, or low).
Similar to SM, set the DOE schedule contingency commensurate with the schedule risk
calculated at a probability level typically between 70 and 90 percent. This SRA accounts for risk
events assigned to DOE and DOE activity duration uncertainty. The IMS may depict these
activities as SVTs. While various techniques can be used in the SRA (including parametric and
deterministic), the best practice is the Monte Carlo approach.
7.7.3 Representation of SM in the IMS
Incorporate SM in the IMS as a SVT activity as defined in the EVM system description. Do not
load resources on a SM activity nor assign it to a CA, WP, or PP. Include “Schedule Margin” in
each related activity name and assign a specific code field to support filtering during schedule
analysis.
Arrange SM activities in the IMS prior to CD-4 as follows:
1. Establish a milestone for completing all PMB scope (e.g.,“CD-4 PMB Internal Target
Completion”) after the last activity that accomplishes PMB scope.
2. Place a SM activity immediately after the PMB scope completion milestone. Use a
finish-to-start (FS) relationship between the milestone and the SM.
3. Link the SM with a FS relationship to the internal contractor completion CD-4

milestone.
7.7.4 Representation of DOE Schedule Contingency in the IMS
Include DOE schedule contingency in the IMS as directed by the FPD. When included, model it
using an SVT activity defined in accordance with the contractor EVM system description. Do
not load resources on a DOE schedule contingency activity nor assign it to a CA, WP, or PP.
Include “DOE Schedule Contingency” in each related activity name and assign a specific code
field to support filtering during schedule analysis.
Insert in each project phase a single DOE schedule contingency activity in the IMS between the
contractor and DOE CD milestones. Arrange DOE schedule contingency activities in the IMS
prior to CD-4 as follows:
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1. Place DOE schedule contingency immediately after the CD-4 milestone

corresponding to the contractor’s internal CD-4 completion milestone. Use a FS
relationship between the milestone and the DOE schedule contingency activity.
2. Link DOE schedule contingency to the federal CD-4 milestone, labeled “CD-4 (TPC)
Congressional Commitment,” with a FS relationship.
3. Apply a finish-on-or-before constraint to the CD-4 Total Project Costs (TPC)

milestone.
7.7.5 Drawdown of SM
Ensure the duration of each SM activity in the baseline IMS equals its counterpart in the forecast
IMS at the start of a project or project phase. However, as the project or project phase
progresses, the contractor may change the SM based on status or subsequent SRA for the
remaining scope due to revised activity duration uncertainty or estimated impacts of residual
risks. When less than 10 percent of the SM in the baseline IMS remains, review the adequacy of
the SRA that generated the SM.
1. Forecast IMS: Only the contractor may reduce a SM activity's duration. Document
forecast schedule SM consumption in the Format 5 contractor performance report
(CPR) or integrated program management report (IPMR). Consumption mitigates
negative total float caused by a hard-constrained CD-4 milestone. Compare the
percent SM consumed to the percent complete of the project. Actual risks to the
project may exceed those anticipated if the ratio exceeds one. Retain a totally
consumed SM activity in the schedule with a duration of zero. While the baseline SM
remains under change control, the forecast SM does not.
2. Baseline IMS: If a change to the baseline requires reducing the SM activity, the
contractor approves the allocation of schedule margin to mitigate a realized risk
before incorporating a change in the baseline IMS, then document the reason for the
consumption of SM in the change control document. Track SM drawdown in both
the forecast and baseline IMS in a log.
7.7.6 Drawdown of DOE Schedule Contingency
Ensure at the start of a project or project phase the duration of DOE Schedule Contingency in the
baseline IMS equals its counterpart in the forecast IMS (as shown in figure 9). However, as the
project or project phase progresses, the FPD may change the DOE schedule contingency based
on a new SRA for remaining scope based on revised activity duration uncertainty or estimated
impacts of residual risks.
1. Forecast IMS: Only the FPD may direct the consumption of DOE schedule
contingency in the forecast schedule to mitigate realized risks. While the DOE
schedule contingency baseline remains under change control, the forecast DOE
Schedule Contingency does not. Thus, the contractor may have to move the CD-4
forecast date as shown in figure 10.
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2. Baseline IMS: If a change to the baseline requires reducing the DOE Schedule
Contingency, the FPD approves the allocation of contingency before incorporating a
change in the baseline IMS, then document the reason for the consumption of DOE
schedule contingency in the change control document. The consumption of DOE
schedule contingency may also warrant a contract change to revise the contract CD-4
milestone. Track DOE schedule contingency drawdown in both the forecast and
baseline IMS in a log.
Figure 9. Planning schedule margin, Contractor completion, DOE Contingency
Figure 10. Slips impact on schedule margin and CD 4

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7.8 SUBCONTRACTOR INTEGRATION AND MANAGEMENT IN THE IMS
7.8.1 Overview
Integrate all contractor schedules for full visibility into a project’s scope, schedule, and budget.
Use subcontractor schedules as indicators of the progress of corresponding IMS activities. Section
7.8.7 addresses associate contractors, entities supporting DOE on a project but not as
subcontractors to the prime contractor.
7.8.2 Types of Subcontractors
1. Integrate time and material subcontracts, mainly used for project support services, into
the IMS as LOE activities.
2. Integrate schedules, including resource and cost loading, for FP subcontracts, usually
under $100 million, and cost reimbursement subcontracts with an EVMS clause, usually
over $100 million, at the award.
7.8.3 Vertical Integration
Maintain vertical integration to allow for accurate correlation between the subcontractor schedule
and the IMS schedule. Ensure contractors share a WBS and WBS dictionary so that statusing of
IMS activities may rely on subcontractor schedules. Vertically integrate subcontractor schedules
and the IMS by:
1. Including the entire subcontractor schedule in the IMS;
2. Sharing a common execution logic and critical path;
3. Aligning baseline and forecast dates for the same scope;
4. Matching within a few days data dates; and,
5. Confirming consistent status and progress.
7.8.4 Subcontractor Schedule Integration Methods (FP and Cost Reimbursement with
EVMS clause Subcontracts)
Select one of the following three subcontractor integration methods. Methods of integrating
subcontractor schedules vary with the complexity and risk of the subcontracted scope,
subcontractor period of performance, and type of subcontractor.
1. Full Schedule Method: After inputting the subcontractor schedule into the IMS,
establish relationships between the subcontractor activities and the contractor activities.
Progress subcontractor activities in the IMS using the same earned percent complete and
remaining durations found in the subcontractor schedule. Monitor routine minor
logistical-type changes related to the availability of crews or work areas. Make related
contractor-approved changes in the forecast IMS to facilitate correlations with the
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subcontractor forecast schedule and estimate to complete. This method is most suitable
for complex and high-risk scope. Use the same activity identifiers in both the IMS and
subcontractor schedule.
2. Representative Method: Input summary activities from the subcontractor schedule into
the IMS (many-to-one correlation of activities). Vertically integrate the subcontractor
schedule and IMS early in the planning by assigning a common activity code shared
between the subcontractor schedule and the IMS. Include in the summarized activities
in the IMS:
a. Entrance and exit criteria with finish-start relationships;
b. Details to support a critical path analysis;
c. A prevailing craft type performing the work;
d. Short durations;
e. Objective progress reporting indicators; and,
f. Sufficient definition in the activities as if the contractor planned to self-perform the

