EXHIBIT F

Sample Work Authorization

Contract #500-02-004

 

 

Work Authorization #: UC Research Agreement-WA-XXX                  Amount:  $xxx,xxx                                           

Project Name: Insert project title here.

 

Term: Insert the start and end dates of this WA here.

 

Performing Institution Project Manager: name

Address: address, city, state zip

Telephone Number: xxx-xxx-xxx, ext. xxxx

E-mail Address: xxx@xxxx.xxx

 

Commission Project Manager: name

Address: address, city, state zip

Telephone Number: xxx-xxx-xxx, ext. xxxx

E-mail Address: xxx@xxxx.xxx

 

The project described in this work authorization falls primarily within Tasks x.x, x.x and x.x (Select from the list in the Agreement.) of the Commission-UC Research Agreement.

 

This WA contains information on:

 

1.      Confidential Deliverables                             _____Yes                    _____No

2.      Pre-existing Intellectual Property                 _____Yes                    _____No

3.      Pre-approved Travel                                  _____Yes                    _____No

4.      Equipment  (and if known, disposition)       _____Yes                    _____No

5.      UC-DOE Provisions                                   _____Yes                    _____No

 

 

 

 

 

Approval:

 

 

___________________________________              ____________________________________

Commission Project Manager               Date                 Commission Contract Manager Date

 

 

___________________________________              ____________________________________

PIER Team Lead                                  Date                 UC Contract Manager                          Date

 


Exhibit F

Sample Work Statement

 

GLOSSARY

Specific terms and acronyms used throughout this work statement are defined as follows:

 

Acronym

Definition

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(Insert additional rows as needed.)

 

Problem Statement

Describe the problem that this research will address.

 

 

Goals and Objectives

 

The goal of this project is to…(Complete the sentence with a brief description of the goal(s). Goals can be technical, economic or social.  Please be brief, two to three sentences maximum.) 

 

This project meets the PIER Goal of <pick one from the list below> by <fill in the blank>. (If applicable, this project also meets the secondary goal of <pick one from the list below> by <fill in the blank>.)

 

PIER Goals

1.  Improving the Energy Cost/Value of California’s Electricity

2.  Improving the Environmental and Public Health Costs/Risk of California’s Electricity

3.  Improving the Reliability/Quality of California’s Electricity

4.  Improving the Safety of California’s Electricity

 

The objectives of this project are to…(Complete this sentence with the objectives, which are things that will be measurable or knowable at the end of this project.)

 

Examples of Performance Measures:

·                     . . .reduce the cost of electricity generation (or supply) by ____%.

·                     . . .increase the number of new technologies that are market-ready by ____<fill in the number>.

·                     . . . increase the adoption by the market of specific technologies by ___%.

·                     . . . increase the renewable technologies that are cost competitive by __%.

·                     . . . increase the new energy systems that can use multiple fuels by ____%.

·                     . . . decrease end-use consumption in specific energy sectors.

·                     . . . decrease the system impacts over current best practices by ____%.

·                     . . .increase the number of market-ready technologies that contribute to reduced risks of increased environmental/health impacts by ____<fill in the number>.

·                     . . .reduce the interruption frequency and duration per customer type per year by ____<fill in the number>.

·                     . . .increase the expected number of new technologies providing increased reliability/quality choices to consumers by ____<fill in the number>.

·                     . . .decrease the rates of injury and fatality associated with electricity generation/supply and usage by ____<fill in the number>.

·                     . . .determine the effectiveness of the XYZ process. 

 

 

TASK 1: PROJECT START-UP

 

Subtask 1.1 Attend Kick off Meeting

The objective of this task is to identify procedures for communication and reporting project status during the project.

 

The Performing Instituion shall:

 

·         Attend a “kick off” meeting with the Commission Project Manager and the Commission Contract Manager .  The technical and administrative aspects of contact startup will be discussed at the meeting, which may be two separate meetings at the discretion of the Commission Project Manager.   Prior to the kick off meeting, the Commission Project Manager will provide an agenda to all potential meeting participants.

