**FUNDING OPPORTUNITY**

**ANNOUNCEMENT**

![](media/image1.png){width="1.375in" height="1.375in"}

**Fuel Cell Coal-Based Systems**

**DE-PS26-05NT42346**

**CFDA Number:**

**CONTACT: Mary S. Price, Contract Specialist**

**TELEPHONE NO.: (412) 386-6179**

**FAX NO.:**

**E-MAIL: mprice@netl.doe.gov**

**ISSUING OFFICE: U.S. DEPARTMENT OF ENERGY**

**ISSUE DATE: April 13, 2005**

**DUE DATE: June 7, 2005 (Phase I, Round 1)**

Information regarding this solicitation is available on the Department
of Energy, Industry Interactive Procurement System (IIPS) web site at:
[http://e-center.doe.gov](http://e-center.doe.gov/)

**TABLE OF CONTENTS**

PART I - FUNDING OPPORTUNITY DESCRIPTION
[4](#__RefHeading___Toc89852982)

A. SUMMARY [4](#__RefHeading___Toc89852983)

B. BACKGROUND INFORMATION [6](#__RefHeading___Toc89852984)

C. FUNDING OPPORTUNITY OBJECTIVES [7](#__RefHeading___Toc89852985)

PART II - AWARD INFORMATION [8](#__RefHeading___Toc89852987)

A. TYPE OF AWARD INSTRUMENT (NOV 2004) [8](#__RefHeading___Toc89852988)

B. ESTIMATED FUNDING (NOV 2004) [8](#__RefHeading___Toc89852989)

C. AWARD SIZE (NOV 2004) [8](#__RefHeading___Toc89852991)

D. EXPECTED NUMBER OF AWARDS (NOV 2004) [8](#__RefHeading___Toc89852992)

E. ANTICIPATED AWARD SIZE (NOV 2004) [8](#__RefHeading___Toc89852993)

F. PERIOD OF PERFORMANCE (NOV 2004) 9

G. TYPE OF APPLICATION (NOV 2004) [9](#__RefHeading___Toc89852995)

PART III - ELIGIBILITY INFORMATION [11](#__RefHeading___Toc89852996)

A. ELIGIBLE APPLICANTS (NOV 2004) [11](#__RefHeading___Toc89852997)

B. COST SHARING - EPACT (NOV 2004) [11](#__RefHeading___Toc89853002)

C. OTHER ELIGIBILITY REQUIREMENTS (NOV 2004)
[11](#__RefHeading___Toc89853003)

PART IV - APPLICATION AND SUBMISSION INFORMATION
[13](#__RefHeading___Toc89853004)

A. ADDRESS TO REQUEST APPLICATION PACKAGE (NOV 2004)
[13](#__RefHeading___Toc89853005)

B. LETTER OF INTENT AND PREAPPLICATION (NOV 2004)
[13](#__RefHeading___Toc89853008)

C. CONTENT AND FORM OF APPLICATION -- IIPS (NOV 2004)
[14](#__RefHeading___Toc89853009)

D. SUBMISSION DATES AND TIMES (NOV 2004)
[31](#__RefHeading___Toc89853013)

E. SUBMISSIONS FROM SUCCESSFUL APPLICANTS (NOV 2004)
[31](#__RefHeading___Toc89853015)

F. INTERGOVERNMENTAL REVIEW - NONE (NOV 2004)
[31](#__RefHeading___Toc89853016)

G. FUNDING RESTRICTIONS (NOV 2004) [31](#__RefHeading___Toc89853018)

H. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS (NOV 2004)
[32](#__RefHeading___Toc89853019)

I. RESTRICTIONS ON TRANSFER OF FUEL CELL TECHNOLOGY TO FOREIGN ENTITIES
32

PART V - APPLICATION REVIEW INFORMATION
[33](#__RefHeading___Toc89853021)

A. CRITERIA (NOV 2004) [33](#__RefHeading___Toc89853022)

B. REVIEW AND SELECTION PROCESS (NOV 2004)
[35](#__RefHeading___Toc89853023)

C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES - MULTIPLE DUE DATES
(NOV

2004\) [36](#__RefHeading___Toc89853025)

PART VI - AWARD ADMINISTRATION INFORMATION
[37](#__RefHeading___Toc89853026)

A. AWARD NOTICES (NOV 2004) [37](#__RefHeading___Toc89853027)

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS (NOV 2004)
[37](#__RefHeading___Toc89853028)

C. STATEMENT OF SUBSTANTIAL INVOLVEMENT 37

D. REPORTING 39

PART VII - AGENCY CONTACTS [41](#__RefHeading___Toc89853029)