work.
This method, most suitable for less complex and low to medium risk scope, masks
routine minor changes in the IMS.
3. Interface Milestones Method: Material or equipment procurement vendors and suppliers

establish in the IMS with soft constraints procurement interface, or handoff, milestones
that earn budget on delivery. Load one-day procurement activities with lump sum costs
in the IMS. This budget represents the progress billing schedule of values in the
subcontractor schedule for interim progress payment on material or equipment
procurement. Use a performance-based subcontractor schedule of values to evaluate
progress. This method, although easier to implement and maintain, provides less insight
into the subcontractor’s schedule performance.
Manually update each interface milestone soft constraint date to reflect the latest
forecasted dates from the subcontractor schedule. Instead of assigning a soft constraint,
insert zero budget activities (ZBA) in between the procurement milestones. Implement
this method with less complex or lower risk subcontractor scope. Code each significant
HDV or equipment purchase order as a PP until contract award. Upon award, convert
the PP to a WP. Revise each activity plan and delivery schedule to meet the needs of
the project, taking into account the vendor’s delivery schedule or agreed upon delivery
34 DOE G 413.3-24
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dates in the contract. A DOE position paper contains limitations and restrictions on the
use of the interface milestone 23method.
7.8.5 Utilizing Subcontractor Schedule of Values for Status and Performance
Collect from subcontractors on projects with a total project cost greater than $100 million
resource-loaded schedules that will serve as a schedule of values at the activity level to
substantiate progress billing. Have the subcontractor submit a baseline schedule with a
resource-loaded schedule of values that the contractor approves before the subcontractor's work
commences.
Upon commencing work, the subcontractor statuses the schedule activities and requests progress
payments according to the earned physical percent complete of each activity. Typically, the
contractor records in the IMS actual dates, physical percent complete, remaining duration, and
forecast dates associated with subcontractor progress. Thus, the subcontractor schedule status
provides the QBD for the IMS. The status and performance percent complete transposition vary
based on the subcontractor schedule integration method selected.
1. For the full schedule method, input the actual start, actual finish, remaining duration,
and physical percent complete of each activity from the subcontractor schedule
against the corresponding activity in the IMS.
2. For the representative method, input summarized actual start, actual finish, remaining
duration, and weighted physical percent complete progress data from the
subcontractor schedule against the corresponding activity in the IMS.
7.8.6 IMS Level of Detail for Subcontractor Scope
The following criteria indicate an adequate level of detail for subcontractor activities in an IMS:
1. Activities model the complete scope;
2. Activities facilitate monitoring the execution of the plan from day-to-day or

week-to-week, depending on the period of performance;
3. Activities have finish-start relationships to other activities;
4. Activities connect with valid logic to facilitate critical path analysis;
5. Activities have a single performing entity; and,
6. Activities have relatively short durations, preferably one to two months long.
23
Application of the Schedule of Values (SOV) Method with Zero Budget Activities, 10/25/2018,
https://go.usa.gov/xfwmu.
DOE G 413.3-24 35
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7.8.7 Associated Contractor Schedules
Associated contractors provide DOE with project support but not as subcontractors to a prime
contractor. Develop an interface document that outlines the responsibilities of each associated
contractor that addresses:
1. Sharing information and schedules at least once monthly;
2. Incorporating associated contractor milestones into the IMS;
3. Using SVTs or equivalent notations; and,
4. Resolving potential or realized scheduling conflicts.
7.9 INCORPORATION AND TREATMENT OF WORKAROUNDS IN THE IMS
7.9.1 Overview
Workarounds circumvent or recover from, but do not eliminate, problems. Initially incorporate
workaround activities as emerging, urgent, or recovery work in the forecast IMS as “ETC Only”
activities but then incorporate these activities in the baseline IMS through change control in the
following month. Designate “ETC Only” activities by including “ETC” in their titles and
assigning their activity code value “ETC Only.” Link associated workaround activities in the
forecast IMS by assigning them the same WP and control account (CA) that the work supports.
Some workarounds re-sequence or redefine the relationships between activities. Ensure revised
critical, near‐critical, and driving paths that incorporate workarounds remain accurate.
7.9.2 Workaround Plan Validity and Documentation
Do not add workaround activities to the forecast IMS to compensate for insufficient detail in the
baseline IMS. Before implementing workaround plans, examine their timing for realism, the
availability of their needed resources, and their downstream impacts to activities, scope, and
expected performance of the delivered asset(s). Collect input from CAMs. Compare revised
logic to the original baseline logic to verify the validity of changes. CAMs document their
analyses of changes in the forecast IMS for realism in a schedule narrative 24 recorded in CAM
notebooks even though logic changes in the forecast IMS do not follow formal change control.
7.9.3 Threshold of Forecast-Only (ETC Only) Activities
Workaround activities fall into two categories defined in the EVM system description: near-term
and pre-baseline.
24
While both GAO and PASEG expect a periodic schedule narrative, this guide limits the schedule narrative to
workarounds.
36 DOE G 413.3-24
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1. Near-term workarounds:
a. Occur during the freeze period, the current month plus subsequent month and
have short durations;
b. Do not go into the baseline; and,
c. May not have resources when performed by a fixed-price or indirect support

