Statement of Project Objectives (SOPO)

[Award Number][Mod Number]

[Recipient Organization Name]
[Project Title]

[The instructional red and blue text and attachments below should be removed in the final
version of the SOPO]

All of the information to be included in the SOPO must be consistent with the Application and
any Negotiation Strategies upon which the award was selected. In most cases, the SOPO
sections below can be extracted directly from the Work Plan portion of the Technical Volume
submitted by the Applicant. Attachment 1 of this template highlights the sections of the Work
Plan that form the basis of the SOPO. Significant deviations from the original application
require approval of both the Selection Official and the Contracting Officer. The SOPO should
accurately define what work is to be done and the expected progress to be achieved. In general,
the total length typically should not exceed 10 pages, but could be substantially longer for
complex projects.

The following items should not be included in the SOPO:

 Dollar amounts.
 Specific dates (only include general time frames (i.e. Demonstrate XYZ result by Month
3, not Demonstrate XYZ by June 8th, 2013).
 Subcontractors, vendors or individuals by name. The award is with the prime and, as
such, the SOPO should not generally reference the subcontractors.

Intellectual property information and other aspects of the project that could be considered
proprietary or business confidential should be clearly marked in the final version of the SOPO.
The SOPO must be marked as follows and identify the specific pages containing confidential,
proprietary, or privileged information:

Notice of Restriction on Disclosure and Use of Data:

Pages [list applicable pages] of this document may contain confidential, proprietary, or
privileged information that is exempt from public disclosure. Such information shall be
used or disclosed only for evaluation purposes or in accordance with a financial
assistance agreement between the submitter and the Government. The Government may
use or disclose any information that is not appropriately marked or otherwise restricted,
regardless of source.

The header and footer of every page that contains confidential, proprietary, or privileged
information must be marked as follows: “Contains Confidential, Proprietary, or
Privileged Information Exempt from Public Disclosure.”

In addition, every line and paragraph containing proprietary, privileged, or trade secret
information must be clearly marked with double brackets or highlighting.

Page 1 of 24
 Statement of Project Objectives (SOPO)

A. PROJECT OBJECTIVES

Note: This content may be extracted from the ‘Project Objectives’ section of the Work Plan
submitted by the Applicant. The Technology Manager/Project Manager should ensure that the
content meets the following guidelines:

Provide a clear and concise (high-level) statement of the goals and objectives of the project as
well as the expected outcomes. If the award is to be structured in Budget Periods (or Phases),
include the objective(s) for each Budget Period (or Phase).

B. TECHNICAL SCOPE SUMMARY

Note: This content may be extracted from the ‘Technical Scope Summary’ section of the Work
Plan submitted by the Applicant. The Technology Manager/Project Manager should ensure that
the content meets the following guidelines:

Provide a summary description of the overall work scope and approach to achieve the
objective(s). The work scope description needs to be divided by Budget Periods (or Phases) that
are separated by discrete, approximately annual decision points (see below for more information
on go/no-go decision points). The applicant should describe the specific expected end result of
each performance period.

C. TASKS TO BE PERFORMED

Note: This content may be extracted from the ‘Work Breakdown Structure (WBS) and Task
Descriptions’ section of the Work Plan submitted by the Applicant. The task descriptions (i.e.
Task Summary) should be included in the SOPO, but the ‘Task Details’ should not necessarily be
included in the award document as this level of detail could result in overly burdensome award
modifications. The Technology Manager/Project Manager should ensure that the content meets
the following guidelines:

The section should describe the specific activities to be conducted over the life of the project.
This section provides a summary of the planned approach to this project and should clearly
articulate what work must be accomplished to execute the project scope and thus meet the
established project objectives.

The task descriptions should be structured with a hierarchy of performance period separated by
at least one project-wide go/no-go decision point approximately every 12 months of the project.
In other words, tasks should be organized in a logical sequence and should be divided into the
phases of the project, as appropriate.

Each task and subtask is to have a unique number and title and an indication of the approximate
duration of the task or subtask in months. Each task and subtask is to have a task summary that

Page 2 of 24
 Statement of Project Objectives (SOPO)

describes the objectives, what work is to be accomplished, and relationship to project

deliverables or expected results. Appropriate milestones and go/no-go decision criteria should be
incorporated into the task and subtask structure.

Milestones: The SOPO should identify appropriate milestones throughout the project to
demonstrate success, where success is defined as technical achievement rather than simply
completing a task. Milestones should follow the SMART rule of thumb, which is that all
milestones should be Specific, Measurable, Achievable, Relevant, and Timely. . Unless
otherwise specified in the FOA, the minimum requirement is that each project must have at least
one milestone per quarter for the duration of the project (depending on the project, more
milestones may be necessary to comprehensively demonstrate progress). The Applicant should
also provide the means by which the milestone will be verified. In addition to describing
milestones in the SOPO text, the milestones should be included in the Milestone Summary Table
below.