A. CONTACTS (NOV 2004) [41](#__RefHeading___Toc89853030)

B. ELECTRONIC QUESTIONS (NOV 2004) [41](#__RefHeading___Toc89853031)

PART VIII - OTHER INFORMATION [42](#__RefHeading___Toc89853032)

A. MODIFICATIONS (NOV 2004) [42](#__RefHeading___Toc89853033)

B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE (NOV 2004)
[42](#__RefHeading___Toc89853034)

C. COMMITMENT OF PUBLIC FUNDS (NOV 2004)
[42](#__RefHeading___Toc89853035)

D. EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL (NOV 2004)
[42](#__RefHeading___Toc89853036)

E. INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM (NOV 2004)
[42](#__RefHeading___Toc89853037)

F. NOTICE OF RIGHT TO REQUEST PATENT WAIVER (NOV 2004)
[43](#__RefHeading___Toc89853038)

G. NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES (NOV 2004)
[43](#__RefHeading___Toc89853039)

H. PARTICIPATION BY FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTER

(FFRDC) CONTRACTORS (NOV 2004) [43](#__RefHeading___Toc89853040)

I. PROPRIETARY APPLICATION INFORMATION (NOV 2004)
[44](#__RefHeading___Toc89853041)

J. GOVERNMENT FURNISHED PROPERTY (NOV 2004)
[45](#__RefHeading___Toc89853043)

[ATTACHMENT A]{.underline} - FEDERAL ASSISTANCE REPORTING CHECKLIST
[46](#__RefHeading___Toc89853044)

[ATTACHMENT B]{.underline} - MINIMUM REQUIREMENTS 47

[ATTACHMENT C]{.underline} - REFERENCES 51

**PART I - FUNDING OPPORTUNITY DESCRIPTION**

**Public Law 95-91 DOE Organization Act, as amended by PL 10-2-486
Energy Policy Act**[]{#__RefHeading___Toc89852982 .anchor}

**A. SUMMARY** []{#__RefHeading___Toc89852983 .anchor}

The Department of Energy (DOE), National Energy Technology Laboratory
(NETL) is seeking applications to aid in the development of large (\>
100 MWe) fuel cell power systems that will produce affordable, efficient
and environmentally-friendly electrical power from coal. This system
must achieve at least fifty percent (50%) overall efficiency from coal
(higher heating value-HHV) to AC power, including integrated coal
gasification and CO~2~ separation processes. Applicants should assume
that a bituminous coal having ten percent (10%) moisture will be used
and that at least ninety percent (90%) of the CO~2~ emissions from the
system must be captured.

The work will focus on the scale-up of fuel cells and their
incorporation into fuel cell stacks that, when aggregated together,
would result in a fuel cell module technically and economically amenable
for use as a building block for multi-MW class central power systems.
The fuel cell, fuel cell stack and fuel cell module size should be
determined based upon rigorous systems and cost analyses, with
justification that the fuel cells, fuel cell stacks and fuel cell
modules of the selected size will serve as the building blocks for
large, \>100 MWe central power station applications. These fuel cell
modules will then be clustered together, possibly along with other power
generation modules (e.g., a gas turbine as a fuel cell-turbine hybrid),
into a proof-of-concept system. "Proof-of-concept" is defined as the
smallest system that will adequately test all of the individual
components and subsystems in a fully operating system -- it must be of
sufficiently large capacity such that all components and subsystems are
scalable for use in a multi-MW power system.

The proof-of-concept system must operate on a coal synthesis gas and be
designed for compatibility with current or "near-term" CO~2~ separation
technologies; consequently, the system effluent gas streams must meet
all existing regulations with respect to criteria pollutant requirements
for CO~2~ separation. The CO~2~ capture design requirement is ninety
percent (90%) of the quantity of CO~2~ that would result if all of the
carbon in the syngas product (e.g., CO~2~, methane, carbon monoxide,
carbonyl sulfide) was converted to CO~2~. The carbon in the syngas
product is equal to the carbon in the coal feedstock less any carbon
that exits the integrated system in solid form, such as the carbon
contained in ash or slag. The CO~2~ separation technology employed must
render the captured CO~2~ ready for sequestration in a deep saline
formation or for use in enhanced oil recovery.

The proposed system must contain a fuel cell, which may be integrated
with other existing or "near--term" power generation technologies (e.g.,
gas turbine); however, a majority of the gross electrical power output
of the system must be supplied by the fuel cell subsystem. Proposed
improvements in overall system efficiency to be achieved throughout the
course of the project must be primarily derived from advancements made
in the fuel cell subsystem and not from other power generation
technologies that are integrated into the central power station.
Consequently, DOE funds will be used to support the research and
development (R&D) of the fuel cell subsystem and not any other power
generating component of the proposed system. If the fuel cell is being
integrated with a turbine, it is expected that the turbine will be
larger than 1 MW and not require additional R&D. If it is determined
that turbine R&D is required, it will be conducted under the auspices of
the DOE Fossil Energy (FE) Turbine Program. This provision does not
preclude the modification of existing turbine technology and/or designs
within the context of this Program; consequently, customization and/or
modification of existing turbine designs and technology to ensure
compatibility with the proposed system is permitted. This Funding
Opportunity Announcement does not address photovoltaic, wind or tidal
energy systems, and applications proposing combined heat and power (CHP)
systems will not be considered.