contractor.
2. Longer term workarounds:
a. Occur during and after the freeze period;
b. Typically span many months;
c. Belong in the baseline IMS through change control; and,
d. Belong in the forecast IMS.
Recommended Process for Integrating Workarounds
1. Define in the EVM system description a process for treating and incorporating
workaround activities in the forecast IMS.
2. Re-sequence work, which may result in logic changes, or add workaround activities
with resources and ETC costs, or both.
3. Establish logical relationships between the workaround activities and other activities
or milestones in the IMS.
4. Have CAMs verify the realism of the workaround plan, the associated logic, and the
workaround’s impact on downstream activities, WPs, PPs, major project milestones,
critical path, near-critical path, and driving paths, including the availability of needed
resources and the preservation of scope.
5. Validate the changes by comparing the new logic to the baselined logic.
6. Document the workaround plan and changes in the form of an annotated fragmentary
network diagram (“fragnet”) or a schedule narrative written by a CAM identifying the
changes and impacts, ideally drawn from the output of schedule analytics tools.
7. Load resources on workaround activities to estimate activity duration and cost

generated by a cost-reimbursable contractor.
8. Following CAM approval, insert workaround activities in the WP that the

workaround supports in the forecast IMS during the current reporting period or
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thereafter to ensure the forecast schedule reflects current forecast dates and to
calculate the critical path, near critical paths, and driving paths.
9. Distinguish workaround activities from original PMB IMS activities by following the
coding convention described above.
10. Where Management Reserve (MR) will cover workaround costs, incorporate the
workaround plan into the subsequent month baseline IMS through change control.
11. Follow the contractor’s change control activity coding rules in the baseline and
forecast IMS.
12. Revise coding for the workaround activities in the forecast IMS schedule to reflect
their incorporation into the baseline execution plan.
13. Revise activity titles to remove workaround and “ETC Only” references.
14. Link workaround activities in the IMS to the CA and WP supported by the
workaround.
7.10 BASELINE SCHEDULE UPDATES
7.10.1 When to Update the Baseline Schedule
As the project progresses it may become necessary to update the baseline plan with approved
changes. Exercise care to maintain schedule integrity by updating only effort outside of the
freeze period. Typically, baseline schedule changes fall into two different categories—internal
and external—and follow proper change control in accordance with the process identified in the
contractor EVM system description or project specific procedures. To ensure that the baseline
longest path is realistic, update the baseline schedule status monthly or anytime a baseline
change is made such as:
1. Internal:
a. Make or buy decision;
b. Resource type or category assignment;
c. Logic change;
d. Execution strategy;
e. Scope or nature of work; or,
f. Contract control milestone.

38 DOE G 413.3-24
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2. External:
a. Funding;
b. Contract control milestone; or,
c. Federal requirement.
Reprogram when the project can no longer execute the baseline IMS or when the baseline IMS
no longer provides meaningful measurement. This requires the contractor and DOE to review
the go-forward schedule activities for realism. Re-plan the baseline to produce an IMS that
identifies all remaining efforts and major milestones and then adjust the baseline dates,
resources, and logic in accordance with an approved plan to achieve an executable IMS baseline.
7.10.2 Update Implementation
Do not mask historical performance or improve performance metrics when updating the baseline
IMS. Include all changes made to the baseline IMS in the forecast IMS. Follow the approved
change control process when changing the baseline and forecast IMSs to ensure that they contain
accurate project performance information.
Incorporate the following steps in the change control process when not already included:
1. Include in documentation supporting the change:
a. New or revised schedule activities required for each affected CA and WP, or the
creation of new CA and WP as necessary;
b. Labor hours, durations, logic relationships, resource codes, and elements of cost
(EOCs) for each activity;
c. Relevant activity coding;
d. Material quantities or vendor quotes;
e. Risk mitigation strategy, risk events, and mitigation actions in the project risk
register related to the change;
f. Changes to the schedule and cost following the change; and,
g. Additional information justifying or clarifying the change.
2. Document appropriate baseline change number and record in the baseline change log.
3. Make copies of the baseline and forecast IMSs to implement directed changes.
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4. Reschedule the baseline and forecast IMSs. The baseline is statused to the original
project date, or last time actuals were incorporated (a total project replan with
actuals). The forecast IMS is statused to the current month end.
5. Conduct a Schedule Risk Assessment against the forecast IMS. Verify the
percentage of success and adjust as necessary. An SRA is recommended whenever a
significant change has been implemented within the accounting month. See the GAO
schedule guide for the expectation and the NDIA PASEG for the instructions of how
to conduct an SRA. Update the baseline SRA at strategic points especially to set or
validate the schedule reserve and DOE Contingency.
6. Check for downstream impacts to logic, total float, milestones, and project end date.
7. Document noted impacts, mitigate them if possible, and if not possible, notify
management and DOE of the anticipated impacts.
8. Gain DOE approval of changes that affect the PB or contract prior to implementation.
If DOE approves the proposed action, implement the action as approved. If DOE rejects the
proposed action document, review the reason for rejection, and if addressable, revise and
resubmit for approval. If not addressable, administratively closeout the change action.
7.11 SCHEDULE VISIBILITY TASKS AND ZERO BUDGET ACTIVITIES
7.11.1 Overview
An IMS may include several non-resource loaded activity types. They include SVT, ZBA, and
“ETC only”. This section addresses SVTs and ZBAs. Sections 7.2, LOE, and 7.9, workarounds,
address ETC only activities. Table 7 summarizes the characteristics of Non-Budgeted activities.
Table 7. Types of Non-Budgeted duration activities
Name Schedules Use

Schedule Visibility Baseline and Activities or milestones not a part of the scope of the project
Tasks (SVT) Forecast but may potentially impact project activities. Represent
(GAO, PASEG, schedule margin as an SVT. Assign each a unique activity
and DOE) code value.
Zero Budget Baseline and Budgeted subcontractor activities included in the PMB
Activities (ZBA) Forecast connected to payment milestones Limited to activities that
(PASEG and support a schedule of values. Assign each a unique activity
DOE) code value of “PM” and include “Payment Milestone” in their
activity descriptions.
ETC Only Forecast Only (1) Activities reflecting changes in LOE duration when projects
Activities may not change LOE activities in the baseline. Used to show
(DOE) the duration of LOE even when LOE BCWP equals BAC.
40 DOE G 413.3-24
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Name Schedules Use