Go/No-Go Decision Points: The SOPO should include project-wide go/no-go decision points at
appropriate points in the work plan. A go/no-go decision point is a risk management tool and a
project management best practice to ensure that, for the current phase or period of performance,
technical success is definitively achieved and potential for success in future phases or periods of
performance is evaluated, prior to actually beginning the execution of future phases. Unless
otherwise specified in the FOA, the minimum requirement is that each project must have at least
one project-wide go/no-go decision point for each year (approximately each 12-month period) of
the project. The SOPO should also include the specific technical criteria that will be used to
evaluate the progress and make the go/no-go decision. In addition to describing the go/no-go
decision points in the SOPO text, the go/no-go decision points and their method of verification
should be included in the Milestone Summary Table below.

Below is an example of a typical task structure. While the example illustrates two Phases and
three tasks, the specific project work scope will dictate the appropriate number of phases, budget
periods, tasks and subtasks:

BUDGET PERIOD 1 (or PHASE 1) [TITLE] – Budget Period or Phase designations may not
be necessary for all awards, but are required for multi-year projects when subsequent work
authorization is dependent on meeting success or acceptance criteria associated with major
milestones or go/no-go decision points. Text describing the milestone or go/no-go decision is to
be inserted into the task structure at the point where prior completed work is expected to confirm
attainment of the milestone or support the criteria established to make the go/no-go decision.

Task 1.0: Distinctive Title, Date range of the task in months (M1-M4)

Task Summary: Task summaries shall explicitly describe what work is to be accomplished,
identify the project objectives/outcomes being addresses and provide a concise statement of the
objectives of that task. In addition, the description should indicate the project deliverables or
expected results that this task will help achieve.

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 Statement of Project Objectives (SOPO)

Milestone 1.1 (if applicable)

Milestone 1.2 (if applicable)
Etc.

Subtask 1.1: Title, Date range (M1-M2)

Subtask Summary: Describe the specific and detailed work efforts that go into achieving the
higher-level tasks.

Milestone 1.1.1 (if applicable)

Milestone 1.1.2 (if applicable)
Etc.

Subtask 1.2:
(Continue until all Task 1 subtasks are listed)

Task 2.0: (continue in the format above until all tasks and subtasks are listed)
Subtask 2.1: Title, Date range, Subtask Summary Description
Subtask 2.2: Title, Date range, Subtask Summary Description

Budget Period 1 (or Phase 1) Go/No-Go Decision Point: Insert go/no-go decision description,
including the specific technical criteria or basis on which the decision is to be made.

BUDGET PERIOD 2 (or PHASE 2) [TITLE]

Task 3.0: Distinctive Title, Date range of the task in months (M1-M4)
(continue in the format above until all tasks and subtasks are listed)

D. PROJECT MANAGEMENT AND REPORTING

This section should briefly describe relevant project management and reporting activities during
all budget periods, including any special reporting requirements or deliverables.

Reports and other deliverables will be provided in accordance with the Federal Assistance
Reporting Checklist following the instructions included therein.

Additional deliverables as indicated in the task/subtask descriptions include the following:

[Note: If items other than those identified on the "Federal Assistance Reporting Checklist" will
be delivered to DOE, these deliverables will be identified within the text of the Statement of
Project Objectives and should be identified here. See the following examples:

1. Subtask 1.1 - (Topical Report or Item (e.g. hardware for testing) Description)
2. Task 2 - (Topical Report or Item (e.g. hardware for testing) Description)

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 Statement of Project Objectives (SOPO)

Milestone Summary Table

Recipient Name:
Project Title:
Milestone Milestone Milestone Anticipated
Task or Milestone Type Anticipated Date
Number* Description Verification Quarter
Task Subtask (if (Milestone or (Months from
(Go/No-Go (Go/No-Go Process (Quarters from
Number applicable) Go/No-Go Start of the
Decision Point Decision (What, How, Start of the
Title Decision Point) Project)
Number) Criteria) Who, Where) Project)

See Milestone Summary Table

examples in Attachment 2 below

Note: This content may be extracted from the ‘Milestone Summary Table’ section of the Work Plan submitted by the Applicant. The
Technology Manager/Project Manager should ensure that the content meets the following guidelines:

* Milestone numbering convention should align with Task and Subtask numbers, as appropriate. For example, M1.1, M3.2, etc.

Note 1: It is required that each project have at least one milestone per quarter for the entire project duration. It is not necessary that
each task have one milestone per quarter.

Note 2: It is required that each project have at least one project-wide go/no-go decision point approximately each year. If a decision
point is not specific to a particular task, then you may leave the task information blank for those decision points.

Note 3: All milestones should follow the SMART rule of thumb: Specific, Measurable, Achievable, Relevant, and Timely

Page 5 of 24
 Attachment 1 – SOPO-related information in Work Plan

The Work Plan portion of the Technical Volume submitted by the Applicant should be used to
develop the Statement of Project Objectives (SOPO). In most cases, the SOPO information
can be extracted directly from the Work Plan submitted with the original application. The
highlighted text below indicates the SOPO-related information in the Work Plan.

