DOE O 361.1A, Acquisition Career Development Program

U.S. Department of Energy ORDER Washington, D.C. DOE O 361.1A Approved: 4-19-04 This directive was reviewed and certified as current and necessary by James T. Campbell, Acting Director, Office of Management, Budget and Evaluation/Acting Chief Financial Officer, 9-11-2003. S UBJECT: ACQUISITION CAREER DEVELOPMENT PROGRAM 1. OBJECTIVES. a. To set forth requirements and responsibilities for the Department of Energy (DOE)/National Nuclear Security Agency (NNSA) Acquisition Career Development (ACD) Program, which implements Office of Federal Procurement Policy (OFPP) requirements, Federal Acquisition Regulation (FAR) requirements, Federal Acquisition Reform Act (FARA) requirements, and the career development objectives of Executive Order (E.O.) 12931, “Federal Procurement Reform,” dated October 13, 1994. b. To establish training and certification requirements and career development programs for the acquisition workforce, thereby establishing the common foundation of knowledge, tools, and capabilities necessary to fulfill the needs and expectations of the DOE/NNSA community for a highly skilled acquisition workforce. c. To establish a means for providing continuity of effective acquisition management and support of our customers. d. To establish this Order as the overarching Directive governing training and career development for the newly defined acquisition workforce. e. To ensure uniformity in policy for each element of the ACD Program. f. To convey the following acquisition training modules: (1) Contracting and Purchasing Career Development Program Module (Chapter I), (2) Personal Property Management Career Development Program Module (Chapter II), (3) Financial Assistance Career Development Program Module (Chapter III), (4) Project Management Career Development Program Module (Chapter IV), (5) Program Management Career Development Program Module (Chapter V, currently reserved), AVAILABLE ONLINE AT: INITIATED BY: http://www.directives.doe.gov Office of Procurement and Assistance Management CANCELE D CANCELE D http://www.directives.doe.gov 2 DOE O 361.1A 4-19-04 (6) Contractor Human Resource Management Career Development Program Module (Chapter VI, currently reserved), (7) Contracting Officer/Contracting Officer Representative Training Requirements (Chapter 7), and (8) Continuous Learning/Continuing Education Guidance (Chapter 8). 2. CANCELLATIONS. a. This Order cancels DOE O 361.1, Acquisition Career Development Program, dated 11-10-99. Cancellation of an Order does not, by itself, modify or otherwise affect any contractual obligation to comply with the Order. Cancelled Orders that are incorporated by reference in a contract remain in effect until the contract is modified to delete the references to the requirements in the cancelled Orders. b. This Order cancels and supersedes Acquisition Letter 2003-05, dated September 10, 2003. 3. APPLICABILITY. a. Primary DOE Organizations, Including NNSA Organizations. Except for the exclusions in paragraph 3c, this Order applies to all Primary DOE Organizations (see Attachment 1 for a complete list of Primary DOE Organizations). This Order automatically applies to Primary DOE Organizations created after it is issued. Note that only the NNSA Administrator can direct NNSA employees. Wherever this Order gives direction to NNSA employees, it should be understood that this direction is provided only for the convenience of the Administrator and is not intended to assume or replace the authority of the Administrator’s direction.

b. Contractors. The requirements of this Order do not apply to DOE/NNSA contractors. c. Exclusions. This Order does not apply to the Bonneville Power Administration. Waivers to certification requirements set forth in this Order must be obtained in accordance with the applicable program module. 4. REQUIREMENTS. a. Certification requirements must be applied as indicated in the appropriate program module. (See Chapters 1 through 8.) b. The core curriculum must contain the following elements: (1) specific accredited courses that must be passed before employees are eligible for higher-level certification and CANCELE D CANCELE D DOE O 361.1A 3 4-19-04 (2) a mechanism to ensure completion of core courses in a logical sequence so that the appropriate level of knowledge is available for performance at a particular level and so that later courses can build on the knowledge gained in earlier offerings. c. DOE and NNSA core courses required for certification at each level in each functional area are indicated in the appropriate program module. (See Chapters 1 through 8.) d. Priority for training spaces must be given to employees in the following order: (1) employees in positions for which the training is required by law, (2) employees in positions for which the training is established as mandatory by this Order and who need the training to qualify for the positions they currently occupy, (3) employees who need the training to become eligible for the next higher career level and who have completed mandatory training for the positions they currently occupy, (4) employees who are training for new assignments, (5) employees for whom the training requirement is “desired/elective,” and (6) employees who are not required to attend the training. e. DOE/NNSA must provide for the present by ensuring that the existing workforce has the training and experience needed, both to remain current in a dynamic acquisition profession and to prepare for leadership roles in the future. Accordingly, field element managers (FEMs) must ensure that existing acquisition staff and managers receive “refresher” training as needed to comply with this Order and to keep current on emerging acquisition requirements, policies, issues, and techniques (see paragraph 7v for FEM definition). This may include, but is not limited to, DOE-sponsored training and management/executive seminars, including DOE online learning center and distance learning from the Department of Defense (DoD), the Federal Acquisition Institute (FAI), and other providers; special jobs and/or professional association-related projects; and/or participation in seminars/workshops, or other appropriate developmental assignments. f. To maintain currency of knowledge and skills, individuals in the acquisition workforce who have satisfied the mandatory training requirements will obtain continuous learning (CL)/continuing education (CE) as specified in each program module. (See Chapters 1 through 7.) Guidance on CL/CE is contained in Chapter 8. CANCELE D CANCELE D 4 DOE O 361.1A 4-19-04 g. A specific certification path has been established for each position, including training and experience, which the incumbent must meet for that career level (i.e., Level I, II, III, or IV).

h. Each Federal agency’s “certifications” are currently limited to that Agency itself; for example, a Level III certification at DOE or NNSA will not automatically result in a Level III certification outside DOE or NNSA. In reaching decisions as to the appropriate career level for an individual, DOE will review the individual employee’s education, training profile, and experience and may or may not reach the same conclusions as other Agencies as to the use of experience or alternative courses in lieu of core courses. i. All acquisition workforce members must meet all requirements for certification at their current levels before being assigned to positions requiring the next higher level of certification. For example, an employee at the GS-7 level, a Level I position under the Contracting and Purchasing Career Development (CPCD) (contracting) Program, cannot be promoted to GS-9, a Level II position, without having completed the certification requirements for Level I. j. If a potential assignee to a vacant position in the next higher level has not met the requirements for certification at that level, the FEM must qualify him or her to meet the requirements within the specified amount of time (see individual program modules/chapters in this Order) or justify a waiver from them. For example, under the CPCD (contracting) Program, a GS-7 (Level I) promoted to GS-9 (Level II) has 18 months to complete all Level II requirements. k. An individual certified at a particular level will retain that certification regardless of any new requirements made effective thereafter unless Congress enacts a statutory requirement for a new education or training standard and designates it as “continuing education and training.” (1) Individuals must complete new requirements of this kind within 36 months. (2) Failure to complete new requirements, or to justify a waiver, will result in loss of certification. l. All requests for waivers to the certification requirements must be sent to the career manager identified in the appropriate program module, must be in writing, and must describe how disapproval would affect the organization and the course of action being taken to rectify the situation. m. Normal pathways for career progression include both vertical and lateral movement. Lateral movement within and between career fields is highly encouraged, primarily at the intermediate level, to broaden the experience base of the individual. This can be done through rotational assignments. CANCELE D CANCELE D DOE O 361.1A 5 4-19-04 (1) Multispecialty experience for most upper-level positions is desirable and is particularly important for those who strive for senior-level and other key acquisition positions. To obtain this experience, the individual should strive to get work assignments and training in more than one of the functional areas of acquisition. (a) In addition to multispecialty experience, a mixture of operational and staff experience will strengthen an individual’s competitive position when seeking high-level positions in acquisition career fields. (b) Operations and field offices are encouraged to provide multispecialty experience through structured programs necessary for career progression to the most senior acquisition positions. (2) Experience in industry to gain a perspective on contracting in the private sector, to share lessons learned, and to bring back best practices is highly desirable. These opportunities are available through the ACD DOE “Masters” and Top XX Programs.

n. Completion of mandatory training by “fulfillment” generally will occur in one of three ways: an employee is at a career level above the level at which the training is mandatory, an employee has been at the full performance level of a career field for a substantial period of time and is performing at a more-than-satisfactory level, or an employee has received training equivalent to that required by the core curriculum. That is, if a person is in a Level III position and has been performing satisfactorily, and can demonstrate that he/she has the competencies required at Level III, he/she can apply to obtain certification based on that experience, rather than take the training. (1) If, given one of these situations, the FEM and the employee believe that the employee does not need to attend the mandatory course, the FEM must petition the appropriate career manager at DOE/NNSA Headquarters, in writing, for course completion by fulfillment, detailing the rationale for the request. (2) If the career manager concurs, the cognizant FEM will be so notified. o. A necessary component of any comprehensive career development program is an institutionalized process of individualized career development training. Individual development plans (IDPs) will be updated periodically to ensure accuracy and currency. The following voluntary activities should be considered in formulating comprehensive IDPs. (1) Work and Developmental Activities. The work and developmental requirements listed in each program module consist of a range of activities. The duration of these work and developmental activities ranges from 1 to 3 years. Acquisition professionals and their supervisors should CANCELE D CANCELE D 6 DOE O 361.1A 4-19-04 plan and coordinate these assignments in the IDP to ensure timely progression to higher levels of certification. (2) Rotational Assignments. Rotational assignments are a valuable source of experience and opportunity for growth. They allow employees to demonstrate their ability to apply course knowledge and skills through on-the-job performance, indicating that they have achieved the desired level of proficiency. In addition, rotational assignments promote a cross-disciplinary approach to acquisition, in that way enhancing employees’ appreciation of how the various functions contribute to the acquisition process. These assignments are intended to assist acquisition professionals in completing work and developmental activity requirements and in acquiring a greater depth and breadth of experience inside and outside of DOE/NNSA and the Federal Government. (3) Mentoring. Mentoring is a structured agreement, either formal or informal, between two individuals outside the normal employee/supervisory relationship wherein the mentor provides assistance to the participant (protégé) in his/her career development planning process. Mentoring can provide valuable coaching and feedback regarding career plans and choices. (4) Professional Associations. Membership in professional associations allows the acquisition professional to keep abreast of current topics and trends important to job performance and can provide opportunities for an exchange of knowledge, experiences, information, and ideas on a variety of issues. Professional associations can also provide the acquisition professional with sources of conferences, seminars, workshops, video-telecasts, printed literature, research, databases, training, and other valuable career development information and opportunities. In addition, professional associations enable employees to meet others who have similar interests and careers and facilitates networking opportunities.

p. Managers and employees must grow to keep pace with the Department’s aggressive pursuit of reengineering and redesign, its evolving mission needs, and its ever-changing budgets and staff resources. In addition, as the role of the acquisition professional evolves, DOE/NNSA acquisition managers and their staffs need to provide the strategic business advice and consultation needed to support their customers, including increasing their knowledge in the acquisition of commodities and services not previously required. If the skills and capabilities of the DOE/NNSA workforce do not match the acquisition needs of DOE/NNSA customers, the DOE/NNSA mission may be jeopardized. 5. RESPONSIBILITIES. a. Senior Procurement Executive. Ensures that members of the acquisition workforce are certified to the career levels appropriate to the grades they occupy or to their responsibilities in accordance with this Order. CANCELE D CANCELE D DOE O 361.1A 7 4-19-04 b. Career Managers. The career manager for each functional area is identified in the appropriate program module. Functional area career managers do the following for their respective functional areas. (1) Establish career development policy. (2) Ensure workforce members are certified to the required levels under their respective career development modules. (3) Manage development of the career development core curriculum. (4) Identify critical acquisition-related duties and tasks in which, at a minimum, acquisition career employees must be competent to perform at full performance grade levels. (5) Approve the completion of requirements and attainment of competencies established in their respective career development modules. (6) Track the certification status of members, providing the ACD Program director with quarterly updates of training, developmental assignments, and certification status. (7) Ensure training and certification records are accumulated and maintained in the DOE Corporate Human Resource Information System (CHRIS)/Employee Self-Service (ESS). (8) Ensure each workforce member’s training and certification records are accurate and are maintained in both the DOE CHRIS/ESS and auditable files. (9) Track workforce members’ career paths to ensure training, developmental activities, and developmental experiences are being provided and used in a manner consistent with their respective career development programs. (10) Track and report performance measures as identified and required by senior management. (11) Provide notification to members and their supervisors who fail to attain certification. (12) Review quarterly reports on CL/CE status and provide 90-day notification to members and their supervisors of pending revocation of certifications when CL/CE requirements for maintaining certification are not met. (13) Unless extenuating circumstances such as illness or military service prevent a workforce member from obtaining the required CL/CE, revoke the member’s certification after the 90-day notification period has been CANCELE D CANCELE D 8 DOE O 361.1A 4-19-04 exceeded without appropriate remedial action, and notify the workforce member’s supervisor that the certification has been revoked. (14) Review requests for recertification after revocation of certification. (Note: Individuals must successfully complete the CL/CE requirements contained in each program module before applying for recertification.)

(15) Review and approve CL/CE credits and preapprove training equivalencies for courses not specifically listed in the core training requirements. (16) Review, evaluate, and determine the equivalency of external certifications submitted by workforce members. c. Director, Acquisition Career Development Program. (1) Provides day-to-day management of all elements of the ACD Program. (2) Issues certifications upon completion of core training. (3) Recertifies members upon completion of required CL/CE. (4) Establishes and maintains agreements and liaisons with public and private sector organizations to provide members rotational assignments and details. (5) Conducts regular site visits of workforce members on rotational assignments with industry. (6) Maintains the contracting officer/contracting officer representative database. (7) Conducts annual complexwide demographic analyses of the acquisition workforce to identify trends and training/developmental requirements. (8) Maintains career development programs. (9) Develops new career development programs, as needs arise. (10) Issues announcements, and oversees selection process for industry rotations. d. Field Element Managers. (1) Identify training needs, provide funding for training, and create plans for acquisition workforce personnel development consistent with site mission needs, and submit workforce development plans to career managers on an annual basis. CANCELE D CANCELE D DOE O 361.1A 9 4-19-04 (2) Create plans for development of individual acquisition workforce personnel consistent with site- and program-mission strategic needs. (3) Ensure acquisition workforce members develop and implement IDPs in accordance with this Order and DOE O 360.1B, Federal Employee Training, dated 10-11-01. (4) Facilitate rotational assignments. (5) Ensure that holders of Government purchase cards receive initial training on their authorities and responsibilities sufficient to protect the interests of the Government and 8 hours of refresher training every 3 years. (6) Budget for and set aside appropriate funds for required training of acquisition workforce members and payment of retention allowances to acquisition workforce members to the extent possible. (7) Provide funding on a per-student basis for mandatory courses in accordance with the contracts and agreements with the training sources approved by the appropriate career development manager. (8) Conduct an initial structured analysis of future acquisition skills needed to support planned or emerging program needs. (9) Periodically assess current and projected workforce skills to ensure that a strategic skills imbalance does not occur; identify any skill gaps, and plan development strategies accordingly to ensure the latest acquisition policies, approaches, and techniques are not overlooked. (10) Conduct annual demographic studies to identify trends and workforce composition to support mission. (11) Ensure training and CL/CE requirements are satisfied in a timely manner to maintain certifications, and take appropriate actions to reassign workforce members who fail to meet the requirements. (12) Reassign workforce members to duties not requiring certification when their certifications are revoked for failure to obtain CL/CE. e. Acquisition Professionals. (1) Prepare and periodically update IDPs with the assistance and counsel of supervisors. (2) Submit requests for CL, external certification, and other equivalency for career manager for approval.

