Appendix C Info Risk Reduction Statement of Substantial Involvement (applicable to Risk Reduction).pdf

Funding Opportunity Number: DE-FOA-0002271

APPENDIX C:

STATEMENT OF SUBSTANTIAL INVOLVEMENT (DRAFT)

RISK REDUCTION

FOR FUTURE DEMONSTATION PROJECTS

DOE anticipates having substantial involvement during the project period, through technical assistance, advice, intervention, integration with other awardees performing related activities, and technical transfer activities. The recipient's responsibilities are listed in paragraph a. and DOE's responsibilities are listed in paragraph b.

a. Recipient's responsibilities.

The recipient is responsible for:

(1) Performing the activities supported by this award, including providing the required personnel, facilities, supplies and services;

(2) Defining approaches and plans, submitting the plans to DOE for review, and incorporating DOE's comments;

(3) Managing and conducting the project activities, including coordinating with DOE contractors as needed;

(4) Submitting technical reports as stated in the Federal Assistance Reporting Checklist, and incorporating DOE comments;

(5) Update project costs and performance data in the DOE-NE Performance Information Collection System (PICS). Recipient personnel will update project information at the work breakdown level agreed to in separate negotiations. Schedules will be developed at the appropriate level of detail to define work, key milestones will be provided with the reasonable costs assigned, and personnel will be assigned clear responsibility to update and submit work package information; and

(6) Presenting the project results at appropriate technical conferences or meetings as directed by the DOE Project Officer.

(7) DOE-NE Program Accrual Information. DOE requires the monthly tracking of uncosted obligations on financial assistance awards in the DOE accounting system to assist DOE in accomplishing more accurate project management and to more accurately recognize Department liabilities to the recipient. DOE personnel do this internally by subtracting paid costs and any costs accrued (yet to be paid incurred costs of the recipient) from the amounts obligated on the financial assistance award. In accomplishing this, DOE may request the recipient provide additional cost accrual information to accurately estimate/document the accrual in the DOE accounting system. If such information is needed, DOE will normally do this using an e-mail to the recipient, requesting the recipient identify the dollar value of work it has performed each month but not yet invoiced as of month end. Recipients will cooperate with DOE in providing the needed cost accrual information.

(8) Presenting the project results at appropriate technical conferences or meetings as appropriate in coordination with the DOE Project Officer

b. DOE responsibilities.

Normal Federal Stewardship Responsibilities

DOE is responsible for the exercise of normal Federal stewardship responsibilities, including:

(1) Approving recipient plans prior to award.

(2) Providing technical assistance prior to the start of the activity and the recipient understands this prior to award, if requested by the recipient.

(3) Providing technical assistance to correct deficiencies in project or financial performance when reports or monitoring indicates some sort of problem.

(4) Performing site visits.

(5) Reviewing financial, performance, and audit reports.

(6) Performing technical reviews to determine whether to continue funding the next budget period.

(7) Reviewing performance to ensure that the objectives, terms, and conditions of the award are accomplished.

(8) Providing general administrative requirements, such as prior approvals required by the financial assistance regulations and/or OMB Circulars.

(9) Reviewing performance after completion.

DOE Substantial Federal Involvement

In addition to the above normal Federal stewardship responsibilities, DOE is responsible for:

(1) Reviewing in a timely manner annual project work plans and deliverables, and redirecting the work effort if the plans do not address critical programmatic issues;

(2) Conducting a semiannual program review meeting to ensure adequate progress and that the work accomplishes the program and project activities. At the appropriate project review meeting, the award recipient will provide progress status and issues and present the detailed work plan and budget requirements for the following period. In addition to this scheduled review, DOE may conduct unscheduled reviews, if necessary, on a non-interference basis, which may be used by DOE for assessments of whether to have continued performance of the awards.

(3) Redirecting work or shifting work emphasis, if needed; participating in recipient meetings and conference calls; this includes additional monitoring to permit specified kinds of direction or redirection of the work because of interrelationships with other projects;

(4) Serving as scientific/technical liaison between the awardee and other program or industry staff;

(5) Oversight of recipient progress to help ensure the project achieves intended results. This may include shifting work emphasis, within the various projects, if necessary to achieve project goals. If work scope changes are required, they will be negotiated between the parties;

(6) Assisting with coordination between reactor vendors and power companies;

(7) Coordinating the conduct of independent reviews of the project baseline;

c. There are limitations on recipient and DOE responsibilities and authorities in the performance of the project activities. Performance of the project activities must be within the scope of the Statement of Objectives, the terms and conditions of the Cooperative Agreement, and the funding and schedule constraints.