EERE DEFAULT TECHNICAL VOLUME FOR FULL APPLICATIONS:

SECTION DESCRIPTION
The cover page should include the project title, the specific FOA Topic Area being
Cover Page
addressed (if applicable), both technical and business points of contact, names of all
team member organizations, and any statements regarding confidentiality.
The Project Overview should contain the following information:
Project Overview
(Approximately 10% of the  Background: The Applicant should discuss the background of their
Technical Volume) organization, including the history, successes, and current research and
development status (i.e., the technical baseline) relevant to the technical
topic being addressed in the Full Application.
 Project Goal: The Applicant should explicitly identify the targeted
improvements to the baseline technology and the critical success factors in
achieving that goal.
 DOE Impact: The Applicant should discuss the impact that DOE funding
would have on the proposed project. Applicants should specifically explain
how DOE funding, relative to prior, current, or anticipated funding from
other public and private sources, is necessary to achieve the project
objectives.

The Technical Description should contain the following information:

Technical Description,
Innovation, and Impact
(Approximately 25% of the
Technical Volume)
Work Plan (Approximately The Work Plan should contain the following information:
 Relevance and Outcomes: The Applicant should provide a detailed
description of the technology, including the scientific and other principles
and objectives that will be pursued during the project. This section should
describe the relevance of the proposed project to the goals and objectives
of the FOA, including the potential to meet specific DOE technical targets or
other relevant performance targets. The Applicant should clearly specify
the expected outcomes of the project.
 Feasibility: The Applicant should demonstrate the technical feasibility of the
proposed technology and capability of achieving the anticipated
performance targets, including a description of previous work done and
prior results.
 Innovation and Impacts: The Applicant should describe the current state of
the art in the applicable field, the specific innovation of the proposed
technology, the advantages of proposed technology over current and
emerging technologies, and the overall impact on advancing the state of the
art/technical baseline if the project is successful.

Page 6 of 24
50% of the Technical  Project Objectives: The Applicant should provide a clear and concise (high-
Volume) level) statement of the goals and objectives of the project as well as the
expected outcomes.
 Technical Scope Summary: The Applicant should provide a summary
description of the overall work scope and approach to achieve the
objective(s). The overall work scope is to be divided by performance
periods that are separated by discrete, approximately annual decision points
(see below for more information on go/no-go decision points). The
applicant should describe the specific expected end result of each
performance period.
 Work Breakdown Structure (WBS) and Task Descriptions: The Work Plan
should fully describe the work to be accomplished and how the applicant
will achieve the milestones, will accomplish the final project goal(s), and will
produce all deliverables. The Work Plan is to be structured with a hierarchy
of performance period (approximately annual), task and subtasks, which is
typical of a standard work breakdown structure (WBS) for any project. The
Work Plan shall contain a concise detailed description of the specific
activities to be conducted over the life of the project. “Detailed” is defined
as a full explanation and disclosure of the project being proposed (i.e., a
statement such as “we will then complete a proprietary process” is
unacceptable). It is the Applicant’s responsibility to prepare an adequately
detailed task plan to describe the proposed project and the plan for
addressing the objectives of this FOA. To this end each task and subtask is
to have a unique number and title and an indication of the duration of the
task or subtask in months. Each task and subtask is to have a task summary
that describes the objectives, what work is to be accomplished, and
relationship to project deliverables or expected results. Appropriate
milestones should be incorporated into the task and subtask structure. Each
task and subtask is to have a technical details section, as appropriate, to
discuss how the work will be done, anticipated problems or uncertainties,
and any further clarification, such as why a specific approach is being taken.
An example Work Breakdown Structure is provided below.
 Milestones: The Applicant should provide appropriate milestones
throughout the project to demonstrate success, where success is defined as
technical achievement rather than simply completing a task. To ensure that
milestones are relevant, Applicants should follow the SMART rule of thumb,
which is that all milestones should be Specific, Measurable, Achievable,
Relevant, and Timely. Unless otherwise specified in the FOA, the minimum
requirement is that each project must have at least one milestone per
quarter for the duration of the project (depending on the project, more
milestones may be necessary to comprehensively demonstrate progress).
The Applicant should also provide the means by which the milestone will be
verified. In addition to describing milestones in the Work Plan text and
including them in the schedule, the Applicant is required to complete the
Milestone Summary Table shown below.
 Go/No-Go Decision Points: The Applicant should provide project-wide
go/no-go decision points at appropriate points in the Work Plan. A go/no-go
decision point is a risk management tool and a project management best
practice to ensure that, for the current phase or period of performance,
technical success is definitively achieved and potential for success in future

Page 7 of 24
 phases or periods of performance is evaluated, prior to actually beginning
the execution of future phases. Unless otherwise specified in the FOA, the
minimum requirement is that each project must have at least one project-
wide go/no-go decision point for each year (12-month period) of the
project. The Applicant should also provide the specific technical criteria to
be used to make the go/no-go decision. In addition to describing the go/no-
go decision points in the Work Plan text and including them in the schedule,
the Applicant is required to complete the Milestone Summary Table shown
below, which must include go/no-go decision points and their method of
verification.
 Project Schedule (Gantt Chart or similar): The Applicant should provide a
detailed schedule for the entire project, including task and subtask
durations, milestones, and go/no-go decision points.
 Project Management: The Applicant should discuss the team’s proposed
management plan, including the following:
o The overall approach to and organization for managing the work
o The roles of each Project Team member
o Any critical handoffs/interdependencies among Project Team
members
o The technical and management aspects of the management plan,
including systems and practices, such as financial and project
management practices
o The approach to project risk management
o A description of how project changes will be handled
o If applicable, the approach to Quality Assurance/Control
o How communications will be maintained among Project Team
members

