U.S.

Department of Energy Office of Energy Efficiency and Renewable Energy

PROJECT MANAGEMENT PLAN

{State Building Energy Code Compliance Planning Assistance} {February 5th, 2011}
3

WORK PERFORMED UNDER AGREEMENT

DE-Fx26-0xNT{EE0003375}

SUBMITTED BY

{Alliance to Save Energy} {1850 M Street NW #600} {Washington, DC, 20036}

PRINCIPAL INVESTIGATOR

{Cosimina Panetti} {518-357-0602} {518-357-0292} {cpanetti@ase.org}

SUBMITTED TO

U. S. Department of Energy National Energy Technology Laboratory {Brett Aristegui}

[Brett.Aristegui@NETL.DOE.GOV]}

3
NOTE: { } denotes required information.

13
The Table of Contents (TOC) enables the reader to locate sections quickly. The tables and figures are listed after
the TOC if applicable.

Table of Contents
1. Executive Summary ......................................................................................................... 15
2. Risk Management ............................................................................................................ 15
3. Communications Management ....................................................................................... 19
4. Change Management ....................................................................................................... 19
5. Project Milestones ............................................................................................................ 20
6. Funding and Costing Profile ........................................................................................... 26
7. Project Schedule ............................................................................................................... 26
8. Success Criteria and Decision Points ............................................................................. 27
9. Scope Management Plan ................................................................................................. 28
10. Agreement Statement of Project Objectives ................................................................. 29
11. Reporting Requirements ................................................................................................. 38
12. Financial Management .................................................................................................... 38
13. Configuration Management ............................................................................................ 38
14. Project Organization and Structure............................................................................... 38
15. Work Breakdown Structure ........................................................................................... 38
16. Project Deliverables ......................................................................................................... 39
17. Quality Assurance ............................................................................................................ 41

Appendices

Appendix A – Acronyms .............................................................................................................. 42

Appendix B – WBS Element Definitions .....................................................................................

Appendix C – Resource Loaded Schedule ....................................................................................

Tables

Table 6.1 “Project Funding Profile” ............................................................................................ N/A

Table 6.2 Budget According to Task ........................................................................................... attached

Table 6.3 Spend Plan by Month ................................................................................................... attached

Figures

Figure 7.1 Project Timeline (Gantt Chart) ................................................................................... attached

 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

1. Executive Summary
The Alliance to Save Energy (Alliance) will assist states in planning and implementing long-term energy
code policies, practices, and programs and launching well-designed and enforced building energy codes. In
doing so, the Alliance will develop methodologies, templates, and other materials as needed to assist states
with developing plans to achieve compliance with their updated building energy code(s) by 2017 in at least
90% of new and renovated residential and commercial building space. The Alliance will market its State
Building Energy Code Planning services to states.

The Alliance will provide strategic field support for states including making field visits for attending
strategic planning meetings, report delivery meetings, and high-value events to network with local groups in
support of energy codes. Field support also includes performing state - specific codes needs assessments,
assisting to produce code compliance implementation plans, and providing advice on the adaptation of
successful code implementation mechanisms to specific state needs.

The Alliance will establish and maintain an online communications platform to facilitate collaboration on the
project with partners and stakeholders.

The Department of Energy (Department) may provide technical guidance throughout the project.

2. Risk Management
Project risk events are uncertain future events that, if realized, impact the success of the project. The
following table reflects the initial identification of significant technical, resource, and management issues
that have the potential to impede project progress.

The table provides a summary of the proposed approach to identify, analyze, and respond to perceived risks
associated with the proposed project.

Risk Likelihoo Impact Management / Mitigation

d (H/M/L)
(H/M/L)

Partner stakeholders, M H • Involve EEPs early

specifically EEPs,
disinterested in CPA • Solicit EEP involvement in
project due to extended recommending states to
workload or other factors. target for the program

• Solicit EEP input into

methodology and major
deliverable (compliance
plan)

• Clearly articulate how

project outcomes benefit

15
 the EEPs

• Clearly articulate how

project outcomes benefit
the states

• Stress low cost, no cost /

high benefits of
participation

o Assisting states is
within EEP
mission/Scope of
PNNL TA contract

o Through project
execution EEPs will
develop deep
supportive
relationship with
state entities

o EEPs have funding

(from PNNL) to
provide TA to states
for compliance
planning

• Recruit DOE support in

encouraging EEP
cooperation/collaboration
across projects

• Provide accurate and

current information and
understanding of specific
state conditions that
warrant high project
participation.

• Contact “orphan’ states and

provide deep marketing
approach to these states.