(3) Meet all requirements for certification at their current levels. CANCELE D CANCELE D 10 DOE O 361.1A 4-19-04 6. REFERENCES. a. OFPP Policy Letter 92-3, “Procurement Professionalism Program Policy— Training for Contracting Personnel,” dated 6-24-92, establishes policies and a Government-wide standard for skill-based training for the Federal acquisition workforce. The OFPP policy letter also establishes a set of contracting competencies and requires contracting professionals to complete course work and related on-the-job training to attain an appropriate level of skill in each contract management duty. b. FAR 1.603-1 links the selection and appointment of contracting officers to OFPP standards that require skill-based training for contracting and purchasing duties. c. Public Law 104-106, the Clinger-Cohen Act of 1996, also known as the Federal Acquisition Reform Act (FARA), amended the OFPP Act (Section 4307); expanded OFPP responsibility to include establishing education, training, and experience requirements for civilian agencies, comparable to those established for the Department of Defense in 1991 by the Defense Acquisition Workforce Improvement Act; established a new Section 37 of the OFPP Act; and strengthened the statutory responsibility of the director of OFPP. d. OFPP Policy Letter 97-01, “Procurement System Education, Training, and Experience Requirements for Acquisition Personnel,” dated 9-12-97, implements Public Law 104-106. e. The National Performance Review directed the Federal Government to establish a well-trained, professional, procurement workforce to keep pace with the demands of an increasingly complex procurement process. f. E.O. 12931, OFPP Policy Memorandum, dated October 13, 1994, “Federal Procurement Reform,” underscores the Administration’s approach to procurement management and requires Agencies to establish career education programs for procurement professionals. g. The OECM Web site at http://oecm.energy.gov provides information on the PMCDP. h. The OPAM professionals Web site, at http://professionals.pr.doe.gov, provides additional information on the ACD Program. i. The Defense Acquisition University Web site, at www.dau.mil, provides information on course equivalencies. j. The Federal Acquisition Institute Web site, at www.fai.gov, provides information on available online courses. CANCELE D CANCELE D http://oecm.energy.gov/ http://professionals.pr.doe.gov/ http://www.dau.mil/ http://www.fai.gov/ DOE O 361.1A 11 4-19-04 7. DEFINITIONS. a. Accredited Courses. Courses approved by DOE/NNSA as providing a specific body of knowledge. b. Acquisition. The planning, design, development, testing, contracting, production, logistics support, and disposal of systems, equipment, facilities, supplies, or services that are intended for use in, or support of, DOE/NNSA missions. c. Acquisition Experience. Experience gained while assigned to an acquisition position. Includes cooperative education and other developmental assignments, experience in DOE/NNSA acquisition positions, and experience in comparable positions outside of DOE/NNSA. d. Acquisition Positions. Positions in the acquisition system with duties that fall in an acquisition category. These positions are located both in Headquarters and field organizations. e. Acquisition Position Categories. Functional subsets of acquisition positions. These subset positions include purchasing, contracting, financial assistance, personal property management, project management, program management, contractor human resource management, and contracting officers and contracting officer representatives.

f. Acquisition Workforce. Permanent employees who occupy acquisition positions, including contracting, purchasing, financial assistance, property management, project management, program management, contractor human resource management, contracting officers, and contracting officer representatives, consistent with the statutory intent of Public Law 104-106. g. Career Development. The professional development of employee potential by integrating the capabilities, needs, interests, and aptitudes of employees in acquisition positions through a planned, organized, and systematic method of training and development designed to meet organizational objectives. Career development is accomplished through a combination of work assignments, job rotation, training, education, and self-development programs. h. Career Levels. Categories of education, training, and experience standards that provide a framework for potential progression in a career field. For example, there are three career levels within the Contracting/Purchasing Career Development Program (contracting field), (I) Entry, (II) Intermediate, and (III) Advanced or Senior, and four within the Project Management Career Development Program, Level 1, total project cost (TPC) of $5 to 20 million; Level 2, TPC of $20 to $100 million; Level 3, TPC of $100 to $400 million; and Level 4, TPC of over $400 million. i. Career Manager. The Headquarters office director delegated responsibility for the organizational management of the career development program for acquisition CANCELE D CANCELE D 12 DOE O 361.1A 4-19-04 related functions. The career managers for DOE are the deputy director, Office of Procurement and Assistance Management, for contracting and purchasing; director, Office of Engineering and Construction Management, for project management; director, Program Analysis and Evaluation, for program management; director, Office of Resource Management, for personal property management and contractor human resource management; and director, Office of Procurement and Assistance Policy, for financial assistance. For NNSA, the career manager for all acquisition functions except project management is the deputy director, Office of Procurement and Assistance Management, NNSA. For Project Management, the career manager is the Associate Administrator for Infrastructure and Security, NNSA. j. Career Path. The range of opportunities at each career level and the optimum route for vertical and horizontal progression in a career field. k. Certification. The process through which DOE/NNSA determines that an individual meets mandatory training and experience standards established for a career level in the acquisition field. l. Certification Program. A structured program of education, training, and experience that provides a framework for attaining career levels commensurate with positions in the acquisition field. m. CHRIS/ESS. The Corporate Human Resource Information Service (CHRIS) contains the DOE Employee Self Service (ESS) subsystem, an automated Web-based system that enables DOE Federal employees to use the Internet to view and/or update personal, payroll, and training information. n. Continuous Learning/Continuing Education. Education, training, and experiential opportunities for the purpose of improving or maintaining skills or to learn new skills. This can take the form of rotational assignments, traditional classroom training, professional association meetings, or seminars.

o. Core Courses. DOE-/NNSA-approved courses taught by approved training providers and required as part of the core curriculum. p. Core Curriculum. A DOE-/NNSA-approved course of study comprising specifically identified courses required to attain a specific career level. q. Defense Acquisition University (DAU). A consortium of Department of Defense education and training institutions and organizations providing DOE-/ NNSA-prescribed acquisition courses for certification. r. Elective Courses. Courses that cover functional-specific initiatives or that provide more in-depth coverage than is offered in core courses. Electives are not required for progression to the next higher career level. CANCELE D CANCELE D DOE O 361.1A 13 4-19-04 s. Equivalent Course. A course that has been determined by the appropriate career manager, DOE Headquarters or NNSA Headquarters, to contain the level of knowledge that would enable individuals who take the course to perform as if they had completed the comparable, designated, mandatory course. t. Federal Project Director. An individual in an organization or activity who is responsible for the management of services provided to DOE/NNSA on a specific project, beginning at the start of design and continuing through the completion of construction, for planning, organizing, directing, controlling, and reporting on the status of the project. It includes developing and maintaining the project management plan; managing project resources; establishing and implementing management systems, including performance measurement systems; and approving and implementing changes to project baselines. u. Field Element. A non-Headquarters DOE organization. Field elements can be area offices, support offices, operations offices, field offices, regional offices, or offices located at environmental restoration, construction, or termination sites. v. Field Element Manager. The DOE employee having overall responsibility for a field element w. Fulfillment. The process by which acquisition workforce members may satisfy mandatory training requirements based on previous experience, education, and/or alternative training successfully completed and documented based on course competency standards and procedure. Fulfillment may be granted upon application on a case-by-case basis. x. Functional Area. Segments of the acquisition process responsible for a specific area of expertise, such as contracting and purchasing, personal property management, financial assistance, project management, program management, and contractor human resource management. y. Grandfathering. The granting of a certification in a career field by virtue of incumbency in that career field. None of the certification programs covered under this Order provide for certification based on grandfathering. z. Head of Contracting Activities. The official who has overall responsibility for managing a DOE element designated by the Secretary and delegated broad authority regarding acquisition functions. aa. Individual Development Plan. Document used to plan an employee’s education, training, and experience needs. It should specify developmental needs as well as those required in support of the career field position. Developing the plan is a joint effort of the employee, supervisor, and possibly other knowledgeable persons in the training and/or acquisition fields. bb. Mandatory DOE/NNSA Acquisition Course. An approved course of study that meets DOE/NNSA acquisition training requirements for a career level.

CANCELE D CANCELE D 14 DOE O 361.1A 4-19-04 cc. NNSA Acquisition Program Manager. The individual within NNSA assigned responsibility for the day-to-day management of the Acquisition Career Development Program within NNSA. dd. Personal Property Management. The development, implementation, and administration of policies, programs, and procedures for the effective and economical acquisition, receipt, control, storage, issue, use, physical protection, care and maintenance, determination of requirements and maintenance of related operating records, and disposal, as appropriate, for Government personal property exclusive of accounting records. ee. Program. An organized set of activities directed toward a common purpose or goal undertaken or proposed in support of an assigned mission area. It is characterized by a strategy for accomplishing definite objectives that identifies the means of accomplishment, particularly in qualitative terms, with respect to workforce, material, and facility requirements. Programs are typically made up of technology-based activities, projects, and supporting operations. ff. Project. In general, a unique effort that supports a program mission, having defined start and end points, undertaken to create a product, facility, or system, and containing interdependent activities planned to meet a common objective or mission. Project types include planning and execution of construction, renovation, modification, line items for maintenance and repair, environmental restoration, decontamination and decommissioning efforts, information technology, and large capital equipment or technology development activities. Tasks that do not include the above elements, such as basic research, grants, ordinary repairs, maintenance of facilities, and operations are not considered projects. gg. Senior Procurement Executive. The DOE senior official appointed under the “Office of Federal Procurement Policy Act,” who is responsible for managing the direction of the Department’s procurement system, including implementation of unique procurement policies, regulations, and standards. In DOE, this is the director of the Office of Procurement and Assistance Management. In NNSA, this is the director of the Office of Procurement and Assistance Management, NNSA. hh. Total Estimated Cost. The gross cost of the project, including the cost of land and land rights; engineering, design, and inspection costs; direct and indirect construction costs; and the cost of initial equipment necessary to place the plant or installation in operation, whether funded as operating expense or construction. ii. Total Project Cost. All costs included in the total estimated cost of a construction project plus the preconstruction costs such as conceptual design and research and development, as well as the costs associated with the preoperating phase, such as training and start up. CANCELE D CANCELE D DOE O 361.1A 15 (and 16) 4-19-04 8. CONTACT. Questions concerning this Order should be addressed to the Acquisition Career Development Program Office at 202-586-1140. BY ORDER OF THE SECRETARY OF ENERGY: KYLE E. McSLARROW Deputy Secretary CANCELE D CANCELE D DOE O 361.1A i 4-19-04 CONTENTS CHAPTER I. CONTRACTING AND PURCHASING CAREER DEVELOPMENT PROGRAM MODULE 1. Introduction.......................................................................................................................I-1

2. Contracting Series Qualification Standards ......................................................................I-1 3. Roles and Responsibilities ................................................................................................I-1 4. Contracting and Purchasing Certification Program ..........................................................I-2 a. Level I—Entry ......................................................................................................I-2 b. Level II—Intermediate..........................................................................................I-2 c. Level III—Advanced ............................................................................................I-3 5. Core and Desired/Elective Career Path Curriculum .........................................................I-3 a. DOE Core Curriculum ..........................................................................................I-3 b. NNSA Core Curriculum .......................................................................................I-3 c. Elective Courses....................................................................................................I-3 d. Alternate Education and Training Methods..........................................................I-4 6. Continuous Learning (CL)/Continuing Education (CE)...................................................I-4 7. Promotions and Contracting Officer Warrants .................................................................I-4 8. Relation to Other Acquisition Workforce Programs ........................................................I-5 Appendix A. Levels I, II, and III Mandatory and Desired/Elective Courses Description of Courses........................................................................................ A-1 GS-1102 Series ................................................................................................... A-1 GS-1105 Series ................................................................................................... A-4 CHAPTER II. PERSONAL PROPERTY MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE 1. Introduction..................................................................................................................... II-1 2. Personal Property Management Field............................................................................. II-1 3. Roles and Responsibilities .............................................................................................. II-1 4. Personal Property Management Career Development Program ..................................... II-1 5. Core Carreer Path Curriculum ........................................................................................ II-1 6. Property Management Appointments ............................................................................. II-2 7. Continuous Learning (CL)/Continuing Education (CE)................................................. II-2 CANCELE D CANCELE D ii DOE O 361.1A 4-19-04 CONTENTS (continued) Appendix A. Core and Desired Courses................................................................................... A-1 Core Courses....................................................................................................... A-1 Desired Courses .................................................................................................. A-3 CHAPTER III. FINANCIAL ASSISTANCE CAREER DEVELOPMENT PROGRAM

MODULE 1. Introduction.................................................................................................................... III-1 2. Financial Assistance Qualification Standards................................................................ III-1 3. Roles and Responsibilities ............................................................................................. III-1 4. Financial Assistance Certification Program................................................................... III-2 5. Career Path Curriculum ................................................................................................. III-2 6. Continuous Learning (CL)/Continuing Education (CE)................................................ III-2 7. Relation to Other Acquisition Workforce Programs ..................................................... III-3 Appendix A. Financial Assistance Career Development and Certification Curriculum .......................................................................................................... A-1 CHAPTER IV. PROJECT MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE 1. Objectives ...................................................................................................................... IV-1 2. Background.................................................................................................................... IV-1 3. Applicability .................................................................................................................. IV-1 a. Primary DOE Organizations, Including NNSA Organizations ......................... IV-1 b. Contractors......................................................................................................... IV-2 c. Exclusions .......................................................................................................... IV-2 4. Requirements ................................................................................................................. IV-2 5. Responsibilities .............................................................................................................. IV-3 a. Program Secretarial Officers and Field Element Managers .............................. IV-3 b. Field Element Managers .................................................................................... IV-6 c. Director, Office of Engineering and Construction Management....................... IV-6 d. Director, Office of Human Resources ............................................................... IV-8 e. Certified Project Directors ................................................................................. IV-8 Appendix A. DOE Project Management Career Development Program ................................. A-1 CANCELE D CANCELE D DOE O 361.1A iii 4-19-04 CONTENTS (continued) Background......................................................................................................... A-1 DOE Project Management Certification............................................................. A-1 Training Requirements........................................................................................ A-6 Individual Development Plans............................................................................ A-7 Career Path Promotions ...................................................................................... A-8 Recruiting and Retaining DOE Federal Project Directors.................................. A-9