 Market Transformation/Commercialization Plan: The Applicant should

provide a market transformation/commercialization plan, including the
following:
o Identification of target market, competitors, and distribution
channels for proposed technology along with known or perceived
barriers to market penetration, including a mitigation plan
o Identification of a product development and/or service plan,
commercialization timeline, financing, product marketing,
legal/regulatory considerations including intellectual property,
infrastructure requirements, data dissemination, U.S.
manufacturing plan etc., and product distribution

Page 8 of 24
 Milestone Summary Table
Recipient Name:
Project Title:
Milestone
Milestone
Task or Milestone Type Milestone Number* Verification Anticipated Date Anticipated Quarter
Task Description
Subtask (if (Milestone or Go/No- (Go/No-Go Decision Process (Months from Start (Quarters from Start
Number (Go/No-Go
applicable) Title Go Decision Point) Point Number) (What, How, Who, of the Project) of the Project)
Decision Criteria)
Where)

See Milestone Summary Table

examples in Attachment 2 below

* Milestone numbering convention should align with Task and Subtask numbers, as appropriate. For example, M1.1, M3.2, etc.

Note 1: It is required that each project have at least one milestone per quarter for the entire project duration. It is not necessary that each task have
one milestone per quarter.

Note 2: It is required that each project have at least one project-wide go/no-go decision point approximately each year. If a decision point is not
specific to a particular task, then you may leave the task information blank for those decision points.

Note 3: All milestones should follow the SMART rule of thumb: Specific, Measurable, Achievable, Relevant, and Timely

Page 9 of 24
 Example Work Breakdown Structure

Technical Summary: Provide a high-level overview of the final result of this project. Explain the
final objective, outcome, milestone and/or deliverable that are to be produced and the rationale
for why the applicant has organized the tasks in the way they have.

Technical Details (Optional): Describe the relevant management, engineering, design, process,
scientific or other principles and aspects of the project that warrant discussion.

Task 1: Distinctive Title, Date range of the task in months (M1-M4)

Task Summary: Task summaries shall explicitly describe what work is to be accomplished,
identify the project objectives/outcomes being addresses and provide a concise statement of
the objectives of that task. In addition, the description should indicate the project deliverables
that this task will help achieve (D1, D2, D5 etc. note that deliverables may be applicable to
multiple or all tasks.]

Task Details: Within this section, the barriers and risks should be identified, as well as the
approaches for overcoming those barriers and risks. Where appropriate, multiple pathways early
in the effort can be outlined for risk reduction.

Milestone 1.1 (if applicable)

Milestone 1.2 (if applicable)
Etc.

Subtask 1.1: Date range (M1-M2)

Subtask Summary: Describe the specific and detailed work efforts that go into achieving the
higher-level tasks.

Subtask Details: Describe the evaluation techniques that will be used and the expected result
that will be generated from the effort.

Milestone 1.1.1 (if applicable)

Milestone 1.1.2 (if applicable)
Etc.

Subtask 1.2:
(Continue until all Task 1 subtasks are listed)

Task 2: (continue in the format above until all tasks and subtasks are listed)
Subtask 2.1: Description and Discussion
Subtask 2.2: Description and Discussion

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Technical Qualifications The Technical Qualifications and Resources should contain the following information:
and Resources
 Describe the Project Team’s unique qualifications and expertise, including
(Approximately 15% of the
those of key subrecipients
Technical Volume)
 Describe the Project Team’s existing equipment and facilities that will
facilitate the successful completion of the proposed project; include a
justification of any new equipment or facilities requested as part of the
project
 This section should also include relevant, previous work efforts,
demonstrated innovations, and how these enable the Applicant to achieve
the project objectives.
 Describe the time commitment of the key team members to support the
project.
 Attach one-page resumes for key participating team members as an
appendix. Resumes do not count towards the page limit. Multi-page
resumes are not allowed.
 Describe the technical services to be provided by DOE/NNSA FFRDCs and
GOGOs, if applicable.
 Attach any letters of support from partners/end users as an appendix (1
page maximum per letter). Letters of support do not count towards the
page limit.
 For multi-organizational or multi-investigator projects, describe succinctly:
o The roles and the work to be performed by each PI and Key
Participant;
o Business agreements between the Applicant and each PI and Key
Participant;
o How the various efforts will be integrated and managed;
o Process for making decisions on scientific/technical direction;
o Publication arrangements;
o Intellectual Property issues; and
o Communication plans

FOA-Specific
Requirements

Page 11 of 24
 Attachment 2 – Example Milestone Summary Tables

Below are three examples of Milestone Summary Tables.

Example 1 is a milestone table for an R&D project with parallel efforts for material
development, tool design and reliability testing.

Example 2 is a milestone table for an offshore wind demonstration project that will complete
the initial engineering design, as well as initiation of all permitting or studies required for
regulatory compliance and the NEPA review process, with a DOE down-select of funded
projects at the end of the first budget period.

Example 3 is a milestone table for an Integrated Bio-Refinery (IBR) demonstration project.

Page 12 of 24
Example 1: Milestone Summary Table for an R&D project with parallel efforts for material development, tool design and
reliability testing.