 

The administrative portion of the meeting shall include, but not be limited to, the following:

·         Terms and conditions of the contract;

·         Roles and responsibilities of the parties

·         Budget changes

·         Invoicing

·         Prior approvals for travel and equipment

·         Confidential deliverables

·         Intellectual property, basis for royalties

·         Permit documentation (Subtask 1.2)

 

The technical portion of the meeting shall include, but not be limited to, the following:

·         The Commission Project Manager’s expectations for accomplishing tasks described in the Work Statement;

·         Critical Project Reviews

·         An updated schedule of deliverables

·         An updated Gantt chart

·         Progress reports

·         Technical deliverables

·         Final report

 

The Commission Project Manager shall designate the location of this meeting.

 

Deliverables:    

·         Attend kick-off meeting

·         An Updated Schedule of Deliverables

·         An Updated Gantt Chart

 

Key Personnel: 

<fill in the name(s)>

(Name of key person for this task that works for the Performing Instituion.  If none, state none.)

 

Key Subcontractors: 

<fill in the name(s) and/or company(ies)>

(Name of key company or name of key person at key company for this task.  If none, state none.)

 

 

Task 1.2 Identify and Obtain Required Permits

The goal of this task is to obtain all permits required for work completed under this project in advance of the date they are needed to keep the project schedule on track.

 

The Performing Institution shall:

·         If no permits are required to conduct this project, the Performing Institution shall state this finding in writing to the Commission Project Manager.

 

·         Provide the following information about permits required for this project: 

·         Type of permit

·         Name, address and telephone number of the permitting jurisdictions or lead agencies

·         Schedule the Performing Institution will follow in applying for and obtaining these permits

·         A copy of each approved permit

 

·         Submit this information to the Commission Project Manager at the kick-off meeting.  The schedule for obtaining permit(s) will be discussed at the kick-off meeting, and a timetable for submitting the updated lists and the copies of the permit(s) will be developed. 

 

·         In all cases, permits must be identified in writing and obtained before any costs related to the use of the permit(s) are incurred for which PIER reimbursement will be requested under this project.

 

·         Permit expenses are not reimbursable through the project; therefore, the PIER budget for this task will be zero dollars.

 

Deliverables: 

·         A statement that no permits are required or

·         A list of all permits required for this project

·         Updated list of permits as they change during the project term.

·         A copy of each approved permit.

 

Key Personnel:

<fill in the name(s)>

(Name of key person for this task that works for the Performing Institution.  If none, state none.)

 

Key Subcontractor:

<fill in the name(s) and/or company(ies)>

(Name of key company or name of key person at key company for this task.  If none, state none.)

 

 

 

 

List of Different Types of Technical Deliverables (These are examples, which you may modify for use in your project.  You may create other deliverables as needed, but please adhere to the patterns shown.  Please use this list to assist in creating the deliverables in the following Technical Tasks section.  Upon completion of the Work Statement this Example List should be removed from the document.)

 

1.      Notification Letters

·         Provide a Notification Letter regarding _________________, to the CEC Project Manager. (Give it a unique name based on the content and the project.) The letter shall include but not be limited to written documentation that the ________________ is ready for (testing, viewing, submission for certification, etc.) and the date such (testing, viewing, submission for certification, etc.) shall begin, and shall include photographs.

 

Deliverables:

·         Notification Letter regarding _______________

 

2.      Test Plans

·         Prepare the draft _______________Test Plan. (Give it a unique name, such as the Project Title Test Plan.  Test plans and testing procedures should be described in detail including factors such as instrumentation, data collection, data analysis, statistical analyses, and performance curves. Test results shall include relationships among performance, efficiency, emissions, temperature, pressure and all other parameters that qualify and quantify the subject technology.) The draft test plan shall include, but not be limited to:

·         a description of the process to be tested

·         the rationale for why the tests are required

·         predicted performance based on calculations or other analyses

·         test objectives and technical approach

·         a test matrix showing the number of test conditions and replicated runs

·         a description of the facilities, equipment, instrumentation required to conduct the tests

·         a description of test procedures, including parameters to be controlled and how they will be controlled; parameters to be measured and instrumentation to measure them; calibration procedures to be used; recommended calibration interval; and maintenance of the test log

·         a description of the data analysis procedures

·         a description of quality assurance procedures

·         contingency measures to be considered if the test objectives are not met

 

·         Submit the draft test plan to the Commission Project Manager for review and comment. Once agreement on the draft test plan has been reached the final test plan shall be submitted to the Commission Project Manager for written approval, which shall be provided within 5 working days of receipt of the final test plan. Key elements from the test plan shall be included in the Final Report for this project.