The work to be performed will consist of three phases, with the Minimum
Requirements for each phase identified in **Attachment B** of this
Funding Opportunity Announcement. The DOE anticipates that a fully
functional fuel cell stack, fuel cell module and proof-of-concept
system, dependent on the project phase (described below), will be tested
according to the Minimum Requirements. Testing is to be completed no
later than the end of each phase. Attainment of the Phase III target
efficiency for the integrated proof-of-concept system will entail
certain levels of stack, fuel cell module and BOP performance. The delta
between the required component/subsystem performance necessary to
demonstrate the performance and cost targets in Phase III and the
current state-of-the-art at the beginning of the effort will in large
part define the work scope. If an Applicant is selected for an award
under the Funding Opportunity Announcement, the DOE and the prospective
awardee will negotiate the performance targets for the scaled-up stack
and fuel cell module to be met in the Phase I and II, respectively.
These will be incorporated into the Minimum Requirements Attachment to
the award document.

**Phase I**: The first phase, two to three years in duration, will
entail the design and analysis of the baseline (\>100MWe) and
proof-of-concept systems, to include concept identification, system
definition and cost analysis. Central to the Phase I effort will be
resolving barrier issues with respect to the performance and
manufacturability of larger-size fuel cells and the development,
fabrication and testing of a fuel cell stack of a size suitable for use
in a fuel cell module (an aggregate of the scaled-up fuel cell stacks)
which will serve as the building block for multi-MW fuel cell power
system applications. System analyses of both the baseline (\>100MWe)
system and the proposed Phase III proof-of-concept system are required.
The systems analyses must clearly detail and justify the calculated
overall integrated system efficiency, and should specifically detail and
justify the performance deltas between the baseline and proof-of-concept
systems. The awardee will be required to have an independent audit of
the system analyses, including the calculated efficiency for both
systems performed. System cost, exclusive of the coal gasification and
CO~2~ separation subsystems, must be \$600/kWe or less at the end of
Phase I, and is applicable to both the baseline (\>100 MWe) system and
the proposed Phase III proof-of-concept system. The cost estimate must
establish and fully justify a reasonable estimate of the number of
systems and their respective size that must be manufactured per year to
support this cost goal. The required validation testing to be performed
at the completion of Phase I must operate as a thermally self-sustaining
(using minimal system) fuel cell stack and must utilize a fuel gas
composition identical to or simulating the coal synthesis gas
composition proposed for the Phase III proof-of-concept system.

**Phase II**: The second phase, two years in duration, will consist of
further development of the baseline (\>100 MWe) system design, detailed
design of the proposed Phase III proof-of-concept system, and cost
analyses of the proposed systems, culminating in the fabrication and
testing of the aforementioned fuel cell module. System analyses of both
the baseline (\>100 MWe) system and the proposed Phase III
proof-of-concept system are required. The systems analyses must clearly
detail and justify the calculated overall integrated system
efficiencies, and should specifically detail and justify the performance
deltas between the baseline and proof-of-concept systems. The awardee
will be required to have an independent audit of the system analyses,
including the calculated efficiency for both systems, performed. System
cost, exclusive of the coal gasification and CO~2~ separation
subsystems, must be \$400/kWe or less at the end of Phase II, and is
applicable to both the baseline (\>100 MWe) system and the proposed
Phase III proof-of-concept system. The cost estimate must establish and
fully justify a reasonable estimate of the number of systems and their
respective size that must be manufactured per year to support this cost
goal. An independent audit of the Phase II cost report will be required.
The required validation testing to be performed at the completion of
Phase II must utilize a fuel gas composition identical to or simulating
the coal synthesis gas composition proposed for the Phase III
proof-of-concept system. The DOE may require the Phase II fuel cell
module to be a packaged or complete unit which could be tested as an
auxiliary power plant at the FutureGen facility.