• Assess other BCAP activities

and how they may impact
project partner perception,

o Develop strategy to
mitigate adverse
 U.S. Department of Energy
States disinterested in
participation in program
Lengthy or difficult process
to set up key meetings in
states as a result of lack of
long term commitment to
project.
Office of Energy Efficiency and Renewable Energy
impact on project
partners
M H • Provide clear project
outcomes/benefits to
market the project correctly
• Stress low cost, no cost /
high benefit of participation
• Stress opportunity for
competitive advantage.
• Stress ARRA requirement
for 90% compliance by
2017
• Encourage DOE to provide
information and guidance to
states that raises interest in
developing 90% compliance
plans
• Expand on tasks that turn
templates into tools that
can be used by states
Approach DOE for modification
to SOPO
M M • Maintain an active and
engaged stakeholder base
with diverse partners in
each state selected for
participation.
• Ensure involvement of high-
level state partners to help
facilitate coordination of
meetings and engagement
of correct contacts.
• Develop high-impact
marketing resources to
facilitate understanding and
purpose of meetings.
• Obtain buy-in from high
level leaders (such as
Governors) to become
17

Potential state candidates
have long standing
barriers to energy code
adoption and/or upgrade.
Project stalled because of
delay on review and
signage of the state MOU
at the state level.
Project partners outside of
the control of the Alliance
office impede workflow by
failing to provide
review/input on a timely
basis.
endorsers of the project
Redirect resources to “stand-
by” states if project in a
specific state stalls out
M M • Provide key information
such as cost and benefit
resources to facilitate
acceptance of 2009 IECC
utilizing BCAP staff expert
on policy issues.
• Provide legislative
assistance and advocacy
that includes information on
the CPA project underway
and speaks to the benefits
of the upgrade or adoption,
including fulfillment of ARRA
requirements.
Develop project success
indicators which focus on
implementation at the local
level.
H L • PMP allows for work to
proceed without MOU and
with otherwise written
partnership agreement and
verbal agreement with
states.
• Redirect resources to
“stand-by” states if project
in a specific state stalls out
L H • Convene a project
partnership group with
representatives from
multiple key stakeholder
organizations to ensure
valuable input is received in
a timely fashion.
• Provide clear
communications on project
review/input needs
• Stress the importance of
maintaining strict
adherence to timelines and
 U.S. Department of Energy
Unforeseen staff changes
in the Alliance BCAP
office.
Project runs out of funding
before deliverables are
completed
New legislation impacts
the necessity of the
project
3. Communications Management
Communications management describes the communications needs and expectations for the project team
members. A communications plan may be formal or informal, highly detailed or broadly framed; it is
based on the requirements of the project stakeholders.
Office of Energy Efficiency and Renewable Energy
deadlines. Develop and
articulate to project
partners points where late
input will be rejected or
deferred to be addressed at
later stages in the project.
Maintain documentation on the
flow on materials and
information into and out of the
Alliance offices.
L H • Reallocate BCAP staff
resources between projects
(The Alliance BCAP office
has sufficient technical and
personnel depth to deliver
project.)
• Hire replacement staff
• Obtain DOE approval for
change in Principal
Investigator
• Develop and maintain
spend plan
• Control spend rate through
achievement of milestones
Leverage externally funded
partners to provide increased
level of support
• Convene project partners to
evaluate impacts and
discuss redirection of
project within scope
Approach DOE for changes to
SOPO scope
19
Over the course of the project, communications has ranged from regimented to unstructured. Currently,
communication outside of individual state’s team communication involves project status updates on weekly
staff calls and semi-monthly emails.

4. Change Management
Change management defines the process for managing change on the project, describing how change will
be monitored, controlled and documented within the project. This includes, but is not limited to, changes
to the plan, schedule, scope, and resources.

Change within the project team includes losing staff and gaining staff. Staff turnover is the main reason for
change and it creates issues with meeting deadlines because new staff has to be trained and more oversight is
needed of their work product. The Alliance to Save Energy is quick to lend staff from other numerous teams.
Job posting to fill staffing loss was made expediently but has not brought in many good applicants. Success
becomes a factor of maintaining flexibility and staff working overtime hours.

5. Project Milestones
The Applicant (Recipient) is to provide milestones for each budget period of the project. Each milestone is
to include a title, planned completion date and a description of the method/process/measure used to verify
completion. The milestones should be quantitative and show progression toward project goals and/or the
successful execution of budget. The Applicant (Recipient) will plan a milestone or milestones at least semi-
annually or every six months of the project schedule: however, milestones should not be developed to meet
this expected schedule. Milestones are different than success criteria (Section 6) in that milestones typically
show progress through the execution of the budget period and project, whereas success criteria are used by
the DOE to determine if specific goals were met at budget period ends or other appropriate points in project
execution.
Project Officers should format the milestone log as follows:

TASK MILESTONES WORK ACTIVITIES TARGET DATE

Task 1.0
-PMP
Revisions - Finalize Ongoing
Task 2.0 -
Communicati
on Platform
Create
Private
2.1 - Discussion Complete
Maintain Group on
Platform OCEAN
Promote
Discussion
Conmplete
Group to
partners
2.2 - Promote
Platform & Support
Quarterly
Moderate discussion
Dialog groups
 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

Identify relevant discussion topics to

support the project
The Department promotes platform
to EEPs
All Partners promote platform to
states
Monitor discussions and remove
inappropriate content
2.3 - Identify
Needed Report on
Quarterly
Products and State Needs
Services & Issues
Collect requests from CPA-
participating states regarding
energy code program needs
Collect information from EEPs on
identifying needs across regions.
Monitor online dialogue for state
needs.
Upload quarterly summary to CPA
site a
Submit summary to DOE as part of
quartery report
2.4 - Evaluate Site use
Effectiveness statistics Quarterly
of Platform summary
Compile and analyze Google
Analytics for the specific project
activity in the previous quarter
Submit summary to DOE as part of
quartery report
Report on
platform
Quarterly
effectivenes
s
Develop survey tool

