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 W