 

Deliverables:

·         Draft _________________ Test Plan

·         Final _________________ Test Plan

 

3.      Interim Reports (This applies to all deliverable reports. Examples include task and subtask reports, test reports, data sets, databases and computer model development or application. Monthly reports and the final report are treated separately as shown in the Work Statement.)

 

·         Prepare the draft_____________ Report (Give it a unique name, such as the ABC Test Report or 123 Database.  If an interim report is based on earlier work in this project, then the titles should relate to each other.  After the title insert a description of the deliverable.)  This report shall include, but not be limited to, the following:  (List the elements of the report in separate bullets.) 

 

For example, if the Interim Report is a Test Report, use the following  description:

The Test Report shall include, but not be limited to, the following:

·         the test plan

·         test results

·         analysis

·         conclusions

·         recommendations

·         photographs as appropriate.

·         (add additional bullets specific to the project)

 

For example, if the Interim Report is a Task or Subtask Report, use the following  description:

The Task or Subtask Report shall include, but not be limited to, the following: 

·         the goal of the task or subtask;

·         the description of the approach used;

·         list of activities performed;

·         description of the results and to what degree the goal was achieved;

·         significant issues encountered and how they were addressed;

·         a discussion of the implications regarding the success or failure of the results, and the effect on the budget and the overall objectives of the project.

·         photographs as appropriate.

·         (add additional bullets specific to the project)

 

·         Submit this draft _________Report to the Commission Project Manager for review and comment. Once agreement on this draft report has been reached, the final version shall be submitted to the Commission Project Manager for written approval, which shall be provided within 5 working days of receipt of the final version.  Key elements from the final version of this report shall be included in the Final Report for this project.

 

Deliverables:

·         Draft _______________ Test (Task, Database, etc.) Report

·         Final _______________ Test (Task, Database, etc.) Report

 

 

4.      Use this pattern for reports that will be discussed at a Critical Project Review.

·         Prepare the Draft _________(Report, Test Plan, etc). This document shall be submitted to the Commission Project Manager for review at least 15 working days prior to the (first, second, etc) Critical Project Review. This document will be one of the main topics for discussion at the Critical Project Review.   This document shall include, but not be limited to the following:  (Insert the appropriate bulleted items for either Test Plans in number 2 above or Reports in number 3 above.)

 

·         Participate in the (1st, 2nd, etc) Critical Project Review.

 

·         Modify this draft document in accordance with comments received during the Critical Project Review. The final version of this document shall be submitted to the Commission Project Manager within 10 working days after the Critical Project Review. The Commission Project Manager shall send written notification of approval to the Performing Institution within 2 working days after receipt.  Key elements from this document shall be included in the Final Report for this project.

 

Deliverables:

·         Draft _______________ (Report, Test Plan, etc)

·         Final _______________ (Report, Test Plan, etc)

 

5.      Bills of Materials or Equipment Lists

·         Prepare a Bill of Materials (or Equipment List) for _______________. (Give it a unique name.) This document shall include but not be limited to:

·         a description of each item

·         test protocols and codes applicable to each item

·         cost estimates or bids for each item

 

Deliverables:

·         Bill of Materials (or Equipment List) for_______________

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


TASK 2.0        TECHNICAL TASKS

 

The project’s work scope involves the following technical tasks:

           

Task 2.1 (Insert Task Name)

                        Task 2.2 – 2.n-2 (Insert Task Name)

                        Task 2.n-1 Technology Transfer Activities (If applicable)