CHAPTER V. PROGRAM MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE (RESERVED) CHAPTER VI. CONTRACTOR HUMAN RESOURCE MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE (RESERVED) CHAPTER VII. CONTRACTING OFFICER/CONTRACTING OFFICER REPRESENTATIVE TRAINING REQUIREMENTS 1. Introduction...................................................................................................................VII-1 2. Contracting Officer/Contracting Officer Representative Qualification Standards.................................................................................................VII-1 3. Roles and Responsibilities ............................................................................................VII-1 4. Types of Warrants and Delegations..............................................................................VII-1 a. Contracting Officers..........................................................................................VII-1 b. Contracting Officer Representatives.................................................................VII-2 5. Contracting Officer/Contracting Officer Representative Curriculum ..........................VII-3 6. Continuous Learning (CL)/Continuing Education (CE)...............................................VII-7 7. Contracting Officer Warrant Requirements..................................................................VII-7 CHAPTER VIII. CONTINUOUS LEARNING/CONTINUING EDUCATION GUIDANCE 1. Background................................................................................................................. VIII-1 2. Continuous Learning/Continuing Education Purpose ................................................ VIII-1 3. Documentation and Verification................................................................................. VIII-1 Appendix A. Guidelines for Crediting Continuous Learning Activities .................................. A-1 Appendix B. Acquisition Career Development Business and Business Related Course Work...........................................................................................B-1 CANCELE D CANCELE D iv DOE O 361.1A 4-19-04 CONTENTS (continued) Appendix C. Continuous Learning Documentation ..................................................................C-1 ATTACHMENT 1. PRIMARY DEPARTMENT OF ENERGY ORGANIZATIONS TO WHICH DOE O 361.1A IS APPLICABLE CANCELE D CANCELE D DOE O 361.1A I-1 4-19-04 CHAPTER I. CONTRACTING AND PURCHASING CAREER DEVELOPMENT PROGRAM MODULE 1. INTRODUCTION. The intent of the Contracting and Purchasing Career Development (CPCD) Program is to establish new performance expectations to increase contracting/purchasing personnel efficiency and effectiveness on the job and potentially enhance personnel opportunities in the job market. This chapter provides supplementary information and guidelines for Department of Energy (DOE)/National Nuclear Security Administration (NNSA) contracting/purchasing personnel to plan their career development to become more competitive for higher-level acquisition positions both inside and outside DOE/NNSA. 2. CONTRACTING SERIES QUALIFICATION STANDARDS. The Federal Acquisition

Reform Act gave to the Administrator, Office of Federal Procurement Policy, the responsibility for establishing qualification requirements for acquisition workforce positions in non-Department of Defense (non-DoD) Agencies. The new qualification standards are comparable to those established for DoD positions in 1990 by the Defense Acquisition Workforce Improvement Act. For the GS-1102-05 through GS-1102-12 levels, either a baccalaureate degree from an accredited educational institution (with a major in any field) or at least 24 semester hours in any combination of the following fields is required: accounting, business, finance, law, contracts, purchasing, economics, industrial management, marketing, quantitative methods, or organization and management. Personnel at the GS-1102-13 level and higher must have a baccalaureate degree in business or a baccalaureate in any field supplemented by at least 24 semester hours in any combination of the following fields: accounting, business, finance, law, contracts, purchasing, economics, industrial management, marketing, quantitative methods, or organization and management. More complete information regarding the requirements established by the Office of Personnel Management can be found at www.opm.gov. 3. ROLES AND RESPONSIBILITIES. Within DOE, overall responsibility for the CPCD Program rests with the senior procurement executive, while organizational management has been delegated to the deputy director of the Office of Procurement and Assistance Management, DOE Headquarters, who serves as the DOE “procurement career manager.” The day-to-day management, including design and content of the curriculum and administration of the program, has been delegated to the director, Acquisition Career Development (ACD) Program. Within NNSA, overall responsibility for the CPCD Program rests with the NNSA senior procurement executive, while organizational management has been delegated to the deputy director, Office of Procurement and Assistance Management, NNSA Headquarters, who serves as the NNSA procurement career manager. The day-to-day management, including design and content of the curriculum and administration of the program has been delegated to the NNSA Acquisition Program manager. CANCELE D CANCELE D http://www.opm.gov/ I-2 DOE O 361.1A 4-19-04 Individual procurement professionals are ultimately responsible for their own career progression and development, in conjunction with supervisory career guidance and opportunities presented for career growth. In planning their careers, individuals should actively seek training and growth opportunities. They should also consider requesting increasingly difficult and challenging assignments, entering mentoring relationships, becoming involved with professional societies, seeking education and training outside the CPCD curriculum, and taking other courses offered by DOE/NNSA. 4. CONTRACTING AND PURCHASING CERTIFICATION PROGRAM. Three proficiency levels—Levels I, II, and III—have been established covering training, experience, and education requirements. The three levels are outlined below. Certification Levels for Contracting (1102) and Purchasing (1105) Personnel 1102 Series Certification Levels Grade Level I—Entry GS-05 through GS-07 Level II—Intermediate GS-09 through GS-12 Level III—Advanced GS-13 and above 1105 Series Certification Levels Grade Level I—Entry GS-05 Level II—Intermediate GS-06 through GS-08 Level III—Advanced GS-09 and above

The following guidelines describe what is expected of contracting and purchasing personnel at each career level. a. Level I—Entry. Entry-level training requirements are designed to establish fundamental qualifications and expertise in an individual’s job series or career field. Development at the entry level lays the foundation for career progression and prepares qualified and motivated personnel for positions of increasing responsibility. At the entry level, trainees should be exposed to fundamental procurement procedures and the roles of various support functions, such as pricing, property administration, quality assurance, etc. In addition to participation in education and training courses, it is extremely beneficial to rotate new trainees through structured, on-the-job assignments among a variety of functional offices. b. Level II—Intermediate. The intermediate level emphasizes specialization. Development continues, including on-the-job rotational assignments, but the length of time an individual spends in each position generally increases. While specialization is emphasized at the beginning of this level, the individual should later begin to broaden his/her background and gain more general expertise in the overall process of his/her career field. Development of the generalist normally involves establishing a good foundation of experience in the employee’s primary CANCELE D CANCELE D DOE O 361.1A I-3 4-19-04 specialty, followed by lateral movement to a related specialty to broaden the employee’s overall expertise and value to the procuring organization and customer. c. Level III—Advanced. By the time an individual reaches the senior levels of acquisition, he or she must have completed all the mandatory training and education requirements (or equivalents) leading up to that level and should have advanced through a career pattern that has imparted in-depth knowledge in his/her functional areas and breadth of knowledge across the entire acquisition process. Advanced acquisition education and training become imperative for a more global perspective. The lower-level requirements and courses form the basis for the next progressively higher levels in the ACD Program, and the requirements are cumulative. 5. CORE AND DESIRED/ELECTIVE CAREER PATH CURRICULUM. The structured approach to training as articulated in the CPCD Program allows employees to demonstrate comprehension and ability to apply course knowledge and skills to analyze and resolve on-the-job performance issues, indicating the desired level of proficiency. The program comprises core (required) and desired/elective courses. Core courses are developed by the Defense Acquisition University (DAU) and are available through the DAU or other DoD-Certified training providers. DAU has been chosen as the ACD training source so that DOE/NNSA course texts, training materials, instructor certifications, and training experiences are consistent with the ACD programs of DoD, NASA, and an increasing number of other civilian agencies. a. DOE Core Curriculum. To provide the acquisition community with a knowledge base of the highest quality and to provide the student with not only the requisite skills and knowledge but also the widest range of procurement thinking, approaches, and practices, the following DOE core courses (see the table on the next page) are necessary at each of the career levels in the CPCD (contracting and purchasing) Program (see Appendix A for course descriptions).

b. NNSA Core Curriculum. NNSA will conform to the DOE ACD Program but with additional requirements in supply chain management to be established and issued through the NNSA Administrative Procedures Business Operating Procedures. c. Elective Courses. DOE and NNSA have identified some desired/elective courses that cover procurement initiatives or specific areas of procurement requiring more in-depth coverage than is offered in the core courses. Courses listed as “desired/elective” are designed to improve the qualifications of the acquisition workforce and in many cases lead to accomplishing mandatory standards at a higher level. Completion of desired/elective courses is not required to progress to the next higher career level. Individuals should choose whether to take desired/elective courses based on their specific interests, needs, and work assignments. CANCELE D CANCELE D I-4 DOE O 361.1A 4-19-04 Core Courses Career Level GS-1102—Contracting GS-1105—Purchasing I—Entry CON 101 Fundamentals of Contracting CON 104 Contract Pricing CON 101 Fundamentals of Contracting II—Intermediate CON 210 Government Contract Law CON 202 Intermediate Contracting CON 204 Intermediate Contract Pricing CON 202 Intermediate Contracting III—Advanced CON 353 Advanced Business Solutions for Mission Support Project Management Overview CON 210 Government Contract Law d. Alternate Education and Training Methods. Although it is highly recommended that students attend the CPCD core course offerings (and desired/elective courses, if needed) whenever possible, certain academic courses offered by institutions of higher education are approved by DAU as equivalent to the mandatory education and training courses. Information regarding alternate education and training methods can be found at http://www.dau.mil. Some courses may be available online or through distance learning. The DAU and Federal Acquisition Institute Web sites (http://www.dau.mil and http://www.fai.gov, respectively) provide information on courses deemed equivalent to DAU that are available online. 6. CONTINUOUS LEARNING (CL)/CONTINUING EDUCATION (CE). To remain current in contracting/purchasing knowledge, skills, and techniques, individuals will obtain 80 hours of CL/CE every 2 years. Failure to do so will result in revocation of the contracting officer’s warrant and may result in reassignment to a position not requiring a contracting officer’s warrant. For those not holding a contracting officer’s warrant, failure to obtain CL/CE hours may result in reassignment to a position not involving contract management. (Complete guidance on what constitutes CL/CE education is contained in Chapter 8 of this Order.) 7. PROMOTIONS AND CONTRACTING OFFICER WARRANTS. Contracting and purchasing personnel must clearly understand that any future promotions or issuances of contracting officer warrants will be contingent upon the successful completion of the CPCD core courses within their appropriate levels. Any requested exceptions to this policy must be submitted in writing by the field element manager to the procurement career manager for approval by the procurement executive. CANCELE D CANCELE D http://www.dau.mil/ http://www.dau.mil/ http://www.fai.gov/ DOE O 361.1A I-5 (and I-6) 4-19-04

8. RELATION TO OTHER ACQUISITION WORKFORCE PROGRAMS. The CPCD Program is directed primarily at the career contracting and purchasing employee; however, other members of the acquisition workforce require acquisition training. For example, DOE’s/NNSA’s extensive Government purchase card program has resulted in limited procurement authority being delegated to a number of individuals outside the contracting series. DOE’s/NNSA’s current Contracting Officer Warrant Program (DOE O 541.1A, Appointment of Contracting Officers and Contracting Officer’s Representatives, dated 10-27-00) provides extensive coverage on the requirements for delegation of procurement authority, including Government purchase card holders. (Chapter 7 of this Order provides information on training requirements for contracting officers and contracting officer representatives.) CANCELE D CANCELE D DOE O 361.1A Chapter I, Appendix A 4-19-04 A-1 APPENDIX A. LEVELS I, II, AND III MANDATORY AND DESIRED/ELECTIVE COURSES DESCRIPTION OF COURSES The following courses are approved by the Acquisition Career Development (ACD) Program. Each course is designated either “C” for core (mandatory) or “D/E” for “desired/elective” (refresher or continued development). Any course prerequisites are also noted along with a mandatory (M) or desired (D) designation. GS-1102 Series Level I. (Entry) Courses Contract Specialist GS-05/07 Fundamentals of Contracting, CON 101, (C) is a general survey course in contracting basics for personnel just entering or those with up to 3 years of practical experience in the field of contracting. It covers the broad range of contracting procedures prescribed by the Federal Acquisition Regulation (FAR), the Department of Energy Acquisition Regulations and Procurement Guidebook, applicable statutes, ethics, policies, and other pertinent authorities that govern contracting operations. (20 class days) Contract Pricing, CON 104, (C) is designed for entry-level contracting personnel. This course provides the foundation for the study and practice of cost and price analysis. Topics include a review of various types of contracts, sources of data for cost and price analysis, methods of analyzing direct and indirect costs, methods for performing profit analysis, ethics in contract pricing, and a selection of current pricing topics. Individual and group negotiation workshops address fundamentals of the negotiation process, including essential techniques, strategies, and tactics. An actual cost analysis is used to illustrate various concepts and methods covered in the course. NOTE: Basic algebra skills are required for successful completion of this course. Personnel accepted for this course will receive a math review book and are encouraged to complete that review before attending the course. (14 class days) Level II. (Intermediate) Courses Contract Specialist, GS-09 through 12 Government Contract Law, CON 210, (C) provides information about the effect of Government contract law on daily decision making in acquisition. It introduces basic legal principles and sources of contract law as they apply to the Government’s acquisition of supplies, services, and construction. Court cases and administrative decisions (Government Accounting Office, Boards of Contract Appeals) are discussed, emphasizing the law’s effect on Government/ contractor relationships and ethics and how to avoid and handle legal disputes. This course is designed for intermediate-level personnel who have some experience with Government contracting and are responsible for contract formation or management. (10 class days)

CANCELE D CANCELE D Chapter I, Appendix A DOE O 361.1A A-2 4-19-04 Intermediate Contract Pricing, CON 204, (C) reinforces pricing skills taught in CON 104 and develops skills in performing more advanced pricing duties. The course concentrates on quantitative methods for cost and price analysis, advanced preaward pricing decisions, postaward pricing decisions, and general contract pricing issues. Students receive MS DOS public domain software to use in the quantitative methods section of instruction. Students will develop skills in pricing leases; developing prenegotiation positions on proposed indirect rates, with emphasis on depreciation; and analyzing the cost realism of best and final offers. Students will also be instructed in how to develop general and administrative costs; individual research and development costs; bid and proposal costs; and costs associated with fringe benefits, environmental pools, and uncompensated overtime. Students will also develop skills in estimating cost-to-complete, pricing equitable adjustments (with exercises related to claims and contract modifications), adjusting and applying indirect cost rates (featuring an exercise in quick closeout), and identifying defective pricing. Students will be required to develop a case study on a contract pricing problem based on their previous contracting experience. These problems provide a basis for classroom presentations and situation analysis corresponding to relevant contract pricing topics and for applying ethical principles and developing appropriate solutions. (10 class days) (Prerequisite: Contract Pricing, CON 104) Intermediate Contracting, CON 202, (C) concentrates on management functions of all phases of contracting. Emphasis is placed on problem analysis and resolution, two major management functions. It is anticipated that knowledge acquired through previous courses and on-the-job training will be applied throughout this course. Case studies and practical exercises offer ample opportunity to apply knowledge and past experience in analyzing problems and formulating decisions. In addition, discussions of alternative solutions and the identification and evaluation of relevant facts help students develop depth-of-knowledge in the complex areas of contracting. This course is specifically designed for intermediate-level personnel in the contracting series. Preaward contracting concentrates on management functions and contracting problem analysis and resolution. Case studies and classroom activities in the preaward phase help students use ethical principles and develop decision-making skills relevant to the management of a wide variety of Government acquisitions. (19 class days) (Prerequisite: Fundamentals of Contracting, CON 101) Incentive Contracting (D/E) is a comprehensive course that addresses the full spectrum of contract types ranging from firm-fixed-price to cost-plus-fixed-fee, with a particular emphasis on award-fee and incentive contracts. Through discussion and individual and group exercises, the course addresses Government policy; selection and negotiation of contract type; and description, application, and limitations of all variations of fixed-price, cost reimbursement, and incentive contracts. This course will also address indefinite-delivery, time and materials, and cost sharing contracts. Upon completing the course, the participant will be able to recognize the major elements of a fixed-price-incentive (FPI) structure and to graph the share ratio line. Skills to define the major elements of a cost-plus-incentive-fee (CPIF) structure and to calculate amounts of incentive fee for multiple incentives will be acquired. The major elements of cost-plus-award- fee (CPAF) contracts will be discussed and a recommended award fee amount will be computed. Major topics include contract types, FPI and CPIF contracts, multiple incentive contracts, CPAF contracts, and administrative issues. (4.5 class days)