(2) Workarounds, emerging work, urgent work, rework,
recovery work, and resequencing of effort. Projects may
resource load these activities.
(3) Support such as re-time phased CSS support
SVTs account for time in a schedule without using a lag, for example cure time for concrete or
client reviews. Assign resources to discrete and LOE activities but not SVTs. Since others
complete the work, do not include resources or costs on their behalf.
7.11.2 Application of SVTs and ZBAs
Omit SVTs from the WBS, WBS dictionary, and period of performance calculations involving
WPs, PPs, and SLPPs. Do not treat SVTs as LOE. Include “SVT” at the beginning of each SVT
activity name. Document usage of SVTs in a schedule basis or equivalent file. Since some
schedule health metrics only test for SVTs while some exclude SVTs, identifying SVTs within
the activity name, and through activity codes, improves schedule analysis. Either use an existing
activity code that defines the type of the activity and set the code value to "SVT" or add a new
activity code called "Schedule Visibility Task" to the schedule and set the code value to "Yes"
Like SVTs, ZBAs have zero budget and provide visibility. ZBAs represent subcontractor
activity supporting a schedule of values that informs BCWP calculations.
7.12 ADVERSE WEATHER PLANNING
7.12.1 Overview
This section addresses modeling, and displaying impacts, of adverse weather in the IMS.
Contract general conditions may direct the contractor to plan for adverse weather. To plan for
adverse weather, use weather calendars to avoid adjusting durations based on the time of year.
Contracts that require weather planning often include the historical data by month that the
contractor should anticipate. When weather days exceed that amount, the contractor may be
entitled to time extensions to their contracts. When the actual adverse weather days are less than
planned, any float gained will be in accordance with the contract terms and conditions or
industry standards.
7.12.2 Adverse Weather Planning Approach
The contractor may use historical monthly National Oceanic and Atmospheric Administration
(NOAA) data if the contract does not specify a data source.
It is recommended that historical adverse weather data presented in calendar days be converted
into workdays. For example, if NOAA predicts four adverse calendar days in the month of April
and the project has a five-day work week, multiply the number of adverse days (4) by the ratio of
work week days (5) to the number of days in a week (7) to arrive at three workdays, after
DOE G 413.3-24 41
4-8-2022
rounding to the nearest whole number of days. For the first and last months of the contract,
further prorate the adjusted days based on the number of actual or planned workdays there will
be work. For example, if the contract begins on April 15th, halve and then round the adjusted
adverse days to obtain one workday.
Also, a special calendar may be considered for adverse weather activities with the last workdays
of each week labeled as "nonwork." In the example in Figure 11, April has four calendar days
predicted as adverse, prorated to 3 workdays due to the project's five day work week. Determine
the activities in the schedule that adverse weather would impact. Apply the Adverse Weather
calendar to the selected activities.
Figure 11. Adverse Weather Calendar

7.12.3 Planning for Known Weather Impacts
Address in initial and updated baseline and forecast plans known weather impacts to planning.
For example, due to local freezing conditions, a contractor may avoid scheduling any pouring
concrete outside from December through February. Show this time of inactivity in a separate
activity calendar that applies to known weather limitations.
42 DOE G 413.3-24
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7.13 FORCE MAJEURE EVENTS
The 2020 COVID -19 crisis has provided a unique environment for planning. It represents
impacts that:
1. Are immediate
2. Are of an unknown duration
3. Involve site closures
Incorporate events with indeterminate durations that cause immediate deleterious impacts to
projects, such as an unforeseeable site closure, known as force majeure, in the IMS:
1. Use formal change control processes for all baseline changes.
2. Add a new activity to the baseline IMS and forecast IMS with the title of the force
majeure event. Link it as the predecessor to all impacted work.
3. Give the force majeure activity a duration equal to the most realistic expected delay
of the impact.
4. Allow negative total float in the baseline IMS and forecast IMS until the force
majeure event ends to better track the impacts to both the schedule and cost of the
impact to be known.
5. At the conclusion of the force majeure event, revise both the baseline IMS and
forecast IMS to reflect the event's actual duration in both the baseline and forecast
IMS.
6. After DOE authorizes use of schedule contingency, revise the forecast CD-4 date to
eliminate the negative total float.
7.14 CONTRACT VERSUS PROJECT
The PB for a project includes the project scope and applicable Key Performance Parameters
(KPPs), CD-4 project completion date, and TPC, and represents DOE's commitment to
Congress. However, the relationship is not always one prime contract per project. The DOE O
413.3B expectation is that each project with its own PB has an individual IMS for management
and reporting. For example, three prime contracts may have responsibility for one project,
whether through joint execution or hand off from one prime contractor to another based on a
separable design/construct strategy or a contract recompete scenario. In such a situation, these
individual contractor schedules are integrated (typically by a designated prime contractor) into a
singular IMS for management and reporting at the project PB level. In other cases, one prime
contract may encompass three projects, each with a unique project PB, and thus three individual
project IMSs for management and reporting. In the case where a large project is tailored with
smaller phased projects or subprojects each with its own unique PB23, there should be individual
DOE G 413.3-24 43
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and unique IMSs for each phased or subproject, with appropriate linkages between each and to
form the holistic large project schedule.
7.15 GOVERNMENT SCHEDULES
The Government may have a separate IMS for the project including the other direct cost (ODC)
and system testing. Alternately they may ask the contractor to plan their activities in the
contractor IMS. If requested, the government activities would be SVTs in the contractor IMS.
As noted in 7.11.1, these SVT activities are used instead of a lag to account for duration of work
outside the contractor’s control.
44 DOE G 413.3-24
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8. ACRONYMS AND ABBREVIATIONS
BAC Budget at Complete
BCWP Budgeted Cost of Work Performed
BCWS Budgeted Cost of Work Scheduled
BOE Basis of Estimate
BP Best Practice
CA Control Account
CAM Control Account Manager
CBB Contract Budget Base
CD Critical Decision
CSS Construction Support Services (e.g., Title III)
DID Data Item Description
DOE Department of Energy
EAC Estimate at Complete
ETC Estimate to Complete
EIR External Independent Review
EOC Element of Cost
EV Earned Value
EVM Earned Value Management
EVMS Earned Value Management System
EVT Earned Value Technique
FF Finish to Finish
FP Fixed Price
FPD Federal Project Director