Survey EEPs and participating states

Analyze results, develop
recommendations for improvements
Share recommendations with other
project partners
Make improvements to platform
either in-house or via subcontractor,
depending on technical constraints
and budget

21
 Develop written summary of
recommendations and
improvements made or deferred (if
applicable)
Create
2.5 - Track Online Complete
State Activity Reporting
Develop CPA
Section of
Complete
OCEAN web
site
Identify U.S.
NETL as
Complete
funders of
CPA
Draft text
NETL approves text
Post text
Upload
Information
on State Quarterly
Activity to
OCEAN
Work with states, EEPs, and state
contractors to collect updates on
code compliance activity
Update OCEAN content

Templates
for State
2.6 - Online Reporting - Quarterly
Tracking Progress &
Tools Needs
Meet with project partners to define
criteria for measuring progress
towards 90% compliance
Develop draft online tools that track
criteria from above activity for
states to use in collecting and
reporting (on OCEAN) their progress
towards 90% compliance and needs
for resources/info

Share drafts with project partners,

make changes/edits as appropriate
Contact/coach state partners on
using tools to communicate with
stakeholders; fallback option - BCAP
NETLs state reporting
 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

Provide assistance for use of tools

by additional states not
participating in CPA
Develop best
practices,
2.7 - online tools,
Resources for and other
States resources On-going
Develop draft online resources for
states

Share drafts with project partners,

including CPA state partners, make
changes/edits as appropriate
Upload resources to CPA section of
OCEAN
NETL Review
2.8 Drafts to and
On-going
NETL for Collaboratio
Review/Input n
Submit drafts to NETL
Review and provide comments
Revise as appropriate and post on
OCEAN
2.9 - NETL
Technical NETL Input Ongoing
Guidance to Project
Identify needed technical guidance
and submit request to NETL
Respond to requests
Task 3.0 -
Develop
Methodology
3.1 - Enlist Secure
Partner Partner Complete
Involvement Involvement
Develop Gap
Analysis
template -
Roadmap&A
Complete
ction Plan
3.2 - concept
Develop piece and
Templates template
Develop
Roadmap&A
Ongoing and state sp
ction Plan
Template

23
 Use Gap Analysis experience to
develop draft template
Solicit feedback from stakeholders
Use feedback to redesign and
revise, as necessary to develop
Roadmap&Action Plan template
Distribute all documents among
stakeholders for feedback
Use feedback to finalize the
Roadmap and Action Plan
template
3.3 - Submit Submit
Final Final Complete
Templates Templates
Submit
Final Complete
Templates
3.4 - NETL Finalize ongoing
Approval Templates
Per NETL guidance, revise templates
and reports
Submit final versions to NETL
Task 4.0 -
Promote complete
Services
Task 5.0 -
Gap Analysis
Develop 15-
18 written
5.1 - Enlist recommenda complete
state tions for
partners NETL
Develop
estimate
5.1.1 - methodology
Identify and complete
for
recommend developing
partners budget
5.1.2 -
Present
recommenda complete
tions to NETL
NETL approval
5.1.3 - Draft
partnership NETL complete
agreements approval
5.1.4 - 15-18
Obtain partnership complete
signed PAs agreements
 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

5.2 - Assist
States in
complete
Developing Form state
Gap Analysis teams
Deliver
written
5.3 - Collect Ongoing
comments to
Information NETL
Collect and compile data
Develop written comments on
findings
Submit to NETL
Complete 15
- 18 Gap
5.4 - Gap 2/29/2011
Analysis
Analysis Reports
Develop 15-18 Gap Analysis Report
Submit to NETL for review
Revision if needed
Presenting
5.5 Deliver Gap Analysis Beginning Feb. ongoing
Gap Analysis results to August 2011
Report states
Set up delivery and presentation
meeting
Participate in meeting
Draft trip reports as needed
Provide
NETL with
trip reports
quarterly
from all on-
5.6 - Trip site
Reports meetings
Draft trip reports ongoing
Task 6.0 -
Roadmap
and Action
Plan
6.1 - Enlist
State
Participants complete
for further
action
6.1.1 -
Identify
states for Draft of 10 complete
further recommende
action d states

25
6.1.2 -
Present
recommenda NETL complete
tions to approval of
NETL 10 states
6.1.3 Confirm
Contact state complete
selected involvement
states to NETL
6.2 Research Complete
and Assess Research on quarterly
Available 10 selected
Resources states
Develop state specific strategy
Create state specific travel plans
Collect and compile data per
template
6.3 Develop
Roadmap Draft 30-Aug
and Action documents
Plans to NETL
Dicussions with states on
recommendations and findings
Draft Roadmap and Action Plan
Develop written comments on
findings
Submit drafts to NETL and states for
review
Revision if needed
Final reports
6.4 Deliver Presentation
and Signoff of final
on Roadmap Roadmap Oct. 1
and Action and Action
Plans Plan
Set up delivery and presentation
meetings for 10 states
Attend meetings
Draft trip reports
Compile final report of total project
Deliver final report to NETL
 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

6. Funding and Costing Profile

The Applicant (Recipient) shall provide a table that shows, by budget period, the amount of government
funding going to each member and cost share provided by members. The table shall also calculate totals and
cost sharing percentages.