Milestone Summary Table

Recipient Name:
Project Title:
Milestone Milestone
Anticipated Anticipated
Task or Type Number*
Date Quarter
Task Subtask (if (Milestone (Go/No-Go Milestone Description Milestone Verification Process
(Months (Quarters
Number applicable) or Go/No-Go Decision (Go/No-Go Decision Criteria) (What, How, Who, Where)
from Start of from Start of
Title Decision Point
the Project) the Project)
Point) Number)
1.0 Material synthesis
Demonstrate a 1L batch size Send 5 slides to NREL for
Batch with a >1.5% absolute transmission test, 3 must meet
1.1 Milestone 1.1.1 1 1
Quality performance improvement pass over 350~1000nm
over a non-coated device ASTM173 spectrum
Demonstrate a 1L batch size Send 5 slides to NREL for
Batch with a >2.0% absolute transmission test, 3 must meet
1.1 Milestone 1.1.2 6 2
Quality performance improvement pass over 350~1000nm
over a non-coated device ASTM173 spectrum
Demonstrate a 1L batch size Send 5 slides to NREL for
Batch with a >2.5% absolute transmission test, 3 must meet
1.1 Milestone 1.1.3 14 5
Quality performance improvement pass over 350~1000nm
over a non-coated device ASTM173 spectrum
Demonstrate a 100L batch size Send 5 slides to NREL for
Batch with a >2.0% absolute transmission test, 3 must meet
1.2 Milestone 1.2.1 10 4
Volume performance improvement pass over 350~1000nm
over a non-coated device ASTM173 spectrum
Demonstrate a 1000L batch Send 5 slides to NREL for
Batch size with a >2.5% absolute transmission test, 3 must meet
1.2 Milestone 1.2.2 16 6
Volume performance improvement pass over 350~1000nm
over a non-coated device ASTM173 spectrum
2.0 Coating Area & Uniformity
2.0 Coating Area Milestone 2.1 Demonstrate a 1x1 cm coating Send 5 slides/sheets to NREL 1 1
& with a >1.5% absolute for transmission test measured
Uniformity performance improvement for at the center and 4 corners, 3
entire device over a non-coated must meet pass over
device 350~1000nm ASTM173
 spectrum
Send 5 slides/sheets to NREL
Demonstrate a 10x10 cm batch
for transmission test measured
Coating Area size with a >2.0% absolute
at the center and 4 corners, 3
2.0 & Milestone 2.2 performance improvement for 9 3
must meet pass over
Uniformity entire device over a non-coated
350~1000nm ASTM173
device
spectrum
Send 5 slides/sheets to NREL
Demonstrate a 1x1 m2 batch
for transmission test measured
Coating Area size with a >2.5% absolute
at the center and 4 corners, 3
2.0 & Milestone 2.3 performance improvement for 15 5
must meet pass over
Uniformity entire device over a non-coated
350~1000nm ASTM173
device
spectrum
Send 5 slides/sheets to NREL
Demonstrate 100L batch size
for transmission test measured
Go/No-Go with a >2.0% absolute
Go/No-Go # at the center and 4 corners, 3
Decision performance improvement 12 4
1 must meet pass over
Point over a non-coated device on a
350~1000nm ASTM173
10x10 cm glass slide
spectrum
3.0 Tool development
Video of tool operation,
Pilot Tool - Design,
including full sequence of glass
3.1 Pilot Tool Milestone 3.1.1 Fabrication, Debug Complete, 18 6
panel from input to output.
Switch-On
Uploaded to DOE web site
Demonstrate Pilot-Tool cycling Video of tool operation,
of material through coat & dry including full sequence of glass
3.1 Pilot Tool Milestone 3.1.2 18 6
process steps with IPA as panel from input to output.
simulated coating fluid Uploaded to DOE web site
Demonstrate air handling Video includes sequence
3.1 Pilot Tool Milestone 3.1.3 system, VOC abatement showing HVAC & VOC 18 6
systems operational Oxidizer systems in operation
Video includes sequence
Demonstrate safety systems &
3.1 Pilot Tool Milestone 3.1.4 showing operation of safety 18 6
interlocks operational
interlocks
Coating process documented by
Demonstrate ability to coat
3.1 Pilot Tool Milestone 3.1.5 video, uploaded to DOE web 18 6
2x1m glass panel in Pilot tool.
site
3.1 Pilot Tool Milestone 3.1.6 Achieve average 2% absolute Send 6 coupons to NREL cut 21 7
performance improvements 6 according to 2x1m test grid, 4/6
sample points must meet requirement over
 350~1000nm ASTM173
spectrum
Coating process documented by
Coat, assembly and test full video, Confirm assembly
3.1 Pilot Tool Milestone 3.1.7 24 8
size 1x2m panels success by providing post
assembly flash test data to DOE
No significant visible defect
Achieve at least 75% yield detected by eye at a distance of
3.1 Pilot Tool Milestone 3.1.8 24 8