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FS Finish to Start
GAO Government Accountability Office
HDV High Dollar Value
ICE Independent Cost Estimate
ID Identification
IMP Integrated Master Plan
IMS Integrated Master Schedule
IPMD Integrated Program Management Division
IPMR Integrated Program Management Report
LOE Level of Effort
MR Management Reserve
NDIA National Defense Industrial Association
OBS Organizational Breakdown Structure
ODC Other Direct Cost
PASEG Planning and Scheduling Excellence Guide
PEP Project Execution Plan
PM Program Management
PMB Performance Measurement Baseline
PP Planning Package
QBD Quantifiable Backup Data
RMP Risk Management Plan
SF Start to Finish
SLPP Summary Level Planning Package
SM Schedule Margin
46 DOE G 413.3-24
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SRA Schedule Risk Analysis
SS Start to Start
SVT Schedule Visibility Task
TPC Total Project Costs
WBS Work Breakdown Structure
WP Work Package
ZBA Zero Budget Activity

DOE G 413.3-24 47
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9. SOURCES CITED
1. DOE O 130.1, Budget Planning, Formulation, Execution and Departmental Performance

Management, current version, https://go.usa.gov/xzeaX.
2. DOE P 410.3, Program Management, current version, https://go.usa.gov/xzeaV.
3. DOE O 413.3, Program and Project Management for the Acquisition of Capital Assets,
current version, https://go.usa.gov/xzeaA.
4. DOE G 413.3-7, Risk Management Guide, current version, https://go.usa.gov/xzeCx.
5. DOE G 413.3-10, Integrated Project Management Using the Earned Value Management
System (EVMS), current version, https://go.usa.gov/xzeCK.
6. DOE G 413.3-21, Cost Estimating Guide, current version, https://go.usa.gov/xzeCQ.
7. DOE Data Item Description Integrated Program Management Report (IPMR), current
version, https://www.energy.gov/projectmanagement/downloads/integrated-program-
management-report-ipmr-data-item-description-did-0.
8. GAO-20-195G, GAO Cost Estimating and Assessment Guide: Best Practices for
Developing and Managing Capital Program Costs, current version,
https://go.usa.gov/xt8E6.
9. GAO-16-89G, GAO Schedule Assessment Guide: Best Practices for Project Schedules,
current version, https://go.usa.gov/xt8Ew.
10. Planning and Scheduling Excellence Guide (PASEG), NDIA Integrated Program
Management Division, current version, https://www.ndia.org/divisions/ipmd/division-
guides-and-resources.
11. AcqNotes, Defense Acquisition Made Easy,

https://acqnotes.com/acqnote/careerfields/integrated-master-plan.
12. DOE Project Management Terms & Acronyms, https://go.usa.gov/xtA44 or

https://go.usa.gov/xzKmM.
DOE G 413.3-24 Appendix A
4-8-2022 A-1
APPENDIX A—SCHEDULE ASSESSMENT PRINCIPLES

This section describes the schedule assessments listed earlier. Each entry identifies the assessment, its intent, and the mechanics of
measurement. Ideally, each assessment will equal, or approximate, zero.
No. Name Description Post CD-1 Pre CD-2 Post CD-2

1 WBS Dictionary This assessment counts incomplete CA/SLPPs/PP/WP X X X
Matches IMS— where an IMS WBS code does not match the WBS
Baseline dictionary code to confirm the IMS addresses all scope in
the WBS.
2 Adequate This assessment counts incomplete activities and milestones X X X
Predecessors and without predecessors or successors in the baseline IMS to
Successors— identify missing relationships that could impact the critical
Baseline path.
3 Limited SF This assessment counts incomplete activities and milestones X X X
Relationships— in the baseline IMS with SF relationships to identify
Baseline illogically planned work planned.
4 Limited SS or This assessment compares the number of SS or FF X X X
FF relationships on incomplete activities and milestones,
Relationships— excluding LOE, in the baseline IMS to the total number of
Baseline relationships linking activities and milestones, since
overreliance on SS and FF relationships creates logic loops
that could impact the longest path. A typical threshold is
15%.
5 Limited Leads— This assessment compares the number of incomplete X X X
Baseline activities and milestones with leads in the baseline IMS to
the total number of incomplete activities and milestones
since leads indicate a possible illogical sequencing of
activities. A typical threshold is 1%.
Appendix A DOE G 413.3-24
A-2 4-8-2022

6 Limited Lags This assessment counts lags on incomplete activities and X X X
Baseline milestones without justifications in the baseline IMS since
long lags may make performance measurement inaccurate.
A typical threshold is lags greater than 22 working days.
7 Minimize Merge This assessment compares the number of incomplete X X X
Points— discrete activities in the baseline IMS with typically more
Baseline than 15 predecessor activities to the total number of
incomplete discrete activities, since activities with many
predecessors pose a threat to timely project completion. A
typical threshold is 5%.
8 Limit Hard This assessment counts incomplete activities and milestones X X X
Constraints— with hard constraints in the baseline IMS without
Baseline justification since hard constraints limit the ability of the
schedule to show impacts accurately.
9 Minimize Soft This assessment compares incomplete activities and X X X
Constraints— milestones in the baseline IMS with soft constraints that
Baseline prevent the early start of an activity, excluding LOE to the
total number incomplete activities and milestones since
excessive soft constraints, typically in excess of 15 percent,
do not allow the schedule to accurately represent slips.
10 Hours in IMS This assessment counts instances where, by WBS code, the X X X
consistent with BAC labor hours for incomplete WPs and PPs in the EVMS
Cost Tool cost tool do not match those in the baseline IMS to confirm
Hours— consistency between the cost tool and baseline IMS labor.
Baseline A typical threshold is 5%.
11 Risk Mitigations This assessment counts risks with high or moderate costs or If Applicable X X
Included— schedule durations to mitigate if realized found in the risk
Forecast management plan but not identified in the forecast IMS
4-8-2022 A-3

using the same risk code to confirm the IMS includes risk
mitigation activities.
12 No LOE This assessment counts incomplete LOE activities X X X
Discrete connected to one or more discrete successors through a FS
Successors— relationship in the baseline IMS to confirm LOE does not
Baseline drive the critical path.
13 Adequate This assessment counts incomplete baseline IMS activities X X X
Resource without any resources but not identified as SVTs or SM
Loading— since all such activities should have assigned resources
Baseline based on estimated availabilities.
14 No SVTs with This assessment counts in the baseline IMS incomplete X X X
Resources— SVTs assigned resources to confirm the PMB does not
Baseline include SVTs assigned resources.
15 Minimize This assessment compares the number of incomplete WP X X X
Duration — activities in the baseline IMS with durations typically
Baseline greater than 44 working days to the total number of
incomplete WP activities to confirm the relative brevity of
WP activities. A typical threshold is 10%.
16 Reasonable This assessment qualitatively examines the reasonableness X X X
Resource of resources assigned, including their requirements,
Profile— availability, and hours, to activities in the baseline IMS as
Baseline compared to the activities' durations.
17 No SM This assessment counts schedule margin activities in the X X X
Resources— baseline IMS assigned resources since SM activities should
Baseline not consume resources.
18 Critical Path This assessment tests the baseline IMS critical path's X X X
Push reaction to changes in activity durations. The suggested
steps to conduct this assessment are:
A-4 4-8-2022