Table 6.1 “Project Funding Profile”

Not Applicable: no cost share to report

(Optional) Budget by Subtask - the budget may be shown according to task and subtask for each budget
period (see Table 6.2). This is not a required table for the PMP. Note that this is an additional table not
shown in Appendix D of the Project Management Guidelines.

Attached draft

Project Spend Plan - the Applicant (Recipient) shall provide a table that projects (at a minimum), by month,
the expenditure of the government funds in the current budget period (see Table 6.3). Although out-year
costing profiles can be less certain and the nature of specific tasks are typically dependent on the successful
or unsuccessful completion of the current RDD&D approach, the Applicant (Recipient) should provide
estimates of out-year costs to the extent practical. For additional information, refer to the Work Breakdown
Structure (WBS) Element Definitions (Appendix A), which shows spend plans by task and subtask.

Table 6.3: Spend Plan by Month

Email Attached Excel Spreadsheet

7. Project Schedule
The Applicant (Recipient) shall provide a timeline of the project broken down by each task and subtask.
Additional task information may include a start date, end date, and team members participating on the task.
The timeline should also show any interdependencies with other tasks and note the milestones identified in
the Milestone Log. The Applicant (Recipient) should consider using a commercial software package (i.e.,
Microsoft Project, Project.net) to generate the project schedule as a Gantt chart or other applicable format
(see Figure 7.1).

Figure 7.1: Project Timeline (Gantt Chart)

Email Attached Excel Spreadsheet

27
 8. Success Criteria and Decision Points
Success Criteria are different than milestones (Section 5) in that milestones typically show progress through
the execution of the budget period and project, whereas success criteria are used by the DOE to determine if
specific goals and objectives were met at budget period ends. Typically, these goals and objectives represent
requirements established by the RDD&D program as evidence of progress in advancing a technology area or
scientific/engineering knowledge. The success criteria may be used to assist DOE in deciding whether to
proceed into subsequent budget period(s), if required.

The following is the success criteria for each decision point in the project, per Task, including go/revise/no-
go decision points and the conclusion the entire project. Decision points include review and approval by
DOE (NETL COR) of materials developed for this project: frameworks/report templates/materials/draft
reports/final reports.

Task 1 Project Planning Success Criteria

PMP is mutually agreed upon by NETL and BCAP.
Weekly collaboration calls held as needed with NETL for review and collaboration.

Task 2 Communications Platform Success Criteria

Private discussion groups created on OCEAN, promoted to partners, and supported for length of project.
On time submittal of quarterly report on state needs and issues.
On time submittal of quarterly report on site use statistics.
Report on platform evaluation and written plans for improvements delivered on time.
Report on states needs and issues delivered on time.
Online reporting function established for DOE and others as per the schedule.
CPA section of OCEAN website created on schedule; drafts and final versions of developed best practice
reports, tools and resources.

Task 3 Technical Planning Success Criteria

Develop project concepts and templates for gap analysis report, Roadmap and Action Plan reports
Develop survey tools for data collection.
Solicit input from partner organizations on concepts and template development and needs of the project.
Finalize templates on schedule.

Task 4 Marketing Project Success Criteria

Develop marketing materials for states in collaboration with NETL.
Conduct outreach to states for CPA services on schedule.
Develop partnership documents.
Secure national and regional partners.
Develop sufficient interest in CPA project from enough states to achieve enrollment goal

Task 5 Gap Analysis Success Criteria

Creation of partnership documents for states with collaboration with NETL.
Provide NETL with a list of 15-18 states and written recommendations for these preferred states.
NETL provides its selection of states.
Obtain signed MOUs from selected states
Completed draft Gap Analysis reports.
NETL approval of draft reports.
Completed and delivered state Gap Analysis reports on schedule.

Tasks 6 Roadmap and Action Plan Success Criteria

 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

Develop sufficient interest in continuation of project from enough states to achieve enrollment goal
Draft justification of 10 recommended states for Roadmap and Action Plan work.
NETL provides its selection of 10 states.
Obtain signed MOUs from selected states
Complete Draft of Roadmap and Action Plan reports for 10 states.
NETL approves draft Roadmap and Action Plan reports.
Deliver Final Roadmap and Action Plan reports to NETL on schedule.

9. Scope Management Plan

The Scope Management plan describes how the scope will be defined, developed and verified and how
the WBS will be created and defined. It also provides guidance on how the project scope will be
managed and controlled by the project team.

The project team consists primarily of the principle investigator; project coordinator; minimal senior staff;
seven, principal researchers and writers consisting of seven, junior staff; one, part time senior staff and one,
part time junior staff; and one, full time intern.

Principle Investigator responsibilities include but are not limited to:

• Reviewing and approving all Task 5 Gap Analysis reports and Task 6 Roadmap and Action Plans aka
Strategic Compliance Plan Packages
• Provide overall project direction
• Is the primary contact with the project contract manager, funder, and stakeholders
• Has ultimate accountability for the project
• Assist in, organize and approve travel
Project Coordinator:

• Track staff hours and budgets

• Track progress of deliverables / timeline
• Track all reports and deadlines and help pull together information from the team
• Reports to the Principal Investigator
• Complete ARRA reporting

Junior Staff:

• Primary researchers and authors for Gap Analysis Reports

• Support for primary authors
• Set up local level meetings
• Support research
• Create graphics
• Create and maintain online resources

Other Senior Staff:

Provide guidance as necessary.