CANCELE D CANCELE D DOE O 361.1A Chapter I, Appendix A 4-19-04 A-3 Performance-Based Contracting (PBC) (D/E) is a specialized course focusing on the acquisition of routine, recurring services. Performance-Based Contracting is designed to give both technical and contracting personnel a general knowledge of the basic principles of PBC. The course covers writing a PBC statement of work, developing incentive contract structures (both positive and negative), developing a PBC quality assurance plan, and monitoring contractor performance. The course also describes the roles of the surveillance team and the quality assurance plan. Students develop a performance requirements summary stating the standard performance with the Quality Assurance Plan and maximum defect rates. Different methods of surveillance and instructions on how to decide which method to use are also reviewed. (4.5 class days) Performance-Based Contracting for Nonroutine Supplies and Services (D/E) covers the essential elements of performance-based contracting as they pertain to nonroutine supplies and services (e.g., research and development efforts), the differences between PBC for routine services and nonroutine services, and the development of performance-based work statements. The course also discusses problems in developing the project surveillance plan and its importance. Contractor performance and the differences between oversight surveillance and surveillance by insight and the juxtaposition of these two philosophies as they relate to PBC policy disseminated by the Office of Federal Procurement Policy are also addressed. Methods of incentive contracting and the importance of multiple incentive contracts within the context of PBC are major course considerations. This course is recommended for all contracting personnel, project/program managers, and contracting officer representatives. (4.5 class days) Level III. (Advanced) Courses Contract Specialist GS-13 and above Advanced Business Solutions for Mission Support, CON 353, (C) is designed for Level II certified and experienced contracting professionals who require Level III certification. Learning takes place in a setting engaging contracting professionals in contributing to rapidly developing and supporting mission requirements. Working in teams, students compare and contrast complex situations; experience best practices; and then develop, evaluate, and recommend sound business solutions. Students will learn to use a course “Community of Practice” to include contributing performance resources for the workforce. Students will also talk with expert practitioners and have an “insight” discussion with a senior leader. (9.5 class days) Project Management Overview (C) provides an introduction to the use of projects to accomplish goals, produce products, deliver services, and meet objectives. It examines a variety of organizational settings and issues through case studies, scenarios, and real-life projects. The role of the project manager in managing the project life cycle is addressed including defining tasks, scheduling, estimating, allocating resources, monitoring, and controlling. Tools, techniques, and tips for successful project management will also be presented. (5 class days) Source Evaluation Board (SEB) (D/E) provides a comprehensive overview of the SEB process used in major procurements (>$50 million). Sessions are structured to expose participants to the entire SEB process using the FAR and DOE FAR Supplement procedures. The course will provide information about the SEB process and tools/techniques associated with the activity.

CANCELE D CANCELE D Chapter I, Appendix A DOE O 361.1A A-4 4-19-04 The process includes roles and organizations, contents of statements of work, schedules, evaluation factors (Section L and Section M of requests for proposals), scoring, briefing the source selection official, and writing the selection statement. Although the process focuses on awarding under the new procedures with initial proposals, how to conduct discussions and compile best and final offeror evaluation results will be reviewed. Debriefing the successful and unsuccessful offerors will be discussed. (4.5 class days) GS-1105 Series Level I. (Entry) Courses Purchasing Agent GS-05 Fundamentals of Contracting, CON 101, (C) is a general survey course in contracting basics for personnel just entering or those with up to 3 years of practical experience in the field of contracting. It covers the broad range of contracting procedures prescribed by FAR, the Department of Energy Acquisition Regulations and Procurement Guidebook, applicable statutes, ethics, policies, and other pertinent authorities that govern contracting operations. (20 class days) Level II. (Intermediate) Courses Purchasing Agent GS-07 through 08 Intermediate Contracting, CON 202, (C) concentrates on management functions of all phases of contracting. Emphasis is placed on problem analysis and resolution, two major management functions. It is anticipated that knowledge acquired through previous courses and on-the-job training will be applied throughout this course. Case studies and practical exercises offer ample opportunity to apply knowledge and past experience in analyzing problems and formulating decisions. In addition, discussions of alternative solutions and the identification and evaluation of relevant facts help students develop depth-of-knowledge in the complex areas of contracting. This course is specifically designed for intermediate-level personnel in the contracting series. Preaward contracting concentrates on management functions and contracting problem analysis and resolution. Case studies and classroom activities in the preaward phase help students use ethical principles and develop decision-making skills relevant to the management of a wide variety of Government acquisitions. (19 class days) (Prerequisite: Fundamentals of Contracting, CON 101) Level III. (Advanced) Courses Purchasing Agent GS-09 and higher Government Contract Law, CON 210, (C) provides information about the effect of Government contract law on daily decision making in acquisition. It introduces basic legal principles and sources of contract law as they apply to the Government’s acquisition of supplies, services, and construction. Court cases and administrative decisions (Government Accounting Office, Boards of Contract Appeals) are discussed, emphasizing the law’s effect on Government-contractor relationships and ethics and how to avoid and handle legal disputes. This course is designed for intermediate-level personnel who have some experience with Government contracting and are responsible for contract formation or management. (10 class days) CANCELE D CANCELE D CHAPTER II. PERSONAL PROPERTY MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE DOE O 361.1A II-1 4-19-04 1. INTRODUCTION. Consistent with the intent of Policy Letter 97-01, the Department of Energy (DOE) has identified personal property management as a critical acquisition-related career field. Accordingly, the DOE/National Nuclear Security Administration (NNSA) Personal Property Management Career Development (PPMCD) Program is a mandatory certification program.

2. PERSONAL PROPERTY MANAGEMENT FIELD. The property management career field has many career disciplines that support procurement activities, including industrial property management specialists, property administrators, organization property management officers, contract specialists, motor vehicle managers, etc. The career field involves policies and procedures for the management of Government personal property and includes property management operations Department-wide. 3. ROLES AND RESPONSIBILITIES. The DOE procurement executive is responsible for implementation of the DOE PPMCD Program. Functional management, including design and content of curriculum, has been delegated to the director, Office of Resource Management, DOE Headquarters (HQ), who will serve as the Department’s personal property management career manager. The Acquisition Career Development (ACD) Program director is responsible for day-to-day administration and management of the certification program. The NNSA procurement executive is responsible for implementation of the NNSA PPMCD Program. Functional management, including design and content of curriculum, has been delegated to the deputy director, Office of Procurement and Assistance Management, NNSA HQ, who serves as the NNSA personal property management career manager. The NNSA ACD Program manager is responsible for the day-to-day administration and management of the certification program. 4. PERSONAL PROPERTY MANAGEMENT CAREER DEVELOPMENT PROGRAM. The PPMCD Program has established three levels of training, each with a core curriculum of personal property management courses. The program will provide the opportunity for employees to apply course knowledge and skills to analyze and resolve on-the-job issues. Completion of core courses in a logical sequence is necessary so that the appropriate level of knowledge is available for performance at a particular level and that later courses can build on the knowledge gained from earlier courses. 5. CORE CARREER PATH CURRICULUM. The core courses necessary to provide the DOE personal property management workforce with the knowledge base necessary to support the Department’s mission are outlined below. Level I (GS-5–GS-7) Contract Property Administration Fundamentals Fundamentals of Contracting Level II (GS-9–GS-12) Intermediate Contract Property Administration Government Contract Law CANCELE D CANCELE D II-2 DOE O 361.1A 4-19-04 Level II (cont’d.) Contract Property Disposition Demilitarization Course Personal Property and Nonproliferation Course Level III (GS-13–GS-15) Contract Property Systems Analysis Contract Property Management Seminar Advanced Government Property Management All of the core courses are developed and taught by the Defense Acquisition University (DAU). Other sources, as approved by the PPMCD Program career manager, may be used to acquire the core courses. Equivalencies will be granted for certificates issued by the National Property Management Association or the U.S. Department of Agriculture (USDA) Graduate School Property Management certification program. In addition to the core subjects, DOE and NNSA have identified desired courses that cover specific areas of personal property management requiring more in-depth coverage. Appendix A identifies the core and desired courses along with a description of these courses. 6. PROPERTY MANAGEMENT APPOINTMENTS. Employees should understand that

opportunities for appointments in the career field are limited to employees with the requisite level certification unless waived by the procurement executive. 7. CONTINUOUS LEARNING (CL)/CONTINUING EDUCATION (CE). To remain current in personal property management knowledge, skills, and techniques, personal property managers will obtain 80 hours of CL/CE every 2 years. If employees are in GS-1102 series positions and perform a mix of contracting and personal property management, CL/CE should include both functional areas. These requirements should be viewed as a complement to the contracting requirements and not a requirement to complete 80 hours of CL/CE both in contracting and in personal property management, rather a total of 80 hours of CL/CE in a combination of areas. CANCELE D CANCELE D DOE O 361.1A Chapter II, Appendix A 4-19-04 A-1 APPENDIX A. CORE AND DESIRED COURSES Core Courses Level I. (Entry) Courses GS-5 through GS-7 Contract Property Administration Fundamentals (Basic Property) (IND 101)—This course is designed for industrial property management specialists, property administrators, and other Government personnel who manage Government property. It is also designed to provide contracting officers, program managers, team leaders, and others with a comprehensive understanding of contract, regulatory and statutory requirements for the management and administration of Government property. The focus of this course is property administration and the management of Government property, which includes material, facilities, special tooling, special test equipment, and Agency peculiar property. Pertinent topical areas include the Government’s policy on providing property to contractors and exceptions to the policy, acquisition, classification, control, protection, maintenance, and disposition. (5 class days) Fundamentals of Contracting (CON 101)—This course is a general survey course in contracting basics for personnel just entering or those with up to 3 years of practical experience in the field of contracting. It covers the broad range of contracting procedures prescribed by the Federal Acquisition Regulation (FAR), the Department of Energy Acquisition Regulations and Procurement Guidebook, applicable statutes, ethics, policies, and other pertinent authorities that govern contracting operations. (20 class days) Level II. (Intermediate) Courses GS-9 through GS-12 Intermediate Contract Property Administration (IND 201)—This course is designed for experienced property/asset management personnel, property administrators, their supervisors, and other Government personnel whose duties and responsibilities are related to the management of Government property controlled by contractors. Major course topics include the planning and organization of the overall functions of property administration including the property control system, liability, and disposition. Emphasis is placed upon critical analysis of current management policy and practice at three levels: top management, field activity management, and contractor management. Primary consideration is given to setting and attaining objectives, implementation of advanced management techniques, and identifying and analyzing current problem areas. Students who have not had IND 101 (Basic Property) will have a difficult time understanding the advanced nature of material presented in this course. (5 class days)

Government Contract Law (CON 210)—This course provides information about the effect of Government contract law on daily decision making in acquisition. It introduces basic legal principles and sources of contract law as they apply to the Government’s acquisition of supplies, services, and construction. Court cases and administrative decisions (Government Accounting Office, Boards of Contract Appeals) are discussed, emphasizing the law’s effect on Government/contractor relationships and ethics and how to avoid and handle legal disputes. This CANCELE D CANCELE D Chapter II, Appendix A DOE O 361.1A A-2 4-19-04 course is designed for intermediate-level personnel who have some experience with Government contracting and are responsible for contract formation or management. (10 class days) Contract Property Disposition—This course is designed to enhance the skill of Government personnel performing contract property disposition functions. Participants analyze the responsibilities of disposal and property management personnel and their relationships with contractors and contractor employees engaged in the disposition of Government property furnished in the support of contracts. Topics include contract property disposition, regulations and guidance contained in the FAR and implementing regulations, and ethical principles are explained and discussed. Demilitarization Course—This course has been modified to address the Federal and Departmental policies, procedures, and issues regarding demilitarization, export control, and firearms. Personal Property and Nonproliferation Course—This course will provide participants with a basic understanding of proliferation-sensitive equipment, materials, and technology and the United States nuclear nonproliferation and export control policies, statutes, regulations, directives, and guidelines that are relevant to DOE property and technical information. Level III. (Advanced) Courses GS-13 through GS-15 Contract Property Systems Analysis—This course builds a solid foundation in audit principles and techniques for entry-level property administrators and industrial property management specialists. The course covers contractual and regulatory requirements for establishing and maintaining a system to control all Government property for which the contractor is responsible and accountable. The instructional process underscores the importance of property control system requirements and provides the tools necessary for the property administrator to plan and perform a property control systems analysis. Contract Property Management Seminar (IND 202)—This course is designed for property administrators, industrial property management specialists, and organization property management officers (OPMOs) at both field and Headquarters locations. The seminar builds upon the introductory and intermediate contract property courses. Participants analyze problems, solutions, policies, and programs that impact the property administration function. Property administrators collaborate in developing management and problem-solving strategies and examine priorities and goals with the property administration office. Leadership, communication, professionalism, ethics, and team building are emphasized. Participants discuss property management initiatives and new ideas developed in their own organizations and explore the challenges and problems faced by property administration offices. Methods of instruction include case studies and critical incidents, simulations, guided discussions, and group projects. Guest lecturers, teaching interviews, and round table discussions expose participants to new ideas and trends. (5 class days)

CANCELE D CANCELE D Advanced Government Property Management—This course is designed for senior property managers at both field level and staff locations. The seminar builds upon the intermediate property management courses by introducing the participants to case studies that involve complex property transactions. The seminar participants will analyze problems and policies, develop solutions, and collaborates with other students to develop management and problem-solving strategies. Participants discuss current laws and new property management initiatives and explore the challenges and problems facing the property management profession. Methods of instruction include case studies, simulations, discussions, and group projects. Guest lecturers, teaching interviews, and other forums will expose participants to new property management ideas and trends. DOE O 361.1A Chapter II, Appendix A 4-19-04 A-3 Desired Courses Storage and Warehousing—Participants will learn to lay out, establish, manage, and operate a typical storage and warehousing project with optimum use of horizontal and vertical space. Property Management for Custodial Officers—Participants will learn the life cycle of personal property, including requirement determination, sources available to fill the need, receiving and accountability, and removal from the custodial area when no longer required. Basic Occupational Safety and Health Administration Training—Students will gain an overview of the general concepts, standards, and procedures promulgated by the Occupational Safety and Health Administration regulations of the Department of Labor. Introduction to Basic Analytical Skills in Supply Management—Participants will apply analytical skills to the selection and justification of equipment replacement through trade-ins, quality upgrades, safety considerations, Code of Federal Regulations Guidelines [Federal Property Management Regulations (FPMR) and FAR] replacement standards and financial analysis. Motor Vehicle Management/Fleet Management—Students will learn to implement the process of life-cycle management of individual motor vehicles and fleet management, registration, identification, exemptions and records. Intermediate Contract Administration (CON 202)—Students will learn the management functions of all phases of contracting. Emphasis is placed on problem analysis and resolution, two major management functions. It is anticipated that knowledge acquired through previous courses and on-the-job training will be applied throughout this course. Case studies and practical exercises offer ample opportunity to apply knowledge and past experience in analyzing problems and formulating decisions. In addition, discussions of alternative solutions, and the identification and evaluation of relevant facts, help students develop depth-of-knowledge in the complex areas of contracting. This course is specifically designed for intermediate-level personnel in the contracting series. Preaward contracting concentrates on management functions and contracting problem analysis and resolution. Case studies and classroom activities in the preaward phase help students use ethical principles and develop decision-making skills relevant to the management of a wide variety of Government acquisitions. CANCELE D CANCELE D Chapter II, Appendix A DOE O 361.1A A-4 4-19-04