Task 2.n Production Readiness Plan (If applicable)

 

Critical Project Reviews

 

Critical Project Reviews shall take place at key points in a given project.  These generally occur at predetermined points to see if the overall project goal is being achieved.  The Commission will conduct Critical Project Reviews during and/or at the conclusion of the following tasks:

 

                        Task 2.1 (Insert Task Name)

                        Task 2.n (Insert Task Name)

 

Critical Project Reviews are meetings between the Performing Institution, the Commission Project Manager and other individuals selected by the Commission Project Manager to provide objective, technical support to the Commission.  Meeting participants may include PIER Program Team Lead, Contracts Officer, Commission Technical Staff and Management.  The purpose of these meetings is to discuss with the Performing Institution the status of the project and its progress toward achieving its goals and objectives. These meetings may take place either at the Energy Commission offices in Sacramento, or at another reasonable location determined by the Commission Project Manager and the Performing Institution.

 

Before each Critical Project Review meeting, the Performing Institution shall provide the relevant task deliverable(s) to the Commission Project Manager and any other designated reviewers sufficiently in advance to permit review of the deliverable document(s) before the review meeting.  If not already defined in the Work Statement, the Commission Project Manager shall specify the contents of the deliverable document(s).

 

At the Critical Project Review meeting, the Performing Institution shall present the required technical information and participate in a discussion about the project with the Commission Project Manager and other meeting attendees, if any.

 

Following the Critical Project Review meeting, the Commission Project Manager will determine whether the Performing Institution 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.

 

As an outcome of each Critical Project Review, the Commission Project Manager will provide a written response within 10 working days to the Performing Institution indicating his or her conclusions about the project to date.  The written response may include a requirement for the Performing Institution to revise one or more deliverables that were included in the Critical Project Review.  After each review, the Commission Project Manager may reassess and reallocate the tasks, schedule, deliverables and budget for the remainder of the work including not proceeding with one or more tasks.

 

If the Commission Project Manager concludes that satisfactory progress is not being made, this conclusion will be referred to the Commission’s Research, Development and Demonstration Policy Committee for its concurrence.

 

Technical Task Descriptions

 

The work effort should be divided into a series of logical, discrete and sequential tasks. Technical tasks start with the number 2.1.  Please use the following pattern for each technical task. 

 

Task 2.1 (Insert Task Name)

The goal of this task is to . . .(Complete the sentence by inserting a brief description that identifies the expected result(s) and accomplishments for this task. The description should be 2 to 3 sentences maximum.  Use a consistent naming convention throughout the work statement.  For example, the name “photovoltaic system” is not the same as the name “solar electric generation alternative.”  Pick one name and stick with it throughout.)

 

Successful completion of this task will be measured by…(Complete the sentence by listing the performance measure(s) or other criteria that will be used to evaluate the results and to determine to what degree the goal was achieved.)

 

Meeting this goal helps to achieve the project objectives by… (Complete the sentence.)

 

The Performing Institution shall: 

·         (Insert verb in active tense) . . . (Complete the sentence.)

·         (Insert verb in active tense) . . . (Complete the sentence.)

 

(List each individual activity with a separate bullet and begin each bullet with a verb to continue the sentence beginning with "The Performing Institution shall."  Organize activities in the order in which they will occur. A bullet needs to appear before each activity. Use this section to describe the essential elements of the process you will use to complete the project..

 

The contents of each deliverable shall also be described in this section.  Only the names of each deliverable shall appear in the “Deliverables” section.  Use exactly the same name to identify a deliverable (report, data set, project plan, etc.) in the activity and in the list of deliverables. A bullet needs to appear before each deliverable.

 

Deliverables are products that incorporate the knowledge and understanding gained by performing the activities and that are submitted to the Commission for review, comment and approval. Deliverables include, but are not limited to, written reports that describe methods, test plans, results of testing, analysis of data, conclusions, and recommendations for future study, workshop agendas and summaries, description and photographs of equipment/product developed, summaries of advisory group meetings, computer software with written instructions for data input and use of the software, if intended for public or Commission use, and production prototypes. The sum of the deliverables should be sufficiently detailed to be of use to stakeholders and other researchers. The level of detail should be sufficient for an observer to assess whether the project objectives and goals have been successfully met.