29
 10. Agreement Statement of Project Objectives
The Statement of Project Objectives (SOPO) from the Agreement will be inserted here. Note that Task 1.0
(or other designation) of the SOPO entails the work necessary to manage the project and to update the
Project Management Plan submitted with the application. The PMP submitted as a work product under
Task 1.0 (or other designation) serves as the basis for project cost, schedule, and scope, and for reporting
quarterly progress in the Progress Report as defined in the “Federal Assistance Reporting Checklist and
Instructions.”

STATEMENT OF PROJECT OBJECTIVES

Alliance to Save Energy

State Building Energy Code Compliance Planning Assistance

Award Number: DE-EE0003375

A. PROJECT OBJECTIVES

Assist states to develop a plan to achieve compliance with their updated building energy code(s) by 2017,
and in at least 90% of new and renovated residential and commercial building space.

B. PROJECT SCOPE

The Alliance to Save Energy (Alliance) will assist states in planning and implementing long-term energy
code policies, practices, and programs and launching well-designed and enforced building energy codes.
The Alliance will develop methodologies, templates, and other materials as needed to assist states with
developing plans to achieve compliance with their updated building energy code(s) by 2017, and in at least
90% of new and renovated residential and commercial building space. The Alliance will market its State
Building Energy Code Planning services to states.

The Alliance will provide strategic field support for states including making field visits for attending
strategic planning meetings, report delivery meetings, and high-value events to network with local groups in
support of energy codes. Field support also includes performing state - specific codes needs assessments,
assisting to produce code compliance implementation plans, and providing advice on the adaptation of
successful code implementation mechanisms to specific state needs.

The Alliance will establish and maintain a communications platform to facilitate collaboration with partners
and stakeholders.
 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

The Department of Energy (Department) will provide technical guidance throughout the project.

C. TASKS TO BE PERFORMED

Task 1 - Project Management Plan

The Alliance will develop a Project Management Plan which will specify the staffing requirements,
resources needed, schedule, and budget for each activity.

Task 2 - Establish Common Communication Platform

The Alliance will establish a communications platform from which DOE can post National Code Initiative
information to a registered, select audience of supporters. The platform will have the capacity for DOE and
these supporters to share energy code related information, discussions, questions, and answers; for
stakeholders and supporters to make supporting commitments; and for the Department to coordinate and
track those activities.

Task 2.1 – The Alliance will maintain the communications platform.

Task 2.2 – The Alliance will promote use of the platform to stakeholders and supporters and moderate the
dialogue.

Task 2.3 – From the dialogue, the Alliance will identify products and services that are needed by the energy
codes community in support of building energy code adoption, implementation and compliance. The
Alliance will compile and communicate these needs to the Department.

Task 2.4 –The Alliance will evaluate the effectiveness of the platform in facilitating communication and
collaboration. The Alliance will use the evaluation feedback to make improvements to the way it utilizes the
platform.

Task 2.5 – The Alliance will collect, analyze, and track information on state activity that moves the state
towards the goal of 90 percent energy code compliance.

Task 2.6 – The Alliance will develop online tools appropriate for the states to communicate their progress
31
and needs to the Department and other stakeholders.

Task 2.7 – The Alliance will evaluate, analyze and synthesize state progress information to develop best
practices, online tools, and other resources to assist states improve their adoption, implementation and
compliance of building energy codes.

Task 2.8 – The Alliance will deliver drafts of state progress analyses to the Department prior to web posting
for review by and collaboration with the Department.

Task 2.9 - The Department will provide technical guidance in developing of and review of state progress
analyses, best practices, online tools and other resources.

Task 2 Deliverables

• Usage statistics Quarterly

• Report on identified needs and issues Quarterly

• Results of platform evaluation; written plan to make

improvements

• Drafts and final versions of developed best practices,

tools and resources

Task 3 – Develop methodology

Task 3.1 – The Alliance and the Department will enlist partners to contribute guidance in developing the
methodology and templates for the Gap Analysis, Roadmap, and Action Plan reports, and other materials. At
a minimum, the partners will include the Alliance’s Principal Investigator, the Department’s Project Officer
and a representative from PNNL’s BECP.

Task 3.2 – With guidance from the project partners, the Alliance will develop templates for the Gap
Analysis, Roadmap, and Action Plan reports. The templates, at a minimum, will define the section headings
within each report, and specify the data that the project will collect. With guidance from the project partners,
the Alliance will determine and develop other materials as needed. Supporting materials will document
project assumptions, relevant details and other information.

- The Gap Analysis report will provide a comprehensive picture of the strengths and weaknesses of
the state’s code adoption, implementation, and enforcement. The report will identify specific
 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

opportunities for improvement and make general recommendations as warranted. The report will
provide states with information about tools currently available from the Building Energy Codes
Program and encourage their use, as appropriate. (See Task 5)

- The Roadmap will detail specific solutions for improving code compliance in the state. The
Roadmap will include an assessment of the current situation, goals, objectives and strategies for
meeting them. The Roadmap will identify partners, stakeholders, and funding sources for needed
resources. The report will provide states with information about tools currently available from
the Building Energy Codes Program and encourage their use, as appropriate. (See Task 6)

- The Action Plan will detail 90% code compliance implementation plan. The Action Plan will
identify participants with corresponding actions, set milestones, and provide a schedule for
completing tasks. The report will provide states with information about tools currently available
from the Building Energy Codes Program and encourage their use. (See Task 6)

Task 3.3 - The Alliance will submit the templates and supporting documents to the Project Officer for
approval by the Department.