Assessment— • Constrain CD-4 or the end of the project with a "finish on
Baseline or after" constraint.
• Choose a discrete activity scheduled to start within six
months, not on the longest path, that has between 10 and
100 days of float.
• Add 500 days to the selected activity's duration.
• Reschedule the project and verify:
• The reduction of float by 500 days.
• The advancement of the end milestone by 500 days less
the previous total float.
• The critical path has changed along with successor
activities to the selected activity.
• No LOE activities became critical or appear on the
longest path.
• Choose another activity in a different WBS and repeat the
assessment.
19 Critical Path This assessment tests the baseline IMS critical path's X X X
Pull reaction to changes in activity durations. The suggested
Assessment— steps to conduct this assessment are:
Baseline • Change the CD-4 or end of project constraint date to the
current status date.
• No discrete activities have zero or positive float.
• The critical path has not changed.
• Change the start date of a LOE activity that has not
started yet to the current status date.
• Reschedule the project and verify the start and finish
dates of discrete activities have not changed.
4-8-2022 A-5

20 No LOE on This assessment counts LOE activities on the project critical X X X
Critical Path— path in the baseline IMS since LOE activities do not belong
Baseline on the critical path.
21 Minimize Work This assessment counts discrete WPs with durations in the X X X
Packages— baseline IMS typically greater than 132 working days to
Baseline confirm WPs have relatively short durations. A typical
threshold is 5%.
22 Critical Path This assessment compares incomplete WP and PP activities X X X
Reasonably on the baseline IMS critical path to the total number of
Defined— incomplete WP and PP activities to confirm that typically
Baseline less than 40 percent of the remaining discrete work falls on
the critical path.
23 Continuous This assessment filters the baseline schedule for activities X X X
Critical Path— on the longest (critical) path, then sorts the activities by start
Baseline date, to qualitatively confirm that activities seem vital and
consistent, contribute to the acquisition of products in the
project scope, span the entire project, and follow a logical
sequence, e.g., design, construct, assess, and then
commission.
24 Vertical This assessment counts incomplete activities and or X X X
Traceability— milestones with baseline start and finish dates outside the
Baseline higher level project baseline start and finish dates included
in the top level schedule to confirm the schedule's
consistency from the lowest to the highest level of detail.
25 Reasonable This assessment counts discrete activities and milestones in X X X
Total Float— the baseline IMS that have a total float typically greater than
Baseline or equal to 10 percent of their remaining durations
calculated for each 12 month calendar period through
A-6 4-8-2022

project completion to confirm that total float remains a
small percentage of the project's remaining duration. A
typical threshold is 10% within the calendar year target
float.
26 SM Linkage— This assessment confirms the placement in the baseline IMS X X X
Baseline of SM following activities supporting the PMB but
preceding the CD 4 milestone (or DOE contingency).
27 Negative Total This assessment counts baseline IMS activities and X X X
Float—Baseline milestones with negative total float since projects carrying
negative total float in its plan do not achieve milestones.
28 Baseline IMS This assessment counts discrepancies related to HDV items If Applicable X X
Includes HDV identified when comparing source documents and the IMS.
Material
29 Critical key This assessment counts key milestones, including key X X X
milestones and performance parameters, planned for completion prior to
deliverables in CD-4 in the PEP or other requirement documents not found
IMS—Baseline in the baseline IMS to confirm their inclusion in the IMS.
30 Adequate This assessment compares in the forecast IMS the number If Applicable X X
Predecessors or of incomplete activities and milestones without
Successors— predecessors or successors to the total number of
Forecast incomplete activities and milestones to identify missing
relationships that might impact the critical path. A typical
threshold is 5%.
31 Limited SF This assessment counts incomplete activities and milestones If Applicable X X
Relationships— in the forecast IMS with SF relationships to identify work
Forecast planned illogically
32 Limited SS or This assessment compares the number of SS or FF If Applicable X X
FF relationships on incomplete activities and milestones,
4-8-2022 A-7

Relationships— excluding LOE, in the forecast IMS to the total number of
Forecast relationships links activities and milestones, since SS and
FF relationships may create logic loops that might impact
the longest path. A typical threshold is 15%.
33 Limited Leads— This assessment compares the number of incomplete If Applicable X X
Forecast activities and milestones with leads in the forecast IMS to
the total number of incomplete activities and milestones
since leads indicate a possible illogical sequencing of
activities. A typical threshold is 1%.
34 Limited Lags— This assessment counts lags on incomplete activities and If Applicable X X
Forecast milestones without justifications in the forecast IMS since
long lags may make performance measurement inaccurate.
A typical threshold is lags greater than 22 working days.
35 Minimize Merge This assessment compares the number of incomplete If Applicable X X
Points— discrete activities in the forecast IMS with typically more
Forecast than 15 predecessor activities to the total number of
incomplete discrete activities since activities with many
predecessors pose a threat to timely project completion. A
typical threshold is 5%.
36 No LOE This assessment counts incomplete LOE activities If Applicable X X
Discrete connected to one or more discrete successors through a FS
Successors— relationship in the forecast IMS to confirm LOE does not
Forecast drive the critical path.
37 Limit Hard This assessment counts incomplete activities and milestones If Applicable X X
Constraints— with hard constraints in the forecast IMS without
Forecast justification since hard constraints limit the ability of the
schedule to show impacts accurately.
A-8 4-8-2022