Grant Administration—Students will learn of the various ways the Federal Government manages and administers grant-in-aid programs and gains an understanding of the grants management process with regard to the numerous avenues for the control and disposition of Government property. Inventory Management—Students will learn of budget practices and storage policies for the management and control of supplies, materials and various types of equipment. Project Management Overview—Students are introduced to the use of projects to accomplish goals, produce products, deliver services, and meet objectives. A variety of organizational settings and issues are examined through case studies, scenarios, and real-life projects. The role of the project manager in managing the project life cycle is addressed including defining tasks, scheduling, estimating, allocating resources, monitoring, and controlling. Tools, techniques, and tips for successful project management will also be presented. CANCELE D CANCELE D DOE O 361.1A III-1 4-19-04 CHAPTER III. FINANCIAL ASSISTANCE CAREER DEVELOPMENT PROGRAM MODULE 1. INTRODUCTION. Within the Department of Energy (DOE)/National Nuclear Security Agency (NNSA), contract specialists often award and administer financial assistance instruments in addition to acquisition contracts; however, the Federal standards do not address financial assistance careers or offer a training curriculum. To ensure that its contract specialist workforce is as qualified in the award and administration of financial assistance as they are in acquisition, DOE offers its employees training resources. The application of the Office of Federal Procurement Policy’s policy letter concepts to financial assistance responsibilities will improve the effectiveness and efficiency of DOE’s contract workforce. Implementation of a DOE financial assistance training and career development certification program will help in meeting the career development objectives of Executive Order (E.O.) 12931, “Federal Procurement Reform,” dated October 13, 1994. This program provides the information and guidelines to plan career development programs for procurement professionals performing financial assistance duties to enable them to become more competitive for higher-level positions in acquisition-related fields. 2. FINANCIAL ASSISTANCE QUALIFICATION STANDARDS. The DOE financial assistance community is composed of GS-1102 contract specialists, and the Office of Personnel Management qualification standards are relevant but not fully sufficient for performing financial assistance duties. Contract specialists performing financial assistance in addition to, or in place of, acquisition duties must also meet the certification requirements established by this program, which include completion of the courses listed in Chapter 3, Appendix A. 3. ROLES AND RESPONSIBILITIES. Each individual performing financial assistance

work, working in conjunction with his or her supervisor’s career guidance and the opportunities presented for career growth, is ultimately responsible for his or her career progression and development in DOE/NNSA. However, overall responsibility for DOE/Financial Assistance Career Development (FACD) Program implementation rests with the DOE procurement executive. Organizational management has been delegated to the director of the Office of Procurement and Assistance Policy, DOE Headquarters (HQ), who will serve as DOE’s financial assistance career manager. This office is responsible for FACD policy, design and content of the recommended curriculum, identification of the critical financial assistance related duties, and tasks in which, at a minimum, employees in the financial assistance career path must be competent to perform at full performance grade levels. The director of the HQ Acquisition Career Development (ACD) Program is responsible for the day-to-day administration and management of the program. Within NNSA, overall responsibility for NNSA/FACD Program implementation rests with the NNSA procurement executive. Organizational management has been delegated to the deputy director, Office of Procurement and Assistance Management, NNSA HQ, who will serve as NNSA’s financial assistance CANCELE D CANCELE D III-2 DOE O 361.1A 4-19-04 career manager. The NNSA ACD Program manager is responsible for the day-to-day administration and management of the program. In planning their careers, individuals should pursue the training and growth opportunities offered them and request increasingly difficult and challenging assignments, enter a mentoring relationship, become involved with professional societies, and seek education and training outside the FACD curriculum and other DOE/NNSA course offerings. 4. FINANCIAL ASSISTANCE CERTIFICATION PROGRAM. Financial assistance award and administration in DOE is performed by contract specialists. The FACD Program is built upon the skills acquired by the contract specialists in the performance of their acquisition duties and the training provided by the Contracting/Purchasing ACD Program. This is possible because of the similar skills required for acquisition and financial assistance. These skills include planning, preparing solicitation documents, proposal analysis, cost analysis, negotiation, selection of award instrument type, financing performance, audits, preparing award documents, debriefing, administration, monitoring, terminations, and closeout. Certification is the process through which the financial assistance career manager determines that an individual meets the requirements (training, and experience) established for a career level in the financial assistance career field. Contracting activities are expected to ensure that contract specialists involved in the award and administration of financial assistance attain the training necessary for certification. Contract specialists who perform financial assistance work on an occasional basis are not required to pursue this supplemental training. Contracting officer warrants that include financial assistance will require the successful completion of the FACD courses. (See Chapter 7 for training required to be granted a contracting officer warrant.) 5. CAREER PATH CURRICULUM. The FACD Program will provide employees the

opportunity to analyze and resolve on-the-job performance issues and methods or techniques to determine their levels of proficiency. The FACD Program curriculum is designed to provide students with the necessary financial assistance skills and with experience in a wide range of thinking, approaches, and practices. The required courses are listed below. Detailed course descriptions are provided in Appendix A. Federal Financial Assistance Cost Principles OMB Circulars A-21, A-87, A-122 and FAR 31.2 Federal Funds Management 6. CONTINUOUS LEARNING (CL)/CONTINUING EDUCATION (CE). To remain current in financial assistance, financial assistance specialists are required to obtain 80 hours of CL/CE or training every 2 years. If employees perform a mix of acquisition and financial assistance responsibilities, CE should include both functional areas. (These requirements should be viewed as a complement to the acquisition requirements and, therefore, total training hours do not necessarily have to exceed 80 hours every 2 years.) CANCELE D CANCELE D DOE O 361.1A III-3 (and III-4) 4-19-04 7. RELATION TO OTHER ACQUISITION WORKFORCE PROGRAMS. The FACD complements the Contracting/Purchasing Career Development Program required of all GS-1102 Federal personnel. The FACD Program is directed primarily at contract specialist/financial assistance career employees; however, other members of the acquisition workforce may benefit from financial assistance training. For example, cost and price analysis personnel, contracting officer representatives, and sponsoring program personnel. Contracting activities are encouraged to tailor courses such as these for such employees. Cost/price analysts, for example, would benefit from the cost principles, and Federal funds management courses of this curriculum. CANCELE D CANCELE D DOE O 361.1A Chapter III, Appendix A 4-19-04 A-1 (and A-2) APPENDIX A. FINANCIAL ASSISTANCE CAREER DEVELOPMENT AND CERTIFICATION CURRICULUM The following courses have been approved for the Financial Assistance Career Development and Certification Curriculum and are to be completed by individuals who are routinely working with financial assistance instruments in order to satisfy certification requirements under this program. Federal Financial Assistance. This course introduces students to the basic processes and applications of the Federal financial assistance program. Entry-level personnel who take this course will gain the ability to negotiate, award, and administer a Federal financial assistance instrument. Evening reading is required. Topics include types of assistance, overview of assistance requirements, selection process, determining and negotiating award details, making the award, and postaward management of an assistance instrument. Students gain in-depth experience with cooperative agreements and the key feature that distinguishes these instruments from other award instruments (i.e., awarding Agency substantial involvement). (5 class days) Cost Principles—Office of Management and Budget (OMB) Circulars A-21, A-122, and A-87. In this course, students gain a firm grounding in the basic premises underlying all sets of cost principles and practical experience applying each set of cost principles to assistance agreement situations. Students will discuss reasonableness and allocability of costs, classify costs as typically direct or indirect, and determine the allowability of selected items of cost. The course will include discussion of highly visible problems (e.g., lobbying costs). Acquisition budget negotiations will be contrasted to financial assistance budget analysis. Students will perform a cost analysis of a grant budget and identify cost areas requiring explanation. (2 class days)

Federal Funds Management. Students will gain the basic skills needed to determine whether current and prospective Federal award recipients have adequate business systems and are capable of managing Federal funds, whether a determination of financial responsibility is possible, and when it may be necessary to impose special award conditions. Students will discuss and develop special award conditions. Students will review a recipient’s business management systems to identify deficiencies and determine appropriate corrective actions and will use cost reports and audit reports to assess a recipient’s management capabilities. Students will gain an in-depth understanding of the audit requirements for Federal grants. Students will review OMB Circular A-133 audit requirements, review audit report excerpts, and discuss the significance of audit findings and an adequate recipient response. Major topics include OMB Circular A-133, A-133 Compliance Supplement, General Accounting Office Yellow Book, American Institute of Certified Public Accountants audit standards, audit process, major program determinations, assessing program risk, internal controls and compliance testing, monitoring the auditor’s performance, single audit reporting, followup, and resolution. Students also learn when and under what circumstances they may need to obtain special audits of their own. (2 class days) CANCELE D CANCELE D DOE O 361.1A IV-1 4-19-04 CHAPTER IV. PROJECT MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE 1. OBJECTIVES. To establish requirements and responsibilities for the Department of Energy (DOE) Project Management Career Development Program (PMCDP), including instituting certification, knowledge, and development requirements for all DOE project directors with line management responsibility for DOE capital asset projects (CAPs). 2. BACKGROUND. The Department recognizes the criticality of successful projects, and project management has become a focal point of improvement efforts. Project management centers of excellence (e.g., project management offices), training programs, and organization change programs to improve project management practices are increasingly common parts of Departmental strategic plans to improve organizational effectiveness. In 1998, DOE defined its acquisition workforce to include contract specialists/contracting officers, purchasing agents, financial assistance specialists, property managers, and project directors under DOE’s umbrella directive DOE O 361.1, Acquisition Career Development Program, dated 11-10-99, establishing training and certification requirements for the acquisition workforce. In 2001, the effort to develop a formal training and certification program was initiated by the Deputy Secretary, consistent with recommendations from internal DOE reports, General Accounting Office reports, and a 1999 National Research Council Report. As a result of the importance of projects to the Department, on January 17, 2001, the Deputy Secretary of Energy directed the DOE Office of Engineering and Construction Management (OECM) to establish the DOE PMCDP. This program has defined necessary DOE project management knowledge, skills, and abilities; DOE project management training requirements; a DOE career development tracking system; and a DOE project management certification program. The Deputy Secretary directed OECM to develop a PMCDP module to be included in DOE O 361.1, as a component of the DOE acquisition workforce program. On March 31, 2003, the Deputy Secretary directed implementation of DOE M 413.3-1, Project Management for the Acquisition of Capital Assets, dated 3-28-03. A key change introduced in the manual is the change in title of Federal “project manager” to “project director.” The PMCDP Module establishes a well-defined career path for project directors that includes certification, minimum training and continuing education (CE) requirements, and project responsibilities that are commensurate with clearly defined qualifications. The PMCDP has been approved by the Office of Management and Budget and the Office of Personnel Management.

3. APPLICABILITY. a. Primary DOE Organizations, Including NNSA Organizations. Except for the exclusions in paragraph 3c, this Order applies to all Primary DOE Organizations (see Attachment 1 of this Order for a complete list of Primary DOE Organizations). This Order automatically applies to Primary DOE Organizations created after it is issued. CANCELE D CANCELE D IV-2 DOE O 361.1A 4-19-04 Note that only the NNSA Administrator can direct NNSA employees. Wherever this Order gives direction to NNSA employees, it should be understood that this direction is provided only for the convenience of the Administrator and is not intended to assume or replace the authority of the Administrator’s direction. b. Contractors. The requirements in the PMCDP Module do not apply to DOE/NNSA contractors. c. Exclusions. This Order does not apply to the Bonneville Power Administration. Waivers to certification requirements set forth in this Order must be obtained in accordance with the applicable program module. 4. REQUIREMENTS. a. DOE project directors must attain the following certification levels before they are delegated authority for CAPs with the following total project cost (TPC) limits. • Certification Level 4: TPC exceeding $400 million (M) • Certification Level 3: TPC between $100M and $400M • Certification Level 2: TPC between $20M and $100M • Certification Level 1: TPC between $5M and $20M The TPC is an aggregate dollar value for all projects currently managed by an individual. At the discretion of the field element manager, with program Secretarial Officer and OECM concurrence, project director positions for projects with greater complexity, visibility, and/or importance may be designated for a higher certification level than the TPC, as shown above, might otherwise justify. (This provision also applies to projects with TPC less than $5M). b. DOE project directors must be certified according to the guidance contained in this module (Appendix A) and separately issued certification and equivalency guidelines (CEG) and have their certifications approved by the DOE Certification Review Board (CRB) or the NNSA Administrator, as appropriate. c. Field element managers or their designees will approve the completion of individual competencies and requirements. d. A CRB will be established and cochaired by the OECM director and the Administrator, NNSA, or their designees and will issue all project management certifications. For NNSA employees, the CRB will make certification recommendations to the NNSA Administrator who will approve the certification actions. e. The director of the OECM and the Administrator, NNSA, will approve project management certifications, subject to the provisions of paragraph 4d above, CANCELE D CANCELE D DOE O 361.1A IV-3 4-19-04 within 24 months of having all certification elements of the PMCDP in place and performing as necessary to support the effective implementation of the certification guidelines described in Appendix A. This phased approach to implementation provides time for OECM to complete all PMCDP design and implementation activities and for affected programs and projects to plan, budget, and schedule program- and project-specific PMCDP implementation requirements. (1) This module does not have a “grandfather” provision for project management certification, and the CRB will not issue a certification based solely on the candidate’s incumbency before the effective date of DOE O 361.1.