Task 3.4 - The Department will review the materials provide approval or further technical guidance.

Task 3 Deliverables (per state)

 Report templates, strengths and Month 1

weakness assessment template,
and a brief written explanatory
statement of methodology for the
gap analysis at the state and local
levels

Task 4 – Promote Services

Task 4.1 Market State Building Energy Code Compliance Services to States

Task 4.1.1 – The Alliance will develop communication messages and materials to encourage state
enrollment in fulfilling the requirements of Tasks 5 and 6 in this State Building Energy Code
Compliance Planning Assistance project.

33
 Task 4.1.2 – The Alliance will submit communication materials to the Department for review and
approval by the Department prior to release.

Task 4.1.3 – The Alliance will contact and explain to the states that have already requested
assistance in planning and implementing long-term energy code policies, practices, and programs,
(including a compliance implementation plan) what assistance the Alliance is offering and how it can
be provided.

The Alliance will contact other states to make them aware of the available assistance and explain the
benefits to them. In both cases make clear the expectations of commitment of state staff time:
providing information and data, assisting in leveraging existing relationships with local governments
and state agencies, setting up and participating in Gap Analysis and Needs Assessment report
meetings. Also make it clear that participating elements of the state must include those organizations
that are responsible for implementing and administrating the code such as the State Energy Office,
Fire Marshal, or Governor’s Office.

The Alliance will post the information about available assistance and participation requirements on
its communication platform website, arrange to links to it from www.energycodes.gov, and provide
local and national organizations with information on the program offering to market in their areas.

Task 4.2 - Enlist Partner Participation

The Alliance will identify organizations that offer technical training, tools, resources, and regional support,
and solicit their participation in the project by forming partnerships and aligning program offerings within
the states. The Alliance will develop partnership documents that formalize the project partnership
relationship.

Task 4 Deliverables

• Marketing materials including project opportunity Month 1

descriptions for states and organizations

• Partnership documents including identified activities Month 1

Task 5 – Gap Analysis

Task 5.1 - Enlist State Partners

 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

Task 5.1.1 – The Alliance will identify and recommend 15 to 18 states that will be most likely to
follow through on the assessment and planning to implement real program changes or new programs
to increase the effectiveness of building energy codes.

The recommendations will be include a terse several page explanation as to why each state is
recommended. Provide the following information:

• Background/history of commercial energy codes in the state and amount of construction

expected to be impacted

• Current status of energy codes in the state

• Champions

• Issues/code barriers

Task 5.1.2 – The Alliance will present the recommendations to the Project Officer for selection by
the Department. The Department will review the recommendations and will provide the Alliance
with its selections.

Task 5.1.3 – The Alliance will develop a template Memorandum of Understanding for states and
present it to the Project Officer for approval by the Department.

Task 5.1.4 – The Alliance will obtain a written Memorandum of Understanding from each selected
state explaining the assistance that the Alliance will provide and the state’s commitments.

- In the MOU, designate a representative from the state office responsible for energy codes (such
as the energy office, or governor’s office) as the lead state official. Clearly delineate the
official’s responsibilities such as providing data, setting up meetings, securing participation from
other state agencies as a part of its commitment to participate in the project.
Task 5.2 - Assist States in Developing a Gap Analysis

The Alliance will provide assistance to each state per the approved recommendations in Task 5.1.2. The
Alliance will inform NETL PMC staff, who have been designated as the points of contact for states, about
planned travel to their assigned states. Include a brief description about the purpose of the trip and the names
of state officials to be visited.

Task 5.3 - Collect Information

The Alliance will assist each state to gather information on its code policy; code enforcement infrastructure,
programs and protocols; certification requirements for professional designers; certification requirements for
code enforcement officials; training requirements, content, and materials for design construction enforcement
officials; and efforts to track and measure energy code implementation and compliance.

35
Task 5.3.1 – Develop Written Comments

The Alliance will develop written comments on findings from the review of state data collection and analysis
and submit them to the Project Officer

Task 5.4 - Perform Gap Analysis

The Alliance will assist each state to prepare a gap analysis report. The report will provide a comprehensive
picture of the strengths and weaknesses of the state’s code adoption, implementation, and enforcement. The
report will identify specific opportunities for improvement and make general recommendations as warranted.

The Alliance will provide states with information about tools currently available from the Building Energy
Codes Program and encourage their use.

The Alliance will identify additional tools needed by the states and provide the recommendations to the
Department and BECP.

Task 5.5 - Deliver Gap Analysis Report

The Alliance will support delivery and presentation of the Gap Analysis report by the lead state official. The
Alliance will assist the state office responsible for energy codes (such as the energy office, or governor’s
office) set a meeting involving all the state partners. The Alliance will participate in recommending next
steps, answering questions, and building support in the state.

