Understanding the DOE Project Execution Plan
An interactive guide to navigating the requirements for one of the Department of Energy's most critical project management documents.
When Is a Project Execution Plan Required?
This interactive guide will help you determine if your project needs a PEP. According to DOE Order 413.3B, a PEP is the key governing document for capital asset projects. Answer the questions below to see how this applies to your work.
Is your project a 'capital asset' project?
This includes construction, major equipment acquisition, or environmental cleanup with a defined scope, schedule, and cost.
What is a Project Execution Plan?
The PEP is more than just a document; it's a foundational agreement for a project's success. It represents a formal understanding between the project's leadership and senior DOE executives on what will be delivered, when, and for how much.
Core Purpose
The PEP's primary function is to formally document the project's performance baseline (scope, schedule, and cost) and the management strategies that will be used to achieve it. It serves as the single, authoritative source for project goals and commitments.
Key Characteristics
- High-Level & Strategic: Focuses on the "what" and "why," not the day-to-day "how."
- An Agreement: Signed by key stakeholders, making it a formal commitment.
- Baseline Document: Establishes the official scope, cost, and schedule against which performance is measured.
- Living Document: Updated at major project milestones (Critical Decisions).
Key Components of a DOE PEP
A comprehensive PEP is structured to cover all critical aspects of project planning and management. While the exact format can be tailored, it must address these core areas. Click on the tabs below to explore each component.
Project Summary & Mission Need
This section sets the stage. It clearly defines the project's purpose, linking it directly to a specific DOE mission need. It answers the fundamental question: "Why is this project being undertaken?" Key elements include a project description, overall objectives, and the justification for the investment.
The PEP Approval Process
The PEP evolves and is formally approved in conjunction with the DOE's Critical Decision (CD) process. This ensures that the project plan is mature and realistic at each major stage of its lifecycle.
Before CD-1: Draft PEP
A preliminary PEP is developed before Critical Decision-1 (Approve Alternative Selection and Cost Range). This early version outlines the initial project scope, management approach, and provides a rough cost and schedule range.
At CD-2: Baseline PEP Approval
This is the most critical approval point. The PEP is finalized and formally approved at Critical Decision-2 (Approve Performance Baseline). At this stage, the scope, cost, and schedule are firmly established, and the PEP becomes the official Performance Baseline for the project.
At CD-3: Re-Affirmed PEP
Before starting construction or major execution (Critical Decision-3), the PEP is reviewed and updated to reflect any changes or more detailed planning. This re-affirmed PEP confirms readiness to proceed with the main phase of the project.
Post CD-3: Living Document
Throughout execution, the PEP is maintained as a living document. Any significant changes to the project's baseline must be managed through a formal change control process, which requires an approved update to the PEP.
PEP vs. Project Management Plan (PMP)
While they sound similar, the PEP and the PMP serve different purposes and audiences. The PEP is a high-level agreement with senior leadership, while the PMP is a detailed tactical plan for the project team. The chart below visualizes their core differences.
Project Execution Plan (PEP)
- Audience: Senior DOE Executives, Congress, Oversight Bodies.
- Purpose: Authorize the project. Establish the "what" (scope, cost, schedule baseline).
- Focus: Strategic. Defines success criteria and high-level governance.
- Nature: A formal agreement. Changes require high-level approval.
Project Management Plan (PMP)
- Audience: The Project Team, Contractors.
- Purpose: Guide project execution. Detail the "how" (processes, procedures, tools).
- Focus: Tactical. A detailed roadmap for day-to-day work.
- Nature: A living document, owned and updated by the project manager as needed.