against defect spec. 2m with optimal lighting for
defect detection
Video of tool operation,
Production Tool - Design,
Production including full sequence of glass
3.2 Milestone 3.2.1 Fabrication, Debug Complete, 25 9
Tool panel from input to output.
Switch-On
Uploaded to DOE web site
Demonstrate air handling Video includes sequence
Production
3.2 Milestone 3.2.2 system, VOC abatement showing HVAC & VOC 26 9
Tool
systems operational Oxidizer systems in operation
Video includes sequence
Production Demonstrate safety systems &
3.2 Milestone 3.2.3 showing operation of safety 27 9
Tool interlocks operational
interlocks
Panels tested with hand-held
Production Produce 1st articles of coated Konica 2600d reflectometer,
3.2 Milestone 3.2.4 27 9
Tool glass to full design spec. using 5-point pattern in 2x1m
test grid
Video of tool operation,
Demonstrate operation at
Production including full sequence of glass
3.2 Milestone 3.2.5 design through-put (at least 50 28 10
Tool panel from input to output.
units per hour).
Uploaded to DOE web site
Panels tested with hand-held
Demonstrate coating of one or
Production Konica 2600d reflectometer,
3.2 Milestone 3.2.6 more glass panels to customer 32 11
Tool using 5-point pattern in 2x1m
agreed coating spec.
test grid
Production Sign-off on safety systems & Provide copy of release to ship
3.2 Milestone 3.2.7 34 12
Tool Ready to ship paperwork to DOE
4.0 Customer Engagement
Provide LOI from prospective
4.1 LOI Milestone 4.1.1 customer for delivery of a Copy of letter provided to DOE 16 6
production tool
4.1 LOI Milestone 4.1.2 Provide LOI from 2 additional Copy of letters provided to DOE 30 10
 prospective customer for
delivery of a production tool
Customer Tool acceptance specification Provide copy of signed
4.2 Milestone 4.2.1 33 11
Acceptance agreed and signed by customer document to DOE
Sign-off of tool acceptance
specification by customer.
Customer Provide copy of release to ship
4.2 Milestone 4.2.2 Verification & agreement that 34 12
Acceptance paperwork to DOE
all performance metrics have
been met or exceeded.
Customer sign-off on supply
Customer agreement for high volume Provide copy of signed supply
4.3 Milestone 4.3.1 36 12
Sales manufacturing supply chain agreement to DOE
and quality assurance process
Demonstrate ability to coat Send 6 coupons to NREL cut
2x1m glass panel in Pilot tool according to 2x1m test grid, 4/6
and achieve an average of must meet requirement over
Go/No-Go
Go/No-Go 2.5% absolute performance 350~1000nm ASTM173; No
Decision 30 10
#2 improvements 6 sample points significant visible defect
Point
with a 50UPH throughput and detected by eye at a distance of
at least 75% yield against 2m with optimal lighting for
defect spec. defect detection spectrum.
Go/No-Go
Go/No-Go Provide copy of signed supply
Decision 1 tool sold and installed 36 12
#3 agreement to DOE
Point
5.0 Reliability
Coat 6 units send coated units Letter from NREL verifying
Outdoor
5.1 Milestone 5.1.1 to NREL with 6 uncoated units receipt and installation will be 1 1
Testing
to perform outdoor testing sent to DOE.
Initial Report from NREL
Submit 6 coated units to NREL
5.2 Lifetime Milestone 5.2.1 documenting testing results will 1 1
for lifetime testing
Testing be sent to the DOE
Submit 6 coated units to NREL Report from NREL
Pass lifetime
5.2 Milestone 5.2.2 lifetime testing with 5 units documenting testing results will 21 7
Test
passing be sent to the DOE
Initial Report from NREL
Submit 6 coated units to NREL
5.3 Abrasion Milestone 5.3.1 documenting testing results will 1 1
abrasion testing
Test be sent to the DOE
5.3 Pass Milestone 5.3.2 Submit 6 coated units to NREL Report from NREL 21 7
Abrasion abrasion testing with 5 units documenting testing results will
Test passing with 5 units passing be sent to the DOE
Pass lifetime and Abrasion
Report from NREL
Go/No-Go Tests to UL requirement;
Go/No-Go documenting testing results will
Decision Provide LOI from prospective 24 8
#4 be sent to the DOE; Copy of
Point customer for delivery of a
letter provided to DOE;
production tool
Example 2: Milestone Summary Table for an offshore wind demonstration project that will complete the initial engineering design,
as well as initiation of all permitting or studies required for regulatory compliance and the NEPA review process, with a DOE
down-select of funded projects at the end of the first budget period.

