Department of Energy

**Funds-In Agreement for Research and Development**

[Appendix A---California Energy Commission]{.underline}

[Statement of Work Including Task Deliverables, Schedule, and
Budget]{.underline}

# Prepared by the \<National Laboratory\>

\<date prepared\>

## I. Title of project

> \<insert title of project\>

######## II. California Energy Commission RFP identification

> \<insert number and identification of RFP here\>

### III. Background {#iii.-background .unnumbered}

> The U.S. Department of Energy has directed \<M&O Contractor of
> National Laboratory\> to perform the work stated in this Appendix A
> for the California Energy Commission. \<National Laboratory\>, a
> laboratory owned by the Department of Energy, is located at
> \<address\>. \<M&O Contractor\>, a \<not-for-profit\> \<for profit\>
> corporation organized under the laws of the State of \<state\>, with
> its principal place of business at \<address\>, manages and operates
> \<National Laboratory\> under DOE Contract No. \<contract #\>.
>
> The California Energy Resources Conservation and Development
> Commission (California Energy Commission) is an agency organized under
> the laws of the State of California with a principal place of business
> at 1516 Ninth Street, Sacramento, California 95814.

### IV. Project Goals and Objectives {#iv.-project-goals-and-objectives .unnumbered}

> \<Summarize overall project goals from proposal.\>
>
> These goals should relate to one or more of the following, overall
> PIER program objectives:
>
> 1\) Improve energy cost/value of California's electricity;
>
> 2\) Improve environmental and public health costs/risk of California's
> electricity;
>
> 3\) Improve the reliability/quality of California's electricity;
>
> 4\) Improve the safety of California's electricity;
>
> 5\) Maximize market connection; and
>
> 6\) Impact directly on California's state and local economies.\>

### V. Technical and economic/cost performance objectives {#v.-technical-and-economiccost-performance-objectives .unnumbered}

> A. The overall technical goal of this project is to\<summarize goal
> from proposal \>
>
> The specific, technical objectives upon which this project's success
> will be evaluated are:
>
> • \<list technical objectives\>
>
> •
>
> •
>
> B. The overall economic/cost goal of this project is to \<summarize
> goal from proposal\>
>
> The specific, economic/cost objectives upon which project's success
> will be evaluated are:
>
> • \<list economic/cost objectives\>
>
> •

### VI. Preliminary Activities {#vi.-preliminary-activities .unnumbered}

> **1.1 Attend Kick Off Meeting**
>
> The Facility Operator's Project Manager (Principal Investigator) shall
> attend a "kick off" meeting with the California Energy Commission
> Contract Manager to review the California Energy Commission\'s
> expectations for: accomplishing tasks described in the work statement;
> administrative requirements in the terms and conditions of the
> contract (e.g., invoicing, statements vesting title, prior approvals,
> data disclosure limitations, monthly progress reporting format and
> content, etc.); and the California Energy Commission's roles and
> responsibilities. The location of this meeting shall be designated by
> the California Energy Commission Contract Manager.
>
> **1.2 Describe Synergistic Projects**
>
> ***(Note: This activity does not apply to projects which did not
> identify synergistic projects in the proposal.)***
>
> ***(Note: If no synergistic projects are identified to conduct this
> project, state this finding.)***
>
> Documentation of synergistic project value assessments will be
> received, reviewed and approved in writing by the California Energy
> Commission Contract Manager before: 1) any PIER funds under this
> contract are disbursed, and 2) PIER-funded work on Technical Tasks may
> begin.
>
> Provide the following information about the synergistic projects that
> will enhance information and technology exchanges with this project:
>
> • Assessed value of each synergistic project.
>
> • Title, contact name, address and telephone number for each
> identified synergistic project.
>
> • Written concurrence from each technical manager of the identified
> synergistic projects that information and technology derived from the
> synergistic project is unrestricted and available for exchange and
> collaboration in conjunction with this project.

***(Note: The Facility Operator need not resubmit this information if it
was provided in the Facility Operator's proposal and the information
submitted is still valid. The Facility Operator, however, will assist
the California Energy Commission Contract Manager in locating this
proposal information, upon request.)***