 

Deliverables:

·         1st deliverable (name only)

·         2nd deliverable (name only)

(List deliverables using the same name and in the order that they appear in “The Performing Institution shall” section. Only the deliverable name should be listed here. The contents of each deliverable shall be described in “The Performing Institution shall” section.)

 

Key Personnel:

<fill in the name(s)>

(Name of key person for this task that works for the Performing Institution.  If none, state none.)

 

Key Subcontractors:

<fill in the name(s) and/or company(ies)>

(Name of key company or name of key person at key company for this task.  If none, state none.)

 

Task 2.2 – 2.n-2

(Repeat the process as shown above)

 

Task 2.n-1 Technology Transfer Activities (If applicable)

The goal of this task is to develop a plan to make the knowledge gained, experimental results and lessons learned available to decision-makers in industry and government.

 

The Performing Institution shall:

·         Prepare a Technology Transfer Plan.  The plan shall explain how the knowledge gained in this project will be made available to the public. The level of detail expected is least for research-related projects and highest for demonstration projects. Key elements from this report shall be included in the Final Report for this project.

 

·         Submit the draft Technology Transfer Plan to the Commission Project Manager for review and comment. Once agreement on the draft plan has been reached, the final plan shall be submitted to the Commission Project Manager for written approval, which shall be provided within 5 working days of receipt.

 

·         Conduct technology transfer activities in accordance with the Technology Transfer Plan.  These activities shall be reported in the Monthly Progress Reports. 

 

Deliverables:

·         Draft Technology Transfer Plan

·         Final Technology Transfer Plan

 

Key Personnel:

<fill in the name(s)>

(Name of key person for this task that works for the Performing Institution.  If none, state none.)

 

Key Subcontractors: 

<fill in the name(s) and/or company(ies)>

(Name of key company or name of key person at key company for this task.  If none, state none.)

 

 

Task 2.n Production Readiness Plan (If applicable)

The goal of the plan is to determine the steps that will lead to the mass manufacturing of the technologies developed in this project. 

 


The Performing Institution shall: 

 

·         Prepare a Production Readiness Plan. The degree of detail in the Production Readiness Plan discussion should be proportional to the complexity of producing the proposed product and its state of development. The plan shall include as appropriate but not be limited to:

·         Identification of critical production processes, equipment, facilities, personnel resources, and support systems that will be needed to produce a commercially viable product;

·         Internal manufacturing facilities, as well as supplier technologies, capacity constraints imposed by the design under consideration, identification of design critical elements and the use of hazardous or non-recyclable materials. The product manufacturing effort may include “proof of production processes”;

·         A projected “should cost” for the product when in production;

·         The expected investment threshold to launch the commercial product;

·         An implementation plan to ramp up to full production.

 

·         Submit the draft Production Readiness Plan to the Commission Project Manager for review and comment. Once agreement on the draft plan has been reached the final plan shall be submitted to the Commission Project Manager for written approval, which shall be provided within 5 working days of receipt.

 

Deliverables:

·         Draft Production Readiness Plan

·         Final Production Readiness Plan

 

Key Personnel: 

<fill in the name(s)>

(Name of key person for this task that works for the Performing Institution.  If none, state none.)

 

Key Subcontractors:

<fill in the name(s) and/or company(ies)>

(Name of key company or name of key person at key company for this task.  If none, state none.)

 

Task 3.0 Reporting Tasks

 

All public reports shall be delivered to the Accounting Office address listed on Exhibit D.

 

All confidential reports shall be sealed and marked “Confidential Deliverable” and submitted to the Contracts Officer listed on Exhibit D.

 

Task 3.1 Progress Reports (Determine if Monthly or Quarterly when preparing the WA)

 

The objective of this task is to periodically verify that satisfactory and continued progress is made towards achieving the research objectives of this program.