Task 5.6 – Trip Reports

The Alliance will provide trip reports from on-site meetings with state and local agencies to the Project
Officer

Task 5 Deliverables (per state)

• Template Memorandum of Understanding for states Month 1

• List of 15 -18 recommended state partners and supporting Month 1-10

materials

• Signed MOUs Month 2-10

• Templates and a brief written explanatory statement of Month 1

methodology for the gap analysis at the state and local levels
 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

• Templates, recommendations for the strengths and weakness Month 1

assessment

• Written comments on findings from the review of state data Month 3

collection and analysis

• Trip reports from on-site meetings with state and local Month 4-10
agencies

• Completed state Gap Analysis reports Month 4-10

Task 6 – Roadmap and Action Plan

Task 6.1 - Enlist State Participants for Further Action

Task 6.1.1 – The Alliance will identify and recommend 10 states that will be most likely to follow
through on the development and implementation of a Roadmap and Action Plan, with a 90% code
compliance implementation plan component. The recommendations will include a short explanation
as to why each state is recommended. (Address the issues described in Task 5.1.1)

Task 6.1.2 – The Alliance will present the recommendations to the Project Officer for selection by
the Department.

Task 6.1.3 – The Alliance will obtain a written Memorandum of Understanding from each selected
state explaining the assistance that the Alliance will provide and the state’s commitments.

- In the MOU, designate a representative from the state office responsible for energy codes (such
as the energy office, or governor’s office) as the lead state official. Clearly delineate the
official’s responsibilities such as providing data, setting up meetings, and securing participation
from other state agencies as a part of its commitment to participate in the project.

Task 6.2 - Research and Assess Available Resources

The Alliance will assist the selected 10 states and their local agencies to develop workable recommendations
to fill the gaps identified in the Gap Analysis. Where gaps exist, include an assessment of funding and the
availability of training and resources from the regional energy efficiency organizations (e.g. MEEA, NEEA,
NEEP, SEEA, and SWEEP), BECP, ICC, ASHRAE. Also include existing state/local programs, educational
institutions, and utility programs for opportunities to expand or redirect them to fill gaps.

Task 6.3 - Develop State Specific Roadmap and Action Plan

Task 6.3.1 - The Alliance will assist each state to develop a Roadmap detailing specific solutions for
improving code compliance in the state. The Roadmap will include an assessment of the current

37
 situation, goals, objectives and strategies for meeting them. The Roadmap will identify partners,
stakeholders, and funding sources for needed resources.

Task 6.3.2 - The Alliance will assist each state to develop an accompanying Action Plan. The
Action Plan will detail a 90% code compliance implementation plan. The Action Plan will identify
participants with corresponding actions, set milestones, and provide a schedule for completing tasks.

Task 6.4 - Deliver and Sign off on Roadmap and Action Plan

The Alliance will support the delivery and presentation of the Roadmap and Action Plan reports by the lead
state official at a meeting involving all the state partners. The Alliance will participate in recommending
next steps, answering questions, building support in the state, and advocating sign-off. The Alliance will
assist the state to use the meeting as the official kick-off of the identified activities for the state.

Tasks 6 Deliverables (per state)

 Templates and Month 5

recommendations for the
Roadmap and Action Plan
 Review and comments on state Month 10 – 16
the Roadmap and Action Plan
 Two on-site meetings with state Month 11 – 17
and local agencies
 Support the State’s presentation Month 11-17
of the Roadmap and Action
Plan at the meeting

ARRA Milestones:

 Templates and for the Gap Month 1

Analysis, Roadmap and Action
Plan
 Recommended States for Gap Month 5
Analysis
 Recommended States for Month 12
Roadmap and Action Plan
 Completed state Gap Analyses, Month 18
Roadmaps and Action Plans
 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

Recommended Sections
The following sections are recommended for all project types and especially those that are complex
and/or require a large project team and extensive funding.

11. Reporting Requirements

Project reporting requirements may outline the types and formats of required reports, frequency of
reporting, and the information needed from the project team. The reporting requirements should also
describe both internal and external reporting activities.

12. Financial Management

The Financial Management section describes how funds will be tracked and disbursed. As organizations
track costs differently, the Recipient must specify the way funds are managed. The Financial Management
section describes how funds will be disbursed to subcontractors/subrecipients, and how financial auditing is
conducted. These activities demonstrate accountability within the project and confirm to stakeholders that
adequate financial controls are in place.
13. Configuration Management
The Configuration Management plan provides an overview of the organization, activities, overall tasks, and
objectives of Configuration Management for the project. It also defines the formal change control process
for all items that fall under its management.

14. Project Organization and Structure

The Project Organization and Structure section describes how several complex activities require the
coordination of multiple entities. Recipients may mirror their organizational structure with the task/work
element structure in the Project Organization and Structure. Additional subsections may include:
• Project Organization – defines the roles and responsibilities of each participant in the project, and
defines the reporting relationships among project participants. The project organization consists of a
chart, as well as role definitions and assignments, for all key members. To develop a project
organization, the project management is defined and project team and support roles are identified.
• Technical Area Team Organization Charts – enumerate functions of key technical teams. These
sub-organizational charts may accompany the overall organizational chart to expand upon the various
roles within the project.
• Project Organization Matrices – identify major project roles along with contact information are
listed here. Include individuals who fill a key role, or multiple roles, in the project.

15. Work Breakdown Structure

The WBS should present the overall project effort as discrete, interconnected work elements (based on a
logical workflow). This may be based on a decomposition of the program work activities, deliverables, and
products that will be produced by the project, or a combination of all. If the SOPO organizes the work to be
done into tasks and subtasks, for example, then the WBS elements can be modeled in the same way (i.e.,
each subtask would constitute an individual WBS work element). The goal is to progressively divide the
work to the point of individual elements that can be assigned to an organizational unit or to an individual.
A WBS hierarchy illustrates the project’s tasks as individual elements. The top level component is the
Project Title. The elements beneath the top level component are then organized according to task and
39
subtask.