> **1.3 Identify Required Permits**
>
> Prepare and submit to the California Energy Commission Contract
> Manager a list of all permits required for construction and/or
> operation of equipment or the project facility, the name, address and
> telephone number of the permitting jurisdictions or lead agencies, and
> the schedule the Facility Operator will follow in applying for and
> obtaining these permits.
>
> If no permits are required to conduct this project, state this
> finding.
>
> **1.4 Obtain Required Permits**
>
> Facility Operator will supply written certification that Facility
> Operator has received all necessary and required permits to construct,
> operate, or test the proposed equipment or facility as soon as they
> are received. During this project, the Facility Operator shall comply
> with all applicable laws, ordinances, regulations and standards. If
> the Facility Operator is required to obtain permits specifically for
> performance of this Agreement, such permit expenses shall be
> separately identified as a cost and shall be reimbursable by the
> California Energy Commission.
>
> **1.5 Prepare Production Readiness Plan**
>
> ***(Note: This activity does not apply to projects which do not
> involve the design, development, or demonstration of energy-related
> technology.)***
>
> \<Prepare a written production readiness plan that includes:\>
>
> • Identification of critical production processes, equipment,
> facilities, manpower, and support systems that will be needed to
> produce a commercially viable product;
>
> • Capacity constraints imposed by the design under consideration for
> internal manufacturing capabilities, as well as suppliers. The project
> manufacturing effort may include "proof of production processes;"
>
> • Identification of hazardous or non-recyclable materials;
>
> • A projected "should cost" for the product in production at some
> expected rate;
>
> • The expected investment threshold required to launch the commercial
> product;
>
> • An implementation plan to ramp up to full production.
>
> ***(Note: The degree of detail in the production readiness discussion
> should be proportional to the complexity of producing the proposed
> product and its state of development.)***
>
> ***(Note: The Production Readiness Plan shall be reviewed by the
> California Energy Commission Contract Manager. If the California
> Energy Commission Contract Manager determines that the plan is
> unsatisfactory, Facility Operator shall revise it until it meets the
> California Energy Commission Contract Manager's reasonable
> requirements.)***

**VII. Description of tasks to be performed**

> 1.n \<task title\> \<due date\>
>
> a\. \<describe the work to be performed under task \>
>
> b\. \<identify deliverable or milestone\>

######### 

######### VIII. Critical Project Reviews

> The California Energy Commission will conduct critical project reviews
> at the conclusion of the following tasks:
>
> • \<to be completed by the California Energy Commission Contract
> Manager\>
>
> •
>
> •
>
> ***(Note: Critical project reviews are meetings between the Facility
> Operator, the California Energy Commission Contract Manager and other
> individuals selected by the California Energy Commission Contract
> Manager to provide objective, technical support to the California
> Energy Commission. The purpose of these meetings to discuss with the
> Facility Operator the status of the project and its progress toward
> achieving its goals and objectives. These meetings may take place at
> the Energy Commission offices in Sacramento, or at another, reasonable
> location determined by the California Energy Commission Contract
> Manager.)***
>
> ***(Note: Prior to the critical project review meeting, the Facility
> Operator will provide the task deliverable(s) to the California Energy
> Commission Contract Manager sufficiently in advance to allow the
> Contract Manager's review of the deliverable document(s) before the
> review meeting. If not already defined in the Work Statement, the
> California Energy Commission Contract Manager shall specify the
> contents of the deliverable document(s).)***
>
> ***(Note: At the project review meeting, the Facility Operator shall
> present the required technical information and participate in a
> discussion about the project with the California Energy Commission
> Contract Manager and other meeting attendees, if any.***
>
> ***(Note: Following the project review meeting, the California Energy
> Commission will determine whether the Facility Operator is complying
> satisfactorily with the Work Statement and whether the project is
> demonstrating sufficient progress toward achieving its goals and
> objectives to warrant continued PIER financial support for the
> project.)***

### IX. Sponsor's Key personnel and Agreement Management {#ix.-sponsors-key-personnel-and-agreement-management .unnumbered}

> A. \<Name and area code/phone number of the California Energy
> Commission's Contract Manager\> will be the Contract Manager and is
> the official [technical]{.underline} contact for the California Energy
> Commission.
>
> The Sponsor's Contract Manager is responsible for the day to day
> project status, decisions and communications with the Facility
> Operator Project Manager (Principal Investigator). The California
> Energy Commission Contract Managers will review and approve all
> project deliverables, reports, and invoices.
>
> > The Sponsor may change the Contract Manager by notice given to the
> > Facility Operator at any time signed by the Contract Officer of the
> > California Energy Commission.
>
> B. \<Name and area code/phone number of the California Energy
> Commission's Contract Officer\> will be the Contract Officer for the
> Agreement and is the official [administrative]{.underline} contact for
> the California Energy Commission.