Milestone Summary Table

Recipient Name: ABC Wind Company
Project Title: Offshore Wind Demonstration Project
Milestone Milestone
Anticipated Anticipated
Type Number*
Date Quarter
Task or (Milestone (Go/No- Milestone Description
Task Milestone Verification Process (Months (Quarters
Subtask (if or Go/No- Go (Go/No-Go Decision
Number (What, How, Who, Where) from Start from Start
applicable) Title Go Decision Criteria)
of the of the
Decision Point
Project) Project)
Point) Number)
Verification of the foundation
selection process and selected
foundation will be reviewed by
Selection of foundation
DOE and NREL personnel. If
1 Engineering Design Milestone M1.1 type, support structure and 4 2
DOE project manager deems it
tower design.
necessary, a critical design review
with DOE and third party experts
will be convened.
Complete scale model
Verify data collection and
testing of platform in
experiment execution through
1 Engineering Design Milestone M1.2 wind/wave basin to verify 4 2
testing report and/or site visit
model
during test period.
performance/results.
Achieve type certification for
foundation design from third party
1 Engineering Design Milestone M1.3 Foundation certification verification agency (i.e. ABS or 9 3
DNV). Verify certificate from
third party agency.
DOE project manager to verify
Complete geotechnical collection and analysis of at least
studies of site to inform 1 core sample at each potential
Site
2 Milestone M2.1 anchor/mooring design. turbine site to inform 2 1
Characterization
Identify at least 3 viable foundation/anchor design.
anchor sites per turbine. Verification completed through
report review.
 DOE project manager to verify
that side-scan sonar of entire field,
with focus and higher resolution
for mooring corridors completed.
Complete geophysical
Verify that a complete geophysical
Site mapping of potential
2 Milestone M2.2 map of entire wind turbine site to 2 1
Characterization mooring corridor
appropriate resolution to
obstructions
document seabed conditions and
identify any objects of interest.
Verification conducted through
report review and site visits.
DOE project manager to verify
Metocean and Collection of site specific
that instrumented buoy(s) are
3 Environmental Milestone M3.1 data including wind, 5 2
deployed at project site through
Monitoring current, wave data
quarterly reporting or site visit.
Traditional thermal imaging
(FLIR) and near infra-red (NIR)
video systems will be used to
Metocean and
Complete Avian assess the presence and behavior
3 Environmental Milestone M3.2 9 3
Monitoring study of avian and bat species around
Monitoring
offshore wind turbine site. Verify
that instruments are deployed and
collecting data.
Verify testing will be performed in
accordance with International
4 Turbine testing Milestone M4.1 Certification of turbine Electrotechnical Commission 12 4
(IEC) 61400-22 through review of
type certification report.
Initiate process for all
DOE project manager reviews
required permits and
Regulatory report on progress towards
regulatory approvals for
5 Approvals and Milestone M5.1 permitting and regulatory 12 4
wind farm site,
Permitting compliance, verifying that all
interconnection, rights of
requirements have been initiated.
way.
Vendor Request for DOE personnel review vendor
6 Milestone M6.1 Vendor quotes received 11 4
Proposals quotes and verify for legitimacy.
7 Economic Analysis Milestone M7.1 Refine levelized cost of Verify submitted LCOE estimates 11 4
energy (LCOE) estimates through third party independent
based on engineering review during down select review
design. The proposed process.
 design must meet the local
hurdle price of
$0.10/kWh.
DOE will select up to
three projects to proceed
to Budget Period 2, based
on the following down-
selection criteria:
1) Budget Period 1
technical performance and
progress towards stated Independent cost analysis, design
Go/No-Go
project objectives analysis, and permitting progress
Decision D1 13 5
2) Innovations and their conducted by DOE, Lab, and third
Point
potential reductions on the party subject matter experts.
cost of energy (LCOE),
and
3) Likelihood of project
success, advancement of
the national knowledge
base and commercial
impact in the U.S.
Budget Period 2
Tasks and
milestones to be
8 TBD TBD 15 5
negotiated after
down selection
process completed.
Example 3: Milestone Summary Table for an Integrated Bio-Refinery (IBR) demonstration project.