38 Minimize Soft This assessment compares incomplete activities and If Applicable X X
Constraints— milestones in the forecast IMS with soft constraints that
Forecast prevent the early start of an activity, excluding LOE to the
total number incomplete activities and milestones since
excessive soft constraints, typically in excess of 15 percent,
do not allow the schedule to accurately represent slips.
39 Reasonable This assessment qualitatively examines the reasonableness If Applicable X X
Resource of resources assigned, including their requirements,
Profile— availability, and hours, to activities in the forecast IMS as
Forecast compared to the activities' durations.
40 No SVTs with This assessment counts in the forecast IMS incomplete If Applicable X X
Resources— SVTs assigned resources to confirm the PMB does not
Forecast include SVTs assigned resources.
41 Adequate This assessment counts incomplete forecast IMS activities If Applicable X X
Resource without any resources but not identified as SVTs or SM
Loading— since all such activities should have assigned resources
Forecast based on estimated availabilities.
42 No SM This assessment counts SM activities in the forecast IMS If Applicable X X
Resources— assigned resources since SM activities should not consume
Forecast resources.
43 Vertical This assessment counts incomplete activities and or X X
Traceability— milestones with forecast start and finish dates outside the
Forecast higher level project baseline start and finish dates included
in the top level schedule to confirm the schedule's
consistency from the lowest to the highest level of detail.
44 Supplemental This assessment counts incomplete activities and or X X
Vertical milestones with forecast start or finish dates in supplemental
schedules that differ from the start or finish dates for parent
4-8-2022 A-9

Traceability— activities in the forecast IMS to confirm supplemental
Forecast schedules align with the forecast IMS.
45 Subcontractor This assessment compares a sample of integration point, X X
Vertical key handoff, or deliverable dates found in subcontractor and
Traceability— contractor baseline schedules to identify missing or
Baseline misaligned dates to confirm supplemental schedules align
with the baseline IMS.
46 Continuous This assessment filters the forecast schedule for activities on If Applicable X X
Critical Path— the longest (critical) path, then sorts the activities by start
Forecast date, to qualitatively confirm that activities seem vital and
consistent, contribute to the acquisition of products in the
project scope, span the entire project, and follow a logical
sequence, e.g., design, construct, assess, and then
commission.
47 Critical Path This assessment compares incomplete WP and PP activities If Applicable X X
Reasonably on the forecast IMS critical path to the total number of
Defined— incomplete WP and PP activities to confirm that typically
Forecast less than 40 percent of the remaining discrete work falls on
the critical path.
48 Critical Path This assessment tests the forecast IMS critical path's If Applicable X X
Push reaction to changes in activity durations. The suggested
Forecast • Constrain CD-4 or the end of the project with a "finish on
or after" constraint.
• Choose a discrete activity scheduled to start within six
months, not on the longest path, that has between 10 and
100 days of float.
• Add 500 days to the selected activity's duration.
A-10 4-8-2022

• The reduction of float by 500 days.
• The advancement of the end milestone by 500 days less
the previous total float.
• The critical path has changed along with successor
activities to the selected activity.
• No LOE activities became critical or appear on the
longest path.
• Choose another activity in a different WBS and repeat the
assessment.
49 Critical Path This assessment tests the forecast IMS critical path's If Applicable X X
Pull reaction to changes in activity durations. The suggested
Forecast • Change the CD-4 or end of project constraint date to the
current status date.
• No discrete activities have zero or positive float.
• The critical path has not changed.
• Change the start date of a LOE activity that has not
started yet to the current status date.
• Reschedule the project and verify the start and finish
dates of discrete activities have not changed.
50 No LOE on This assessment counts LOE activities on the project critical If Applicable X X
Critical Path— path in the forecast IMS since LOE activities do not belong
Forecast on the critical path.
51 Reasonable This assessment counts discrete activities and milestones in If Applicable X X
Total Float— the forecast IMS that have a total float typically greater than
Forecast or equal to 10 percent of their remaining durations
4-8-2022 A-11

calculated for each 12 month calendar period through
project completion to confirm that total float remains a
small percentage of the project's remaining duration. A
typical threshold is 10% within the calendar year target
float.
52 SM Duration This assessment confirms that typically at least 10 percent If Applicable X X
Consistent with of the planned SM remains unconsumed as an indicator of
Risk—Forecast the adequacy of the remaining SM.
53 SM Linkage— This assessment confirms the placement in the forecast IMS If Applicable X X
Forecast of SM following activities supporting the PMB but
preceding the CD-4 milestone (or DOE contingency).
54 Physical This assessment counts activities with a physical percent If Applicable X X
Complete with complete equal to 100 percent without an actual finish date
No Actual in the forecast IMS to confirm accurate and timely progress
Finish Date— reporting has occurred.
Forecast
55 Statused Out of This assessment identifies activities statused out of If Applicable X X
Sequence— sequence in the forecast IMS as an indicator of faulty
Forecast original logic and a need to re-plan work.
56 Actual Start This assessment counts activities missing actual start dates If Applicable X X
without Physical with a physical percent complete greater than zero in the
Percent forecast IMS to confirm accurate and timely progress
Complete— reporting has occurred as reflected in the start dates.
Forecast
57 Status This assessment counts activities with an actual start or If Applicable X X
Reliability— finish date that differs from the previous month's actual start
Forecast or finish date to confirm the reliability of the data.
A-12 4-8-2022

58 Baseline Versus This assessment counts incomplete activities and milestones If applicable X X
Forecast in the baseline IMS absent from the forecast IMS to confirm
Activity Count that the contractor intends to execute the scope of the
project.
59 Forecast Versus This assessment counts incomplete activities and milestones If applicable X X
Baseline in the forecast IMS absent from the baseline IMS to
Activity Count establish sufficient consistency between the baseline and
forecast schedules when less than one percent of forecast
IMS activities overall do not appear in the baseline IMS.
60 Risk Mitigations This assessment counts risks with high or moderate costs or X X X
Included— schedule durations to mitigate if realized found in the risk
Baseline management plan but not identified in the baseline IMS
using the same risk code to confirm the IMS includes risk
mitigation activities.
DOE G 413.3-24 Appendix B
4-8-2022 B-1
APPENDIX B: RECONCILIATION BETWEEN THE DOCUMENT, THE GAO