**X. Facility Operator's Key Personnel and Agreement Administration**

> The Facility Operator is obligated to comply with the terms and
> conditions of its Management and Operating (M&O) Contract with the DOE
> when performing work under this agreement. The DOE may require
> substitution of the named "key personnel" under this agreement should
> the DOE determine that the services of the Project Manager (Principal
> Investigator) or other named key personnel are necessary to meet the
> Facility Operator's M&O Contract obligations to the DOE. Should the
> DOE direct the Facility Operator to substitute the named key personnel
> under this agreement, the Facility Operator shall inform the
> California Energy Commission of the directed substitution in
> accordance with paragraphs A and B below. In the event that the
> California Energy Commission does not concur with the substitution of
> named key personnel as directed by the DOE, this agreement shall be
> terminated under Article XX, Termination, of the modified terms and
> conditions.
>
> A. \<Name and area code/phone number of National Laboratory's Project
> Manager (Principal Investigator)\> will be the Project Manager
> (Principal Investigator) for this project and is the official
> [technical]{.underline} contact for \<National Laboratory\>.
>
> The Facility Operator's Project Manager (Principal Investigator) is
> responsible for the day to day project status, decisions, and
> communications with the Sponsor's Contract Manager. The Facility
> Operator's Project Manager (Principal Investigator) will review and
> approve all project deliverables and reports.
>
> The Facility Operator's Project Manager (Principal Investigator) is
> designated as "key personnel" under the Agreement. The California
> Energy Commission reserves the right to prior written concurrence of
> any substitution of the Project Manager (Principal Investigator).
>
> B. The following persons are additional key personnel under this
> agreement.
>
> 1\. \<name and area code/phone number of key personnel #1\>
>
> 2\. \<etc\>
>
> Facility Operator's key personnel may not be substituted without the
> California Energy Commission Contract Manager's prior written
> concurrence. Such concurrence shall not be unreasonably withheld. All
> other personnel may be substituted by Facility Operator, with written
> notification made to the California Energy Commission Contract
> Manager.
>
> C. \<Name and area code/phone number of National Laboratory Agreement
> Administrator\> will be the Agreement Administrator for this Agreement
> and is the official [administrative]{.underline} contact for \<
> National Laboratory\>.

### XI. Facility Operator's key subcontractors {#xi.-facility-operators-key-subcontractors .unnumbered}

> The Facility Operator's key subcontractors are listed below.

+-----------------------------------------------------------------------+
| ####### Key Subcontractors                                            |
+-----------------------------------------------------------------------+
| ####### Subcontractor 1                                               |
+-----------------------------------------------------------------------+
| Subcontractor 2                                                       |
+-----------------------------------------------------------------------+
| Etc.                                                                  |
+-----------------------------------------------------------------------+

> Facility Operator's key subcontractors may not be substituted without
> the California Energy Commission Contract Manager's prior written
> concurrence. Such concurrence shall be timely provided and not
> unreasonably withheld. Delay in written concurrence may result in a
> work stoppage of subcontract work. All other subcontractors may be
> substituted by Facility Operator, with written notification made to
> the California Energy Commission Contract Manager.

### XII. Report standards {#xii.-report-standards .unnumbered}

> A. The report outline and format will be provided by the Sponsor's
> Contract Manager to the Facility Operator's Project Manager (Principal
> Investigator).
>
> B. All reports shall be delivered to:
>
> \<Name\>
>
> Commission Contract Manager
>
> California Energy Commission
>
> 1516 9th Street, 1st Floor
>
> Sacramento, CA 95814
>
> C. [Progress Reports.]{.underline} The Facility Operator shall prepare
> a \<insert period here\> Progress Report that summarizes all Agreement
> activities conducted by the Facility Operator to date, with an
> assessment of ability to complete the project within the current
> budget and any anticipated cost overruns. Each Progress Report is due
> to the California Energy Commission Contract Manager within 30 days
> after the end of the reporting period. The California Energy
> Commission Contract Manager will specify the report format and
> contents and the number of copies to be submitted.
>
> D. [Final Report and Final Meeting.]{.underline} At the conclusion of
> the Agreement's technical work as provided for this Appendix A
> Statement and revised project plan, Facility Operator shall prepare a
> comprehensive written Final Report, including an Executive Summary.
> The California Energy Commission Contract Manager will review and
> approve the Final Report.
>
> ***(Note: Facility Operator will also participate in a Final Meeting
> with the California Energy Commission to present the findings,
> conclusions, and recommendations. Both the Final Meeting and the Final
> Report must be consummated on or before the termination date of the
> Agreement.)***

###   {#section-1 .unnumbered}

### XIII. Schedule {#xiii.-schedule .unnumbered}

> The program will continue for \<# months\> months after advance
> funding is received by \<M&O of National Laboratory\>. This Agreement
> is effective the later date of (1) the date on which it is signed by
> the last of the parties thereto, or (2) the date on which it is
> approved by the California Department of General Services as noted on
> Page 2 of the Standard Agreement, or (3) the date on which the
> Facility Operator receives advance funding from the Sponsor.

###### XIV. Budget

> \<SOW Appendix A, Attachment 1 shows California Energy Commission's
> Reimbursable Budget.\>
>
> \<SOW Appendix A, Attachment 2 shows the assessed value of the Federal
> Administrative Charge not charged to this project.\>
>
> \<SOW Appendix A, Attachment 3 shows assessed value of synergistic
> projects. (The assessed value of such synergistic projects does not
> constitute a funding contribution or obligation (either cash or
> in-kind) on the part of the DOE or the Facility Operator.)