16. Project Deliverables

A deliverable is any unique and verifiable product, result, or capability to perform a service. A deliverable
signifies the completion of a process, phase, or project. Examples of deliverables are quarterly progress
reports, scheduled status and coordination meetings with DOE, or periodic presentations; these types of
deliverables are typically used for communications.
Project Officers should report in this section a list of deliverables with planned dates of completion and
resources assigned. A number (identifier) should be assigned to the deliverable and each corresponding
subtask(s).

Task 1Deliverables

• PMP
Task 2 Deliverables

• Usage statistics Quarterly

• Report on identified needs and issues Quarterly

• Results of platform evaluation; written plan to make

improvements

• Drafts and final versions of developed best practices,

tools and resources

Task 3 Deliverables (per state)

 Report templates, strengths and Month 1

weakness assessment template,
and a brief written explanatory
statement of methodology for the
gap analysis at the state and local
levels

Task 4 Deliverables

• Marketing materials including project opportunity Month 1

descriptions for states and organizations

• Partnership documents including identified activities Month 1

Task 5 Deliverables (per state)

• Template Memorandum of Understanding for states Month 1

• List of 15 -18 recommended state partners and supporting Month 1-10

materials

• Signed MOUs Month 2-10

 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

• Templates and a brief written explanatory statement of Month 1

methodology for the gap analysis at the state and local levels

• Templates, recommendations for the strengths and weakness Month 1

assessment

• Written comments on findings from the review of state data Month 3

collection and analysis

• Trip reports from on-site meetings with state and local Month 4-10
agencies

• Completed state Gap Analysis reports Month 4-10

Tasks 6 Deliverables (per state)

 Templates and Month 5

recommendations for the
Roadmap and Action Plan
 Review and comments on state Month 10 – 16
the Roadmap and Action Plan
 Two on-site meetings with state Month 11 – 17
and local agencies
 Support the State’s presentation Month 11-17
of the Roadmap and Action
Plan at the meeting

41
 17. Quality Assurance
The Recipient must establish a consistent, high-level approach to ensure the quality of its products and/or
services. It is in the best interest of the program for project teams to establish and buy-in to a consistent
approach. At a minimum, each team should document their approach and include:
• Pre-screening mechanism for evaluating potential subcontractors and suppliers to assess capabilities
and conformance to quality standard
• Upfront planning and communications to clarify roles and expectations
• Evaluation (and education/training if necessary) during project execution; may include site visits and
periodic communications to answer questions/clarify requirements; may employ use of
forms/checklists.
• Verification of conformance to requirements; may include site visits, performance testing, and
inspections Communication of results eliciting response and feedback to be included in lessons
learned and opportunities for additional improvement

The Recipient must clearly state project objectives during early stages, establish integrated review points,
and use iteration as a strategy to meet quality requirements. The project should have an advisor who is
involved in developing a quality assurance plan.
If the project involves safety and health concerns, a plan may be included in the PMP to address these issues.
This should involve an advisor who can accurately assess the issues, and develop a plan to resolve them so
that project goals and objectives are not compromised.
 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

Appendix A – Acronyms

If the PMP utilizes acronyms, include a list so that the reader can quickly identify any encountered in the
PMP. As a rule, acronyms are used only if the term appears in the document more than twice. The list may
appear at the beginning of the document (as illustrated below) or as an appendix.
DOE Department of Energy
NETL National Energy Technology Laboratory
PMP Project Management Plan
SOPO Statement of Project Objectives
WBS Work Breakdown Structure

43
 Appendix B – WBS Element Definitions

The following WBS Element Definitions chart shows task and subtask information which originates from the WBS
Index. These definitions include the WBS Code, WBS Element Title, and the Element Task Description.

1. Project Title/Participant 2. Date 3. Identification Number

<Project Title> <Date> <Number>

4. WBS Code 5. WBS Element Title

6. Index Line No. 7. Revised 8. Date

9. Approved Changes

10. System Design Description 11. Budget / Report Number

12. Element Task Description

a. Responsibility –

b. Start Date –

c. Completion Date –

d. Estimated Costs

Labor

Fringe

Benefits

Material

Travel

Overhead

Subcontractors

Other

Total

e. Objective

f. Description of Work

g. Relationship to Other WBS Elements

Appendix C – Resource Loaded Schedule

The inclusion of a resource-loaded schedule is at the discretion of the Project Officer as well as the format
chosen. It is strongly encouraged that Project Officers use such a tool for the management of complex
 U.S. Department of Energy Office of Energy Efficiency and Renewable Energy

projects and include it as part of the project management plan.

The remainder of this page has been left intentionally blank

24
References

Ernst & Young, Engagement and Project Management, 1996. Federal Project Management Center, Project

45
Management Guidelines, 2008. Project Management Institute, A Guide to the Project Management Body of
Knowledge, Third

Edition, PMI: Pennsylvania, 2004.

Project Management Institute, A Guide to the Project Management Body of Knowledge, Fourth
Edition, PMI: Pennsylvania, 2008.