SCHEDULE ASSESSMENT GUIDE AND NDIA PASEG—DOE TAILORING
B.1 Schedule expectations in the GAO Schedule Assessment Guide that are inconsistent with
the NDIA IPMD PASEG. DOE concurs with the GAO interpretation.
1. IMS does not contain SF relationships (PASEG states they should be "avoided".)
2. All activities are resourced (PASEG states this is "optional," but DOE O 413.3 states
as a requirement.)
3. The GAO guide discusses Schedule Contingency although the use is broader in DOE.
References to Contingency in the GAO Guide refer to both Schedule Margin and
DOE Contingency as used within DOE.
B.2 Schedule expectations DOE has tailored differently than the GAO or PASEG.
1. A hard constraint (Finish On or Before) is recommended for constraining the CD-4

milestone. The PASEG and GAO Guide both recommended not using such a
constraint. DOE agrees that it should only be used for CD-4.
2. Limit lags to 22 working days and do not use leads. (GAO and PASEG have no
value.)
3. Schedule merge points are defined as greater than 15 predecessors. (GAO and
PASEG do not specify a minimum/maximum value.)
4. Schedule resources DOE agrees with both the GAO and PASEG. The only exception
with GAO is the discussion about fix and variable resources that are not applicable in
DOE. The PASEG uniquely discusses comparing the resources to availability which
DOE agrees with.
5. DOE defines high duration for discrete activities to be any duration greater than 44
working days (GAO and PASEG do not specify a minimum/maximum value.)
6. DOE clarifies that status reporting in the forecast schedule includes actual
starts/finishes and a monthly assessment (at a minimum) to identify and document
any remaining work that may have changed (GAO Guide and PASEG were not
conclusive on this topic.)
7. The schedule is usually maintained by project controls, however the CAM is

ultimately responsible for the determination and reporting of status. (Both GAO and
PASEG did not elaborate.)
8. Both GAO and PASEG expect a periodic schedule narrative whereas DOE
recommends such.
Appendix B DOE G 413.3-24
B-2 4-8-2022
B.3 Schedule expectations that are better explained in the PASEG vs. the GAO Schedule
Assessment Guide.
1. PASEG is more descriptive on the various uses of soft constraints, including resource
constraints (GAO discussion is limited to their use for outside vendors.)
2. PASEG has a better explanation of horizontal traceability than the GAO Schedule
Guide
3. PASEG has a better practical discussion of SRAs (DOE concurs with the content in
both.)
B.4 PASEG Specific Interpretation Notes Compared with DOE Schedule Guide.
1. "Task" in the PASEG in P6 is an activity.
2. The WBS discussion in the PASEG is superseded by the DOE Work Breakdown
Structure Handbook.
3. PASEG Section 5.6 discussed Critical Design Review (CDR) and Operational
Readiness Review (ORR). In DOE, the equivalent is DOE O 413.3 CD 1-4.
4. PASEG Section 5.7 Summaries and Hammocks is not consistent with P6 and does not
apply.
5. Examples in the PASEG generally use MS Project and may be different in P6.
6. PASEG Section 6.0 is not applicable in DOE. Discussion applicable to resource

requirements is included in this guide.
7. PASEG Section 10.2 Schedule Health. DOE PM and many DOE sites/contractors
use an Acumen Fuse template that includes the PM recommended tests defined in the
ECRSOP.
8. PASEG Section 11 Business Rhythm and Submittal. DOE prefers the term "IMS
Dictionary" rather than "supplemental guidance". Section 11.3 is not applicable.
9. PASEG Section 13 generally does not apply except for Scheduling in a Construction
Environment which has direct DOE applicability.

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U.S.

Department of Energy GUIDE

SUBJECT: PLANNING AND SCHEDULING

AVAILABLE ONLINE AT: INITIATED BY:

7.7.6 Drawdown of DOE Schedule Contingency............................................................... 30

Table 1. Actions or Deliverables ................................................................................................... 6

The following considerations clarify the applicability of the PASEG to DOE:

5. Other DOE guidance meets the intent of PASEG Section 6.0.

7. Other DOE guidance meets the intent of PASEG Section 11.3.

P6 users may group and sort activities by:

1. WBS—to show the schedule by WBS element;

2. Organizational Breakdown Structure (OBS)—to show the schedule by control account

3. IMP—to show the schedule by event, accomplishment, and criteria; or,

4. Special—to show a summary schedule through a custom sort.

4. ROLES AND RESPONSIBILITIES

4.1 FEDERAL PROJECT DIRECTORS

 Communicate effectively among all project stakeholders.

• Ensure project initiation and completion is synchronized with program’s overall

4.2 CONTRACTOR CONTROL ACCOUNT MANAGERS AND PROJECT

• Include in addition to project activities all significant external milestones, regulatory

• Provide to the Federal Project Director (FPD) requested project information to

 Budget planning, execution, and reporting;

 Project planning and execution;

 Audit and evaluation; and,

 Other performance assessment and information needs.

Table 1. Actions or Deliverables

6.1 SCHEDULING CONTRACT CLAUSES

• Federal Acquisition Regulation clause 48 CFR §52.234-4, EVMS;

• DOE Strategic Integrated Procurement Enterprise System (STRIPES) corporate

• STRIPES corporate clause DOE-H-2024; and,

• DOE IPMR DID, Section 3.7, concerning report Format 6, IMS.

6.2 PLANNING FOR AN INTEGRATED MASTER SCHEDULE

Integrated Master Schedule

Figure 2. IMP Levels

Table 2. Criteria Examples

Type of Success Significant

• Use an integrated coding system, combined with a disciplined approach to labeling

• Phrase IMS milestones and activities in the imperative.

Figure 3. IMP Structure

Integrated Master Schedule

6.3.1 General Expectations

Table 3. Applicability of GAO Best Practices

Prior to Post Prior to Post

This guide addresses four schedule evolutions:

• Prior to CD-1, a high-level Master Schedule

• Post CD-1, IMS for the selected alternative

• Prior to CD-2, baseline/forecast IMS

• Post CD-2, baseline/forecast IMS with the construction plan of execution

6.3.2 , High-level Master Schedule

Scheduling Objective: Include milestones in the schedule for commitments to stakeholders,

Assessments: No assessments on the pre-CD-1 milestone schedule will occur.

6.3.3 Post CD-1, IMS for the Selected Alternative

Table 4. Post CD-1 to Pre CD-2 Assessments

Table 4. Post CD-1 to Pre CD-2 Assessments

Table 4. Post CD-1 to Pre CD-2 Assessments

of execution or construction have adequate maturity to support a realistic critical path

Figure 4. Rolling Wave Planning

Table 5. Pre CD-2 Assessment Principles

Table 5. Pre CD-2 Assessment Principles

Table 5. Pre CD-2 Assessment Principles