(2) During the 24-month transition period, incumbent project directors will retain their project management functions and authorities. (3) Field element managers and OECM will use equivalencies as appropriate during this 24-month phase-in period. (4) Incumbent project directors who fail to attain certification within the 24-month transition period will be ineligible for project director promotions or lateral transfers to other project director positions. f. The CRB will approve the project director’s certification according to the certification requirements included in Appendix A of this module. The CRB must ensure education, experience, grade, training, skills, and knowledge are commensurate with delegated project management authorities. OECM will issue guidelines for equivalencies (the CEG). g. To maintain certification, project directors must biennially complete 60 hours of CE development. (Appendix A contains an explanation of credit-to-hour equivalencies.) h. All candidates for PMCDP certification must have individual development plans (IDPs) that address planned training and course work, details, rotational assignments, mentor-protégé assignments, and other developmental activities defined in this module. i. All waivers will be approved by a formal memorandum from the director of OECM or his/her designee. 5. RESPONSIBILITIES. a. Program Secretarial Officers and Field Element Managers (including operations offices, site offices, area offices, project offices, and service centers). (1) Ensure their Federal project directors are certified according to this module and at the appropriate level (i.e., Level 1, 2, 3, or 4) before authority for projects is delegated to those individuals. CANCELE D CANCELE D IV-4 DOE O 361.1A 4-19-04 (2) Identify and select DOE project management certification candidates and identify their respective CAPs within 90 calendar days of the effective date of DOE O 361.1. (3) Select candidates based on the qualification requirements in the PMCDP Module and submit applications for project director certification to the CRB for review and approval within 12 months of selection for new hires, reassignments, or promotions/advancements. (4) Direct project directors’ supervisors to identify training needs for each project director according to the requirements of this module, and budget for these recurring project management training needs on an annual basis. (5) Ensure project directors are provided the appropriate developmental assignments and experience needed to progress to higher levels of certification. (6) Ensure project directors develop and execute IDPs consistent with the training, experience, and development requirements defined in this module. (7) Ensure appropriate training and CE requirements are satisfied in a timely manner to maintain the project director’s certification. (8) Refer all incumbent project directors to the Headquarters CRB for certification. (9) Approve individual competencies (requirements) and track the certification status of project directors. (10) Provide OECM with quarterly updates of each project director’s project assignments, training, developmental assignments, and certification status. (11) Ensure training and certification records for project directors are accumulated and maintained in the DOE Corporate Human Resource Information System (CHRIS)/Employee Self-Service (ESS). (12) Ensure each project director’s training and certification records are accurate and are maintained in both the DOE CHRIS/ESS and auditable files.

(13) Reassign Federal employees whose certifications are cancelled under paragraph 5c(9) of this module to duties other than the management of DOE CAPs, and cancel any incentive pay provided under paragraph 5a(17). (14) At the discretion of the field office manager and commensurate with contract management practices at the site, provide certified project CANCELE D CANCELE D DOE O 361.1A IV-5 4-19-04 directors with formal contracting officer representative authority once project directors have received the required training and their technical contract administration competency is verified. (15) Nominate project directors as candidates for the industry rotation program sponsored by the Office of Management, Budget and Evaluation, Management Services Division, as developmental assignments. (16) Establish a project management function that— (a) serves as a “homeroom” for project directors; (b) assigns Level 4 mentors to Level 3 project director candidates; (c) establishes a voluntary mentoring program for Level 1 and Level 2 project directors; (d) provides a forum for exchanging ideas, sharing lessons learned, and conducting technical presentations and workshops; (e) tracks the project director’s career path to ensure training, developmental activities, and experiences are being provided and used in a manner consistent with the PMCDP defined in this module; and (f) tracks and reports PMCDP performance measures as identified and requested by OECM. (17) Provide incentives to high performing project directors who attain certification and hold project management positions by providing incentives in addition to base pay (subject to budget availability), as follows: (a) PMCDP Level 1—5 percent of base pay; (b) PMCDP Level 2—7.5 percent of base pay; and (c) PMCDP Levels 3 and 4—10 percent of base pay. (18) Develop any required incentive pay justifications. (19) Identify project directors for rotational assignments and details based on the developmental needs of the project directors. (20) Appoint Subject Matter Experts (SMEs) for each competency contained in the PMCDP, as listed in the CEG. CANCELE D CANCELE D IV-6 DOE O 361.1A 4-19-04 b. Field Element Managers (including operations offices, site offices, area offices, project offices, and service centers). In addition to responsibilities identified in paragraph 5a, field element managers will do the following. (1) Direct field-level project management SMEs to determine equivalencies for certification candidates using guidelines established by OECM. (2) Ensure PMCDP certification is used as a quality ranking factor in all relevant project management vacancy announcements. (3) Conduct panel interviews for Level 1 and 2 certification as deemed necessary and appropriate. (4) Use model project director position descriptions developed by the Office of Human Resources [paragraph 5d(6)] to the maximum extent practical. (5) Pay for Project Management Institute Project Management Professional testing fees. (6) Direct field training coordinators to track the completion of competencies and CE units in the DOE CHRIS/ESS. (7) Maintain auditable records of project director training. (8) Establish DOE project director homeroom systems that track and advocate the career development of DOE Federal project directors. c. Director, Office of Engineering and Construction Management.

(1) Selects membership (using program and field nominations) to and cochairs the CRB; conducts initial panel interviews and followup interviews, as necessary, of all Level 3 certification candidates and Level 4 certification candidates that are new DOE hires; and issues project director certifications (subject to the provisions of paragraph 4d for NNSA employees) in accordance with Appendix A to this module. (These responsibilities may be delegated one level.) (2) Ensures all DOE CAP project directors are certified according to the requirements of the PMCDP Module. (3) As cochair of the CRB, and in coordination with the NNSA Administrator, approves all waivers for Level 1 through Level 4 candidates. [Note: Responsibility may be delegated per paragraph 5c(1) above.] (4) Develops an annual complexwide project director needs assessment and statistics on project director retention using CHRIS. (5) Tracks the development of certified project directors, and notifies project directors and their supervisors of training and developmental needs. CANCELE D CANCELE D DOE O 361.1A IV-7 4-19-04 (6) Develops, issues, and maintains PMCDP guidance and the Project director CEG. (7) If an incumbent project director fails to attain approved certification in the 24-month transition period, provides notification to the incumbent project director and his/her supervisor that the candidate has 90 days to attain certification. If the candidate has not attained certification after the 90-day period, notifies the project director and his/her supervisor that the incumbent project director is not certified to manage CAPs at the TPC level currently managed. (8) Reviews quarterly reports on CE status and provides 90-day notification to certified project directors and their supervisors of pending revocation of certification when CE requirements for maintaining certification are not met. (9) Unless extenuating circumstances such as illness or military service prevent a project director notified under paragraph 5c(8) from remedying identified deficiencies, revokes certification after the 90-day notification period has been exceeded without appropriate remedial action, and notifies the project director’s supervisor that the certification has been revoked. 1 (10) Establishes, in conjunction with the Office of Management Systems and Services, formal agreements between public and private sector organizations to provide certified project directors rotational assignments and details. (11) Reviews and approves CE credits and preapproves training equivalencies for courses not specifically listed in the core training requirements defined in Appendix A of this module. (12) Annually evaluates project management training needs and ensures appropriate training capacity is available through the Office of Human Resources Management or other sources. (13) Establishes, tracks, and reports PMCDP performance measures to the Deputy Secretary on an annual basis. (14) Assists program offices and field elements in developing any required justifications for pay incentives. (15) Assists program offices and field elements in developing any required justifications for pay incentives. 1Formerly certified project directors will be considered eligible to apply to OECM for recertification after revocation of certification. The individual must successfully complete 60 hours of training in appropriate subjects before such application. CANCELE D CANCELE D IV-8 DOE O 361.1A 4-19-04

(16) Manages the initial, recurring training, including prototype, for 18 months past the implementation date. (a) Ensures appropriate training that satisfies the training requirements defined in this module is available to DOE project directors. (b) Ensures priority for placement in training courses and in developmental assignments is given to incumbent project directors. d. Director, Office of Human Resources. (1) Supports the PMCDP through maintaining certification records, training and development needs, and project assignments on the DOE CHRIS. (2) Works in concert with OECM to transition the training management responsibility to the Office of Training and Human Resource Development after 18 months of initial delivery from the implementation date. (a) Provides continuing support for the PMCDP by ensuring appropriate training that satisfies the training requirements defined in this module is available to DOE project directors. (b) Ensures priority for placement in training courses and in developmental assignments is given to incumbent project directors. (3) Ensures PMCDP certification is used as a quality-ranking factor in all relevant project management vacancy announcements. (4) Ensures appropriate pay incentives are awarded for attainment of PMCDP certification and subsequent high performance in accordance with paragraph 5a(17) of this module. (5) Assists OECM, program offices, and field elements in developing any required justifications for pay incentives. (6) Develops and maintains model project director position descriptions for each of the four levels of PMCDP certification. e. Certified Project directors. (1) Maintain certifications according to requirements of the PMCDP Module. (2) Ensure their IDPs reflect the training, CE, and work and development requirements defined in Appendix A. (3) Provide feedback on the effectiveness of the PMCDP certification program, identifying additional training and CE needs. (4) Assist with training, mentoring, and certification of other project directors. CANCELE D CANCELE D DOE O 361.1A Chapter IV, Appendix A 4-19-04 A-1 APPENDIX A. DOE PROJECT MANAGEMENT CAREER DEVELOPMENT PROGRAM I. BACKGROUND On January 17, 2001, the Deputy Secretary of Energy directed the Office of Engineering and Construction Management (OECM) to institute a career development program that would establish Department of Energy (DOE) project management knowledge, skills, and abilities (KSAs); training requirements; a career development tracking system; and a certification program. The Deputy Secretary directed OECM to develop a Project Management Career Development Program (PMCDP) module to be included in DOE O 361.1, Acquisition Career Development Program, dated 11-10-99, as a component of the DOE acquisition workforce program. Promulgation of the PMCDP Module through DOE O 361.1 formally institutionalizes the PMCDP. The PMCDP establishes a well-defined career path that includes certification, minimum training and continuing education (CE) requirements, and project responsibilities that are commensurate with qualifications. II. DOE PROJECT MANAGEMENT CERTIFICATION The DOE PMCDP establishes guidelines for four certification levels corresponding to progressively more project responsibility and experience and higher job grades. The four certification levels are as follows. • Level 4: Incumbents responsible for projects with total project cost (TPC) exceeding $400 million (M).

• Level 3: Incumbents responsible for projects with TPC between $100M and $400M. • Level 2: Incumbents responsible for projects with TPC between $20M and $100M. • Level 1: Incumbents responsible for projects with TPC between $5M and $20M. The TPC-based responsibility levels derive from DOE O 413.3, Program and Project Management for the Acquisition of Capital Assets, dated 10-13-00. The TPC is an aggregate dollar value of one or more projects under the project director’s authority. (Projects may be assigned higher levels of certification for a given TPC than listed above for reasons such as complexity, risk, and visibility.) OECM has developed a detailed set of KSAs that are necessary to effectively manage projects or groups of projects with specific TPC ranges. OECM also has developed a set of training, experience, and development requirements to enable project directors to gain these KSAs. This section describes the training and developmental activities necessary to attain the KSAs required at each level of certification and project responsibility. In addition to these certification requirements, Level 3 candidates must successfully complete DOE Certification Review Board (CRB) panel interviews. New DOE hires for positions requiring Level 3 or Level 4 certification must also successfully complete CRB panel interviews. CANCELE D CANCELE D Chapter IV, Appendix A DOE O 361.1A A-2 4-19-04 Project directors who were incumbents at Levels 3 or 4 before the date of issuance of DOE O 361.1 do not have to complete the CRB panel interview. OECM compared the content of the Project Management Institute Project Management Professional (PMP) certification requirements to the training, work, and development activity requirements needed to attain the PMCDP KSAs. The PMP certification was determined to provide some equivalencies to Level 1 and 2 requirements; therefore, the PMP certification can be used to satisfy a portion of the training and work and development activity requirements for those levels. The PMP certification does not provide equivalency at Levels 3 and 4. The additional training and work and development activity requirements identified below for individuals with the PMP certification are considered to be gained through Federal government or DOE-specific work and development activities and training. With PMP certification, there are a total of 11 training course requirements and 8 work and development activities identified as necessary to attain the highest level of certification. These requirements are broken out for each of the respective levels in the following certification standards. Table 1 provides a summary of the number of requirements both with and without the PMP certification. In addition to the PMP certification, a Professional Engineer (PE) or Registered Architect (RA) license provides both— • Level 1 equivalency for a 1-year assignment as a project engineer or integrated project team (IPT) member and • Level 2 equivalency for a 1-year assignment as a project engineer or IPT member on a post-Critical Decision-3 (post-CD-3) project (see DOE O 413.3) with an architecture/engineering (A/E) firm or DOE management and operating (M&O) contractor. The DOE CRB, cochaired by the director of the OECM or his/her designee, will grant project management certification based upon the following certification requirements. 1. CERTIFICATION REQUIREMENTS FOR A LEVEL 1 PROJECT DIRECTOR.

a. The candidate must have documentation that the following named courses and/or courses in the listed subject areas, as appropriate, have been successfully completed. (1) Level I Project Management, with the following conditions: (a) Module I of the Level I Project Management Course (PM Essentials) or PMP certification and (b) Module II of the Level 1 Project Management Course (PM System and Practices in DOE), with or without the PMP. (2) A course on earned value management systems and project reporting or PMP certification. CANCELE D CANCELE D DOE O 361.1A Chapter IV, Appendix A 4-19-04 A-3 (3) A course on the fundamentals of contracting, contract types, bid and evaluation, and PBI contracting or the PMP certification. (4) A course on contracting officer’s representatives (CORs). (5) A course on acquisition strategy and planning. Table 1. Department of Energy Project Management Career Development Program Comparison of Training and Work/Development Requirements Project director Certification Level Certification Requirements With PMP* Certification Without PMP Certification Level 1 Training Courses 3(Courses) 6(Courses) Work/Development Activities 0(Activities) 2(Activities) Level 2 Training Courses 3(Courses) 5(Courses) Work/Development Activities 3(Activities) 3(Activities) Level 3 Training Courses 3(Courses) 3(Courses) Work/Development Activities 3(Activities) 3(Activities) Level 4 Training Courses 2(Courses) 2(Courses) Work/Development Activities 2(Activities) 2(Activities) *Project Management Institute Project Management Professional. b. The candidate must complete work and development activities that include the following: (1) 1 year’s experience as a project engineer or IPT member, PMP certification, or a PE or RA license and (2) 3 years’ total experience in project management or PMP certification. CANCELE D CANCELE D Chapter IV, Appendix A DOE O 361.1A A-4 4-19-04 2. CERTIFICATION REQUIREMENTS FOR A LEVEL 2 PROJECT DIRECTOR. a. The candidate must have successfully completed all the Level 1 project director requirements. b. The candidate must have documentation of successful completion of the following. (1) All of the following Level 2 core courses: (a) Level 2 Project Management Course (Advanced PM Concepts), (b) Project Management Simulation, (c) Leadership and Supervision, and (d) either PMP certification or a course on project risk management. (2) One of the following elective courses: (a) Cost and Schedule Estimating; (b) Scope Management, Baseline Development, and Work Breakdown Structure Development; (c) Value Engineering; (d) Integrated Safety Management; or (e) Federal Budget Process. c. The candidate must complete the following work and development activities: (1) 1 year’s experience in supervision or as a team leader; (2) 2 years’ experience as a Level 1 project director or equivalent; and (3) 1 year on a post-CD-3-phase project, serving as a project engineer with an A/E firm or DOE M&O contractor, or a PE or RA license. This requirement will not apply to project directors who are incumbent project directors on DOE projects as of the effective date of DOE O 361.1 and are certified at Level 2 within 2 years of the effective date of the Order. In addition, this requirement may be waived by OECM, in consultation with the appropriate program directors and field managers, for project directors with more than 10 years of Federal experience in project management roles.