Milestone Summary Table

Recipient Name: Biofuels Maker
Project Title: 250 Ton/Day Biofuel Demonstration Facility
Milestone Milestone Anticipated Anticipated
Type Number* Date Quarter
Task or Milestone Description
Task (Milestone (Go/No-Go Milestone Verification Process (Months (Quarters
Subtask (if (Go/No-Go Decision
Number or Go/No- Decision (What, How, Who, Where) from Start from Start of
applicable) Title Criteria)
Go Decision Point of the the Project)
Point) Number) Project)
DOE (with consultation from
Critical Decision-2
Budget Period 1 DOE's Independent Engineer) and
1 Milestone M1.1 Approve Performance
Planning Activities Recipient Agree to Performance
Baseline (DOE Core)
Baseline for Project
NEPA decision issued. Current
schedule assumes Environmental
Assessment with associated
NEPA Approval to
Engineering and Finding of No Significant Impact
Proceed Detailed Design
2.1 Environmental- Milestone M2.1 Issued by DOE. If determined that
and Construction (DOE
NEPA an EIS is required, NEPA scope
Core)
and associated baseline will be
revised through change control
process.
Recipient will submit all
preliminary engineering, design,
cost models, sites studies, etc. to
DOE's Independent Engineer and
Engineering and Risk Analyst as specified in the
Environmental- Go/No-Go DOE Preliminary Design EIR-1 guidelines. The Independent
2.4 External Decision GN2.2 Review and Approval to Engineer and Risk Analyst will
Independent Point Continue Project submit independent reports to
Review DOE. Recipient must adequately
address all deficiencies and risk
items to DOE's satisfaction before
the project will be authorized to
continue.
2.6 Engineering and Milestone M2.6 Completion of Equipment Equipment Data Sheets will be
Environmental- Specification Data Sheets provided to DOE's Independent
 Engineer for verification of
completion and adequacy. Data
Equipment
sheets must meet the requirements
Specification
of Recipients data sheet definitions,
as defined in the PMP.
Building design, specifications, and
detailed costing data will be
Engineering and provided to DOE's Independent
Completion of building
2.8 Environmental- Milestone M2.8 Engineer for review and
design specifications.
Building Design verification against all applicable
building codes and architectural
standards.
All required construction permits
Engineering and
Approval of Construction will be obtained and verified on
2.12 Environmental- Milestone M2.12
Permit site by DOE's Independent
Permitting
Engineer
All required operating permits
Engineering and (including Title V, water use, and
Approval of Operating
2.12 Environmental- Milestone M2.13 sewer discharge) will be obtained
Permit
Permitting and verified on site by DOE's
Independent Engineer.
Recipient will submit all detailed
engineering, design, cost models,
sites studies, etc. to DOE's
Engineering and Independent Engineer as defined in
Environmental- the EIR-2 guidelines. The
Submission to and
External Independent Engineer will submit
2.14 Milestone M2.14 Approval by the DOE
Independent an independent report to DOE.
(EIR-2)
Review, Detailed Recipient must adequately address
Review all deficiencies and risk items to
DOE's satisfaction before the
project will be authorized to
continue.
3 Final Optimization Milestone M3.1 Hydrolysis, Fractionation Recipient will conduct triplicate
of Operating & Purification reproduction of data for a
Parameters at Pilot Optimization (xx C5 and minimum of xx hours. All data
Scale XX C6 sugar yield per will be provided to DOE. DOE
lb/feedstock with will be on site for at least one run.
contamination levels
below those specified in
 the lab data report x-x).
Process set points are
determined.
DOE's National Laboratory
x % v/v fuel titer at xx
Biocatalyst Designee will be on site for
hours with a x% weight
3.4 operation Milestone M3.4 minimum of 2 runs. Data for at
yield. Process setpoints
optimization least 3 runs will be provided to
are determined.
National Lab for review.
Demonstration of x cycles
Co-product Full data report will be provided to
with x% original catalyst
3.5 catalyst Milestone M3.5 DOE's technical expert for review
activity. Process setpoints
optimization and validation.
are determined.
Pre-construction: Recipient will provide final risk
DOE Approval of final
4.6 Risk Mitigation Milestone M4.6 mitigation plan to DOE for review
risk mitigation plan.
Plan Refinement and approval.
DOE's Independent Engineer will
Pre-construction: EPC Contract Finalized
4.7 Milestone M4.7 verify that the EPC contract is fully
EPC and Signed - (DOE Core)
executed.
Financial Closing or
Pre-construction: Recipient will send to DOE all
4.8 Milestone M4.8 Financial Commitment
Finances financial closing documentation.
Letter - (DOE Core)
DOE (with consultation from its
Pre-construction:
Define Commissioning Independent Engineer) and
4.11 Operations Milestone M4.11
Criteria (DOE Core) Recipient agree to final
Definitions
commissioning criteria
DOE and Recipient make go/no go
decision to enter construction.
DOE's decision is based on CD-3
Go/No-Go Critical Decision-3
criteria, including EIR-2, provided
4 Pre-construction Decision GN4.16 Approve Start of
to Recipient at kickoff. Recipient
Point Construction (DOE Core)
is responsible to deliver any
outstanding items identified in the
CD-3 guidelines.
Construction Contractors All major contractors are selected
Pilot Plant
5.2 Milestone M5.2 Selected by Recipient and and budgets and scopes of work
Construction
Approved by DOE submitted to DOE for approval.
5.4 Commission and Go/No-Go GN5.4 Mechanical completion DOE's Independent Engineer will
Start-up Decision verified. verify mechanical completion is
Point reached as defined in Recipient's
construction and commissioning
 plan.
Commissioning complete.
DOE's Independent Engineer
Commission and All criteria in
5.7 Milestone M5.7 performs site visit and reviews
Start-up commissioning plan
Recipient's logs and data to verify.
achieved.
DOE reviews project reports,
Go/No-Go CD-4 Start of Operational
Commission and financial reports, and Independent
5.8 Decision GN5.8 Approval - Initiate
Start-up Engineer reports to make a go/no
Point Shakedown (DOE Core)
go decision for operations.
Recipient runs demonstration
facility in accordance with
performance test plan (approved by
DOE) for a minimum of 40 hours.
Operations- Performance Test
6.4 Milestone M6.4 DOE and DOE's Independent
Performance Test Completed
Engineer are on site for portions of
the test and Recipient delivers all
data logs outlined in the
performance test plan.
Recipient completes 1500
hours of continuous Recipient provides summary
Operations- operation with x% reports as defined in deliverables
6.5 Continued Long Milestone M6.5 uptime, x conversion of requirements. DOE and DOE's
Term Optimization biomass to fuel, at a Independent Engineer randomly
minimum of 250 tons/day sample data logs at Recipient site.
of feedstock.
After xxx months of operation,
Recipient provides final report
Final Economic which includes updated economic
Final Report Delivered to
7 and Commercial Milestone M7 models, life cycle analysis, and
DOE
Validation plant performance (inputs, outputs,
yields, etc.) as defined in the
deliverable requirements