 

The Performing Institution shall submit a written Progress Report to the Commission Project Manager by the 30th of each reporting period, starting after project execution and shall continue each following reporting period until the Final Report has been accepted by the Commission Project Manager. Attachment 1 provides the sample format and content requirements for these reports.

 

Deliverables:  

·         Progress reports

 

Key Personnel:

<fill in the name(s)>

(Name of key person for this task that works for the Performing Institution.  If none, state none.)

 

Key Subcontractors:

<fill in the name(s) and/or company(ies)>

(Name of key company or name of key person at key company for this task.  If none, state none.)

 

Task 3.2 Final Report

 

The Final Report shall be a public document.  If the Performing Institution has obtained confidential status from the Commission and will be preparing a confidential version of the Final Report as well, the Performing Institution shall perform the following tasks for both the public and confidential versions of the Final report.  Attachment 2 provides the format and content requirements.

 

Subtask 3.2.1 Final Report Outline

 

The Performing Institution shall:

 

·         Prepare an outline of the Final Report describing the original purpose, approach and results of the project.  The Commission Project Manager shall provide the suggested format for this outline.

 

·         Submit the final report outline to the Commission Project Manager for review and approval. Once agreement on the outline has been reached, it shall be submitted to the Commission Project Manager within 5 working days. The Commission Project Manager shall provide written approval within 5 working days of receipt.

 

Deliverables: 

·         Final Report Outline

 

Subtask 3.2.2 Draft Final Report

 

The Performing Institution shall:

 

·         Prepare the Draft Final Report for the project.  The format of the report shall follow the approved outline.

 

·         Submit the draft final report to the Commission Project Manager for review and comment. The Commission Project Manager will provide written comments within 20 working days of receipt.  The Performing Institution shall revise the draft final report incorporating the Commission Project Manager’s corrections and required changes.   Once agreement on the draft final report has been reached, the Commission Project Manager shall provide written approval within 5 working days.

 

Deliverables:  

·         Draft Final Report

 


Subtask 3.2.3 Final Report

 

The Performing Institution shall:

 

Submit the final report within 10 working days of receipt of the approval letter. The Performing Institution shall submit two unbound copies and one electronic copy of the Final Report to the Commission Project Manager.

 

Deliverables:  

·         Final Report

 

Key Personnel:

<fill in the name(s)>

(Name of key person for this task that works for the Performing Institution.  If none, state none.)

 

Key Subcontractors:

<fill in the name(s) and/or company(ies)>

(Name of key company or name of key person at key company for this task.  If none, state none.)

 

Task 3.3 Final Meeting

 

A final meeting for project closeout will be attended by, at a minimum, the Performing Institution and the Commission Project Manager.  The technical and administrative aspects of project closeout will be discussed at the meeting, which may be two separate meetings at the discretion of the Commission Project Manager.

 

The technical portion of the meeting shall present findings, conclusions, and recommended next steps (if any) for the project.  The Commission Project Manager will determine the appropriate meeting participants.

 

The administrative portion of the meeting shall be a discussion with the Commission Project Manager and the Contracts Officer about the following project closeout items:

 

·         What to do with equipment (Commission directions for disposition)

·         Commission’s request for specific “generated” data (not already provided in the deliverables)

·         Need to document Performing Institution’s disclosure of “subject inventions” developed under the project

·          “Surviving” contract provisions, such as repayment provisions and record retention

·         Final invoicing

 

Deliverables: 

·         Meeting participation

·         Written documentation of meeting agreements and all pertinent information.

 

Key Personnel:

<fill in the name(s)>

(Name of key person for this task that works for the Performing Institution.  If none, state none.)

 

Key Subcontractors:

<fill in the name(s) and/or company(ies)>

(Name of key company or name of key person at key company for this task.  If none, state none.)


Deliverables, Due Dates and Gantt Chart


 

 


An example Gantt Chart follows:

 

Note:  It does not matter whether the Gantt Chart is created in Microsoft Excel or Microsoft Project.  However, it must fit on one 8 1/2 x 11 page.