CANCELE D CANCELE D DOE O 361.1A Chapter IV, Appendix A 4-19-04 A-5 3. CERTIFICATION STANDARD FOR A LEVEL 3 PROJECT DIRECTOR. a. The candidate must have successfully completed all the Level 1 and Level 2 project director requirements. b. The candidate must have documentation of successful completion of the following. (1) Program Management and Project Portfolio Analysis. (2) One of the following elective courses (Group A): (a) Operational Readiness Reviews, (b) Preproject Planning/Project Alignment, (c) Systems Engineering, or (d) National Environmental Policy Act (NEPA) and Environmental Regulations. (3) One of following elective courses (Group B): (a) Labor Management Relations, (b) Performance Based Contracting, (c) Negotiation Strategies and Techniques, or (d) Facilitation Techniques and Conflict Resolution. c. The candidate must have work and development activities that include— (1) a minimum of 2 years’ experience as a Level 2 project director or equivalent, (2) being mentored by a Level 4 project director for 6 months, and (3) serving for 1 year as a COR. d. The candidate must successfully complete a CRB panel interview. 4. CERTIFICATION REQUIREMENTS FOR LEVEL 4 PROJECT DIRECTOR. a. The candidate must have successfully completed all the Level 1, 2, and 3 project director requirements. CANCELE D CANCELE D Chapter IV, Appendix A DOE O 361.1A A-6 4-19-04 b. The candidate must complete the Level 4 Project Management Course and one of the following elective courses: (1) Advanced Leadership, (2) Advanced Risk Management, or (3) Strategic Planning. c. The candidate must have the following work experience and development activities: (1) 2 years’ experience as a Level 3 project director or equivalent and (2) 1 year in program management at DOE Headquarters. This requirement will not apply to project directors on DOE projects as of the effective date of DOE O 361.1 who are certified at Level 4 within 2 years of the effective date of the Order. In addition, this requirement may be waived by OECM, in consultation with the appropriate program and field managers, for project directors with more than 10 years of Federal experience in project management roles. d. Candidates for Level 4 certification who have successfully completed the panel interview for Level 3 certification do not require a panel interview to attain Level 4 certification; however, incumbents hired from outside DOE to occupy Level 4 project management vacancies must successfully complete CRB panel interviews. III. TRAINING REQUIREMENTS The training requirements listed in Section II of this appendix include both the core and elective course requirements for certification at each certification level. A full description of each course is provided in the PMCDP curriculum. 1 The Office of Human Resources Management will provide training on each of the topics listed in Section II and described in the PMCDP curriculum. The project director can also acquire training from other sources, including training provided by OECM-approved commercial vendors, site-specific training programs, and course work provided by accredited colleges and universities. Such training must be shown to be equivalent to the training requirements contained in the PMCDP curriculum and accordingly approved.

Each certified project director is required to successfully complete 60 hours of training biennially to maintain certification. Certified project directors and Level 1 candidates should fulfill the CE credit requirements/requirements necessary to progress to the next level of certification and project authority by completing the training courses listed in Section II of this appendix. 1 See Section II.1.a. CANCELE D CANCELE D DOE O 361.1A Chapter IV, Appendix A 4-19-04 A-7 Certified project directors and Level 1 candidates serving on IPTs may fulfill their training requirements and CE credits through various sources including colleges, universities, training venders, short courses, and workshops. OECM will develop and maintain a list of training opportunities that support topics specified in Section II of this appendix. In addition to the subject areas listed in Section II, the director of OECM or his/her designee will approve CE credits and education in subjects related to the management of highly technical DOE projects. These subject areas may include such topics as accounting, applied mathematics and statistics, engineering, physical sciences, hazardous material management, environmental management, maintenance management, and logistics. Certified Level 4 project directors will have fulfilled all of the training requirements listed in Section II. It is, therefore, expected that these individuals will fulfill their CE requirements through completing the electives listed in Section II, leading project management-related workshops and seminars, and serving as mentors to Level 3 certification candidates (serving as a mentor to a Level 3 candidate for 6 months provides 30 CE credits). The Level 4 mentor is expected to take the Departmental mentoring course offered as part of the DOE Technical Leadership Development Program (see DOE M 426.1-1, Federal Technical Capability Manual, dated 6-5-00) and will receive CE credits in accordance with the description of CE credit assignments in Table 2. IV. INDIVIDUAL DEVELOPMENT PLANS Project directors and their supervisors are expected to know and understand the training required and developmental needs to be met to maintain certification and to progress to higher levels of certification and project authority. a. Work and Development Activities. The work and development requirements listed in Section II of this appendix consist of a range of activities. The duration of these work and development activities ranges from 1 to 3 years. Project directors and their supervisors need to plan and coordinate these assignments in the project directors’ individual development plans (IDPs) to ensure timely progression to higher levels of certification. b. Rotational Assignments. OECM and the Office of Management Systems and Services will establish agreements with public and private sector organizations to provide project directors with high-quality rotational assignments and details. These assignments are intended to assist project directors in completing work and development activity requirements and also serve as a means of acquiring a greater depth of experience outside of DOE and the Federal government. c. Mentor-Protégé Program. A mentor-protégé arrangement provides the protégé with access to experienced DOE project directors who can provide guidance and advice in informal, nonsupervisory settings. Section II of this appendix requires a Level 3 candidate to be mentored by a Level 4 project director for 6 months. The Level 3 candidate should work with his/her supervisor and OECM to identify a Level 4 mentor and document developmental needs and mentor program plans in his/her IDP.

CANCELE D CANCELE D Chapter IV, Appendix A DOE O 361.1A A-8 4-19-04 Table 2. Continuing Education Credit Assignments Training/Continuing Education (CE) Opportunity Description Unit DOE CE Credit Educational portions of technical meetings, conferences, workshops, and seminars; DOE training; and focused training and short courses provided by commercial vendors 1 hour = 1CE hour Academic courses at an accredited college or university 1 semester credit 1 quarter credit = 15 CE hours 9 CE hours Audited academic courses at an accredited college or university 1 semester credit 1 quarter credit = = 5 CE hours 4 CE hours Presentations at workshops, conferences, and seminars 1 formal presentation = 5 CE hours Instructing at an accredited college or university 1 semester credit 1 quarter credit = = 10 CE hours 9 CE hours d. Interviews. To become certified as either a Level 3 or Level 4 project director, a new hire from outside DOE must complete a rigorous oral examination conducted as an interview by the CRB. Candidates from within DOE must also successfully complete a CRB interview. The candidate and his/her supervisor should include plans for coordinating and scheduling interviews through OECM if the candidate is anticipating progression to Level 3. The PMCDP curriculum contains a detailed outline of KSAs and the types of information the candidate will be expected to understand during the interview process. The project director and his/her supervisor should identify appropriate formal or informal exercises to prepare the Level 3/Level 4 candidate for the interview, including dry runs or mock interviews. This preparation should begin at least 6 months before the scheduled interviews. If the candidate does not successfully complete the CRB interview, additional developmental work and a successful second interview will be required. e. 360 0 Feedback. 360 0 Feedback will be used to assess certification candidates’ capabilities and developmental needs. Such feedback will be provided solely to the candidate and will be used in developing his/her IDP and in preparing for Level 3/Level 4 CRB interviews. V. CAREER PATH PROMOTIONS The Department is committed to recruiting and retaining highly qualified entry level project directors and developing and training these individuals to progress to the highest levels of certification and authority. After the PMCDP is institutionalized through implementation of CANCELE D CANCELE D DOE O 361.1A Chapter IV, Appendix A 4-19-04 A-9 (and A-10) DOE O 361.1 and a well-defined career path for merit-based promotions has been established, DOE elements will internally and competitively promote certified project directors to higher levels of certification and responsibilities in accordance with the requirements in DOE O 320.1, Acquiring and Positioning Human Resources, dated 9-6-02. VI. RECRUITING AND RETAINING DOE FEDERAL PROJECT DIRECTORS The Department’s line management organizations have the challenge to recruit, hire, and retain high quality, skilled project directors. It is the responsibility of the program, operations, and field offices to recruit highly qualified project directors. Several incentives promulgated through Federal laws and regulations are available to enhance the Department’s ability to recruit project directors. Major recruitment incentives defined and established in Office of Personnel Management (OPM) regulations include the following:

• recruitment bonuses, • relocation bonuses, • superior qualifications appointments, • excepted service hiring authority, • dual compensation restriction waivers, and • travel (relocation) expenses. Line management organizations, to the extent practicable, will use these incentives and flexible hiring tools to hire high quality project directors who would otherwise decline Federal service for the commercial sector. Important retention incentives promulgated in OPM regulations include the following: • retention allowances, • relocation bonuses, • Agency awards, and • quality step awards. The use and applicability of these important tools is summarized in DOE G 426.1-1, Recruiting, Hiring, and Retaining High-Quality Technical Staff; a Manager’s Guide to Administrative Flexibilities, dated 12-10-98. CANCELE D CANCELE D DOE O 361.1A V-1 (and V-2) 4-19-04 CHAPTER V. PROGRAM MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE (RESERVED) CANCELE D CANCELE D DOE O 361.1A VI-1 (and VI-2) 4-19-04 CHAPTER VI. CONTRACTOR HUMAN RESOURCE MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE (RESERVED) CANCELE D CANCELE D DOE O 361.1A VII-1 4-19-04 CHAPTER VII. CONTRACTING OFFICER/CONTRACTING OFFICER REPRESENTATIVE TRAINING REQUIREMENTS 1. INTRODUCTION. Contracts may only be entered into and signed on behalf of the Government by contracting officers (COs). The term “contract” includes all types of commitments that obligate the Government to an expenditure, including those at or below the micropurchase threshold. “Financial assistance” means the transfer of money or property to a recipient or subrecipient to accomplish a public purpose of support or stimulation authorized by Federal statute. The term includes grants and cooperative agreements. This module provides specific training requirements for individuals who wish to be delegated CO or contracting officer representative (COR) authority in contracting, financial assistance, sales, micropurchase, and simplified acquisition. DOE O 541.1A, Appointment of Contracting Officers and Contracting Officer’s Representatives, dated 10-27-00, establishes procedures governing the selection, appointment and termination of COs and for the appointment of CORs. 2. CONTRACTING OFFICER/CONTRACTING OFFICER REPRESENTATIVE QUALIFICATION STANDARDS. The CO and COR workforce comprises many career fields that support acquisition activities. These career fields include contracting, purchasing, property management, financial assistance, project management, program management, and contractor human resource management. Each of these fields has certification requirements, and members of the career field are required to be certified to a level commensurate with their responsibilities. Before appointment as a CO or a COR, applicants must be certified under their appropriate career fields. 3. ROLES AND RESPONSIBILITIES. The term “CO” refers to a person with the authority to enter into, administer, and/or terminate contracts and make related determinations and findings. This term includes certain authorized representatives of the CO, acting within the limits of their authority as delegated by the CO. These CORs perform certain technical functions in administering a contract. The COR is not authorized to perform any function that results in a change in the scope, price, terms, or conditions of the contract. Specific responsibilities for COs and CORs are detailed in DOE O 541.1A. 4. TYPES OF WARRANTS AND DELEGATIONS.

a. Contracting Officers. There are 10 categories of warrants, categorized by functional areas. These categories include the following. (1) Procurement contracts, including inter-Agency acquisitions and sales contracts. (2) Grants and cooperative agreements. (3) Loans and loan guarantees. CANCELE D CANCELE D VII-2 DOE O 361.1A 4-19-04 (4) Government purchase card and DOE/C-Web Purchases up to $25,000 for open market purchases and Federal Supply Schedule purchases. (5) Simplified acquisitions and orders against Federal Supply Schedules for $25,000 to $100,000 using the Government purchase card, DOE/C-Web, purchase orders, or delivery orders. (6) Individual transaction up to $2,500 if using Government purchase card. (7) Nonacquisition personnel with unrestricted warrants. (8) NON-1102, administrative only, warrants. (9) Resident engineer, administrative only, limited to the following: (a) issuing change orders (see FAR 43.2), with an estimated amount not to exceed $50,000, in accordance with the procedures at FAR subpart 43.2; (b) specific contracts, with the authority expiring upon completion of the contracts; and (c) no authority to issue modifications to contracts to definitize change orders. (10) Real property. b. Contracting Officer Representatives. (1) COR designations are not required for financial assistance. (2) CORs for management, operating/management, integration, and performance-based contract arrangements are subject to the same appointment requirements as other CORs. (3) Under limited conditions, non-Government personnel may be appointed as CORs on an as-needed bases. (a) The procurement executive’s approval to appoint non-Government personnel as CORs must be obtained in advance of the designations. (b) Such non-Government personnel— 1 would be subject to the same training requirements as Government CORs and 2 would not be allowed to perform inherently Governmental functions. CANCELE D CANCELE D DOE O 361.1A VII-3 4-19-04 5. CONTRACTING OFFICER/CONTRACTING OFFICER REPRESENTATIVE CURRICULUM. Function Experience Minimum Training Highly Desirable Training Procurement contracts, inter-Agency agreements and sales contracts At least 5 years of progressively complex and responsible experience in negotiation/sealed bidding and performing business administration of procurement. Extensive experience in the GS-1102 or GS-1105 job series, or directly comparable military experience as a contracting officer is highly desirable Certified Level II under the Contracting and Purchasing Career Development (CPCD) (contracting) Program Architect/Engineering Contracting Construction Contracting Advanced Cost Type Contracts ADP Procurement Contracting for Commercial Services Grants and cooperative agreements At least 3 years of progressively complex and responsible experience in negotiating and performing business administration of grants and/or cooperative agreements Certified Level II under the CPCD (contracting) Program AND certified under the Financial Assistance Career Development (FACD) Program Property Management CANCELE D CANCELE D VII-4 DOE O 361.1A 4-19-04 Function Experience Minimum Training Highly Desirable Training Loans and loan guarantees At least 1 year of progressively complex and responsible experience in negotiating and performing business administration of price supports, guaranteed market agreements, loans, and loan guarantees. Banking experience is highly desirable.

Certified Level II under the CPCD (contracting) Program AND certified under the FACD Program Government purchase card and DOE/C-Web for purchases of up to $25,000 (applies to open market purchases and Federal Supply Schedule purchases) At least 6 months of Government purchase card and DOE/C-Web buying for micropurchases Certified Level I under the CPCD (purchasing) Program; half-day Government purchase card seminar, entitled Guidelines and Operating Procedures for the Use of the Government Purchase Card, conducted by the Office of Headquarters Procurement Services; 1-day Government-wide purchase card course; and DOE/C-Web operational training class conducted by the Office of Management Systems 2-day Micropurchase Procedures course CANCELE D CANCELE D DOE O 361.1A VII-5 4-19-04 Function Experience Minimum Training Highly Desirable Training Simplified acquisitions and orders against Federal Supply Schedules for $25,000 to $100,000 using the Government purchase card, DOE/C-Web, purchase orders, or delivery orders At least 1 year of Government purchase card and DOE/C-Web buying for purchases up to $25,000 Same as for purchases up to $25,000 (above) Individual transactions up to $2,500 if using Government purchase card As established by the field element manager At least 8 hours covering credit card purchases, such as— (1) self-instruction using training materials from the Government purchase card program, (2) a 1-day training course on the Government purchase card program, or (3) other appropriate training as established by the field element manager Same as for purchases up to $25,000 (above) Non-1102 personnel with unrestricted warrants At least 5 years of progressively complex and responsible experience in negotiation/sealed bidding and performing business administration of procurement. Extensive experience in the GS-1102 or GS-1105 job series or directly comparable military experience as a contracting officer is highly desirable Certified Level II under the CPCD (contracting) Program CANCELE D CANCELE D VII-6 DOE O 361.1A 4-19-04 Function Experience Minimum Training Highly Desirable Training Non-1102, administrative warrant only, for any of the above functional areas Same as experience in relevant functional area except all years are reduced by 50 percent Certified Level I under the CPCD (contracting) Program and CON 210, Government Contract Law Resident engineer At least 1 year of appropriate Government experience as a contracting officer representative, project manager, or other equivalent experience. Certified Level I under the Project Management Career Development Program, and at least 40 hours covering Government Construction Contracting Real property At least 6 years of creditable experience in the Federal real estate field at least 1 year of which is at the journeyman level (GS-11 or above) in four distinct areas of specialty: acquisition by other than lease, leasing except for leases executed under the delegation of lease acquisition authority from GSA, leasing under delegation from GSA, and land management and disposal Certified under the DOE Real Estate Certification Program CANCELE D CANCELE D DOE O 361.1A VII-7 (and VII-8) 4-19-04 Function Experience Minimum Training Highly Desirable Training COR, non-management and operating/non- management and integration(non- M&O/non-M&I) Certification to required level in individual’s career field, if any, and completion of 24 hours covering contracting officer representative responsibilities

COR, M&O/M&I Certification to required level in individual’s career field, if any, and completion of 16 hours covering contracting officer representative responsibilities for M&O/M&I contracts 6. CONTINUOUS LEARNING (CL)/CONTINUING EDUCATION (CE). To remain current in acquisition knowledge, skills, and techniques, CORs will obtain 8 hours of formal refresher training every 2 years. The training will be in COR responsibilities and may be taken online through the Energy Online Learning Center, the Federal Acquisition Institute, or other training providers. 7. CONTRACTING OFFICER WARRANT REQUIREMENTS. All individuals who hold CO warrants, irrespective of job series, are required to obtain CL/CE hours consistent with their career field certification requirements. That is, a non-1102 holding an administrative warrant must be certified to Level I under the CPCD (Contracting) Program and take CON 210. To remain certified and therefore maintain the warrant, the individual must obtain 80 hours of CL/CE every 2 years. CANCELE D CANCELE D DOE O 361.1A VIII-1 (and VIII-2) 4-19-04 1. CHAPTER VIII. CONTINUOUS LEARNING/CONTINUING EDUCATION GUIDANCE BACKGROUND. The Acquisition Career Development (ACD) Program recognizes the importance of remaining current in emerging acquisition trends and issues and the importance of lifelong learning in pursuit of development. This is reflected in the requirement contained in each of the ACD program modules for a specific number of hours of continuous learning (CL)/continuing education (CE) every 2 years. 2. CONTINUOUS LEARNING/CONTINUING EDUCATION PURPOSE. CL activities may take many forms but generally should focus on enabling workforce members to stay current in their professions. Appendix A provides guidelines for crediting CL activities. a. b. 3. Acquisition professionals should participate in CL to— (1) stay current in acquisition-related functional areas; (2) complete mandatory and assignment-specific training required for higher levels of certification, through the highest level of the individual program; (3) complete “desired” training; and (4) participate in cross training. Individuals may enroll in academic courses of study to— (1) stay current in their basic disciplines, (2) broaden their disciplinary or functional specialties, (3) complete undergraduate degrees, (4) meet statutory academic standards for their career fields, (5) meet academic standards considered desirable in their career fields, (6) obtain advanced degrees in scientific or technical disciplines underpinning acquisition functions, or (7) obtain advanced degrees in business or management fields. (Appendix B contains a list of business courses and business-related course work.) DOCUMENTATION AND VERIFICATION. Documentation and verification of CL activities are the responsibility of the employee and supervisor. (Appendix C is an example of how this information can be documented.) CL hours should be updated quarterly on the Needs Assessment matrix issued to the training coordinators by the ACD Program Office. CANCELE D CANCELE D DOE O 361.1A Chapter VIII, Appendix A 4-19-04 A-1 APPENDIX A. GUIDELINES FOR CREDITING CONTINUOUS LEARNING ACTIVITIES Category Creditable Activities Point Credit1 (1 point=1CL/CE hour) Training DAU Certification Course DAU Continuing Acquisition Training DAU Assignment Specific Courses Other continuing acquisition training Team training Mentor training Training with industry2 Management/leadership training Equivalency exams3

10 per CEU2 10 per CEU2 10 per CEU2 1 per 60 minutes 1 per 60 minutes 1 per 60 minutes 60 per year 1 per 60 minutes Education Quarter hour Semester hour Associate of Arts BS/BA MS/MA PhD CEU Equivalency exams3 Auditing courses 10 per quarter hour 15 per semester hour 104 204 304 404 10 per CEU2 5 per semester/4 per quarter hour Experience On-the-job experiential assignments Rotational/broadening assignments Experience with industry IPT/special project team member/lead Mentoring 40 max. in 2 years 80 max. in 2 years 80 max. in 2 years 20 max. in 2 years 30 max. in 2 years Professional Activities Professional exam, license or certificate (e.g., CPA, PE) Active association membership Teaching/lecturing Symposium/conference participation Workshop/conference attendance Publications6: Texts Technical papers, monographs, etc. Consulting Patents 10 to 305 5 2 per 60 minutes of presentation (up to 20 max. in 2 years) 2 per 60 minutes of presentation (20 max. in 2 years) 1 per 60 minutes of content (8 max. per day) 25 to 40 10 to 25 10 to 25 15 to 405 CANCELE D CANCELE D Notes Chapter VIII, Appendix A DOE O 361.1A A-2 4-19-04 1Minimum requirement is defined in each functional career development program module. Documentation and verification are the responsibility of the employee and supervisor. 2Continuing education units (CEUs) are as defined by the certificate granting body. 3Equivalency exams taken in lieu of completing a DAU training course, or an academic course, may receive the same number of points that would be awarded for actual completion of the course. 4Points for degrees may be credited in addition to quarter-hour or semester-hour points, but only in the year in which the degree is awarded. 5A professional license or a patent award may be counted only in the year initially received. 6Publications may be credited only in the year published. Publication includes articles for professional magazines, journals, or other print/online media related to acquisition. Acronyms and Abbreviations (in the order in which they appear in the table) CL/CE=continuous learning/continuing education DAU=Defense Acquisition University CEU=continuing education unit BS=Bachelor of Science BA=Bachelor of Arts MS=Master of Science MA=Master of Arts PhD=Doctor of Philosophy max.=maximum IPT=Integrated Project Team CPA=Certified Public Accountant PE=Professional Engineer CANCELE D CANCELE D DOE O 361.1A Chapter VIII, Appendix B 4-19-04 B-1 APPENDIX B. ACQUISITION CAREER DEVELOPMENT BUSINESS AND BUSINESS RELATED COURSE WORK Business/Management Discipline Business Course Sample List Accounting Cost Accounting Standards Business Finance Business Communications Business and Personnel Business Statistics Cost Analysis Financial Planning and Analysis Inventory Management Resource Planning Risk Analysis Contracts Acquisition Contracting Acquisition Management Business Communications in Contracting Writing Business Contract Law Contract Administration Contract Law Contract Management Contract Pricing and Negotiation Contracting Management Cost and Price Analysis Government Contracting Government Contract Law Procurement Procurement and Contracting Procurement Management Economics Cost and Price Analysis Cost Analysis Economic Analysis Economic Principles and Decision Making Economics and Financial Management Economics Industrial Management Automated Systems in Logistics Management Civil Engineering Management Environmental Management Engineering and Analysis

Logistics and Material Management Manufacturing Management CANCELE D CANCELE D Chapter VIII, Appendix B DOE O 361.1A B-2 4-19-04 Industrial Management (cont’d.) Materiel Acquisition Process and Support Systems Property Disposal Management Supply Management Systems Management Systems Engineering Technology Warehousing Operations Law Commercial or Business Contracts Contract Law Organization and Management Business Administration Advanced Management Business Business Management Business and Personnel Management Computer Programming Computer Programming and Systems Development Computer Sciences, Data Processing Data Entry and Automated Systems Input General Management Human Resource Development Leadership and Group Decision Process Management Science Management and Leadership Managerial Analysis Manpower Management Materiel Management Methods of Adult Education Organizational Behavior Personnel Administration Principles of Management Quality and Reliability Assurance Research and Development Management Strategic Management Survey of Program Operations Purchasing Basic Purchasing Quantitative Methods Statistics Computer Sciences Decision Risk Analysis Operations Research Probability Statistic Quantitative Analysis Business Statistic CANCELE D CANCELE D DOE O 361.1A Chapter VIII, Appendix C 4-19-04 C-1 (and C-2) APPENDIX C. CONTINUOUS LEARNING DOCUMENTATION Name of Employee: _______________________________________________ Office Location: __________________________________________________ Employee’s Telephone Number: _____________________________________ Continuous Learning Activity: Location of Activity: ______________ Activity Dates(s): _____________ Duration or Number of Hours: ___________ Additional Explanation: ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ____________________________ ____________________________ Employee’s Signature Supervisor’s Signature ____________________________ ____________________________ Date Date CANCELE D CANCELE D DOE O 361.1A Attachment 1 4-19-04 Page 1 (and Page 2) PRIMARY DEPARTMENT OF ENERGY ORGANIZATIONS TO WHICH DOE O 361.1A IS APPLICABLE Office of the Secretary Chief Information Officer Office of Civilian Radioactive Waste Management Office of Congressional and Intergovernmental Affairs Office of Counterintelligence Departmental Representative to the Defense Nuclear Facilities Safety Board Office of Economic Impact and Diversity Office of Electric Transmission and Distribution Office of Energy Assurance Office of Energy Efficiency and Renewable Energy Energy Information Administration Office of Environment, Safety and Health Office of Environmental Management Office of Fossil Energy Office of General Counsel Office of Hearings and Appeals Office of Independent Oversight and Performance Assurance Office of the Inspector General Office of Intelligence Office of Legacy Management Office of Management, Budget and Evaluation and Chief Financial Officer National Nuclear Security Administration Office of Nuclear Energy, Science and Technology Office of Policy and International Affairs Office of Public Affairs Office of Science Secretary of Energy Advisory Board Office of Security Office of Security and Safety Performance Assurance Southeastern Power Administration Southwestern Power Administration Western Area Power Administration

CANCELE D CANCELE D OBJECTIVES CANCELLATIONS APPLICABILITY REQUIREMENTS RESPONSIBILITIES Senior Procurement Executive Career Managers Director, Acquisition Career Development Program Field Element Managers Acquisition Professionals REFERENCES DEFINITIONS CONTACT CONTENTS CHAPTER I. CONTRACTING AND PURCHASING CAREER DEVELOPMENT PROGRAM MODULE INTRODUCTION CONTRACTING SERIES QUALIFICATION STANDARDS ROLES AND RESPONSIBILITIES CONTRACTING AND PURCHASING CERTIFICATION PROGRAM Level I—Entry Level II—Intermediate Level III—Advanced CORE AND DESIRED/ELECTIVE CAREER PATH CURRICULUM DOE Core Curriculum NNSA Core Curriculum Elective Courses Alternate Education and Training Methods CONTINUOUS LEARNING (CL)/CONTINUING EDUCATION (CE) PROMOTIONS AND CONTRACTING OFFICER WARRANTS RELATION TO OTHER ACQUISITION WORKFORCE PROGRAMS APPENDIX A. LEVELS I, II, AND III MANDATORY AND DESIRED/ELECTIVE COURSES DESCRIPTION OF COURSES CHAPTER II. PERSONAL PROPERTY MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE INTRODUCTION PERSONAL PROPERTY MANAGEMENT FIELD ROLES AND RESPONSIBILITIES PERSONAL PROPERTY MANAGEMENT CAREER DEVELOPMENT PROGRAM CORE CARREER PATH CURRICULUM PROPERTY MANAGEMENT APPOINTMENTS CONTINUOUS LEARNING (CL)/CONTINUING EDUCATION (CE) APPENDIX A. CORE AND DESIRED COURSES CHAPTER III. FINANCIAL ASSISTANCE CAREER DEVELOPMENT PROGRAM MODULE INTRODUCTION FINANCIAL ASSISTANCE QUALIFICATION STANDARDS ROLES AND RESPONSIBILITIES FINANCIAL ASSISTANCE CERTIFICATION PROGRAM CAREER PATH CURRICULUM CONTINUOUS LEARNING (CL)/CONTINUING EDUCATION (CE) RELATION TO OTHER ACQUISITION WORKFORCE PROGRAMS APPENDIX A. FINANCIAL ASSISTANCE CAREER DEVELOPMENT AND CERTIFICATION CURRICULUM CHAPTER IV. PROJECT MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE OBJECTIVES BACKGROUND APPLICABILITY Primary DOE Organizations, Including NNSA Organizations Contractors Exclusions REQUIREMENTS RESPONSIBILITIES Program Secretarial Officers and Field Element Managers Field Element Managers Director, Office of Engineering and Construction Management Director, Office of Human Resources Certified Project directors APPENDIX A. DOE PROJECT MANAGEMENT CAREER DEVELOPMENT PROGRAM CHAPTER V. PROGRAM MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE CHAPTER VI. CONTRACTOR HUMAN RESOURCE MANAGEMENT CAREER DEVELOPMENT PROGRAM MODULE CHAPTER VII. CONTRACTING OFFICER/CONTRACTING OFFICER REPRESENTATIVE TRAINING REQUIREMENTS INTRODUCTION CONTRACTING OFFICER/CONTRACTING OFFICER REPRESENTATIVE QUALIFICATION STANDARDS CONTINUOUS LEARNING/CONTINUING EDUCATION GUIDANCE ROLES AND RESPONSIBILITIES TYPES OF WARRANTS AND DELEGATIONS Contracting Officers Contracting Officer Representatives CONTRACTING OFFICER/CONTRACTING OFFICER REPRESENTATIVE CURRICULUM CONTINUOUS LEARNING (CL)/CONTINUING EDUCATION (CE) CONTRACTING OFFICER WARRANT REQUIREMENTS CHAPTER VIII. CONTINUOUS LEARNING/CONTINUING EDUCATION GUIDANCE BACKGROUND CONTINUOUS LEARNING/CONTINUING EDUCATION PURPOSE DOCUMENTATION AND VERIFICATION APPENDIX A. GUIDELINES FOR CREDITING CONTINUOUS LEARNING ACTIVITIES APPENDIX B. ACQUISITION CAREER DEVELOPMENT BUSINESS AND BUSINESS RELATED COURSE WORK APPENDIX C. CONTINUOUS LEARNING DOCUMENTATION ATTACHMENT 1. PRIMARY DEPARTMENT OF ENERGY ORGANIZATIONS TO WHICH DOE O 361.1A IS APPLICABLE