**Phase III**: The third and final phase, five years in duration, will
include fabrication of the proposed fuel cell or hybrid proof-of-concept
system, a multi-MW power generating system consisting of multiple fuel
cell modules and any other power generation module(s), integration of
the system with a coal gasifier and long-term testing. If the Phase III
proof-of-concept system design incorporates a turbine, it must be at
least 1 MW in capacity. The Phase III proof-of-concept system must be
fueled by coal-derived synthesis gas. The Phase III proof-of-concept
system will be sited at an existing or to-be-built coal gasification
unit (potentially at a FutureGen site); consequently, the
proof-of-concept system design must specifically address all required
interfaces with the gasifier. Specific gas clean-up equipment, required
to obtain a syngas composition, including contaminants, suitable for use
by the fuel cell system, not in place at the aforementioned gasifier at
the time of the Phase III proof-of-concept system construction, would
also ultimately be the design responsibility of the Applicant. This test
shall be of sufficient duration (at least 25,000 hours) to clearly
demonstrate that the system will function as designed in long-term use.
It is envisioned that the system will operate connected to a load bank
for the initial 8,000 hours, followed by 17,000 hours of grid-connected
operation. Upon completion of the Phase III testing, the
proof-of-concept system analysis will be updated based upon the actual
performance data, will deltas noted and justified. In addition, the
baseline (\>100 MWe) system analysis will be updated to obtain a final
projection of baseline system performance.

All participants will be required to satisfy cost and performance
targets before proceeding to the next Phase. The DOE will require that
all participants demonstrate how end-of-phase cost and performance
targets will be met throughout the duration of this program. This will
ensure that the government has maximized the number of manufacturers of
fuel cell hybrid systems in the marketplace, thereby creating a
competitive environment most beneficial to the consumer.

For additional information associated with fuel cell hybrid (combined
cycle) technology, please refer to the list of references contained in
**Attachment C** of this Funding Opportunity Announcement.

**B. BACKGROUND INFORMATION**[]{#__RefHeading___Toc89852984 .anchor}

Fuel cells represent an important opportunity to utilize fossil fuels in
an efficient and environmentally friendly manner. Simple cycle fuel
cells have obtained efficiencies to AC power as high as forty-five to
fifty percent (45-50%) with NOx production less than 0.5
parts-per-million (ppm). Power producing systems containing fuel cells
in combination with other power producing components such gas turbines,
known as combined-cycle or hybrid systems, have the potential for even
higher efficiencies in converting fossil fuels to AC electricity.

Hybrid systems utilizing coal synthesis gas as a fuel will provide
environmentally friendly, inexpensive and dependable central power from
an abundant fuel source and will make an important contribution to
improving US energy security. Fuel cell technologies currently under
development will reduce the cost of fuel cells to commercially
competitive levels for small-scale distributed generation applications.
Additional cost and system integration improvement would be achieved
through development of larger individual cells and the resultant fuel
cell stacks. It is imperative to demonstrate the reliability of large
aggregated fuel cell systems for central versus distributed generation,
considering the higher risk and cost to implement new technology in
large capacity systems. In addition, the technology needed for
integration of the hybrid system components, including the coal
gasification unit, has not been developed.

**C. FUNDING OPPORTUNITY OBJECTIVES**[]{#__RefHeading___Toc89852985
.anchor}

The goal of this Funding Opportunity Announcement is to aid in the
development of large (\> 100 MWe) fuel cell power systems that will
produce affordable, efficient and environmentally-friendly electrical
power at greater than fifty percent (50%) overall efficiency from coal
(HHV) to AC power, to include CO~2~ separation preparatory to
sequestration. The system may contain any combination of existing or
\"near term\" power generation technologies. One of these components
must be a fuel cell which will provide the majority of the gross
electrical power output of the system. System cost, exclusive of the
coal gasification unit and CO~2~ separation subsystems, must be
\$400/kWe or less at the end of Phase II.

The objectives of Phase I are to design and perform analyses of the
baseline (\>100MWe) and proof of-concept systems, to include concept
identification, system definition and cost analysis, resolve any fuel
cell barrier issues, and fabricate and test scaled-up fuel cells and
fuel cell stacks. The objective of Phase II is to further enhance the
baseline system design, perform a detailed design of the
proof-of-concept system, and to establish cost estimates for both the
baseline and proof-of-concept systems. Phase II will also require the
fabrication and testing of a fuel cell module incorporating Phase I
stacks. The objective of Phase III is to fabricate a proof-of-concept
system and conduct long-term testing using coal synthesis gas as the
fuel.

**PART II - AWARD INFORMATION** []{#__RefHeading___Toc89852987 .anchor}

**A. TYPE OF AWARD INSTRUMENT (NOV 2004)**
[]{#__RefHeading___Toc89852988 .anchor}

> DOE anticipates awarding Cooperative Agreements under this Program
> Announcement. A special award provision describing the Government's
> substantial involvement in the Cooperative Agreement is located in
> Section VI.C of this Funding Opportunity Announcement.

**B. ESTIMATED FUNDING (NOV 2004)** []{#__RefHeading___Toc89852989
.anchor}

> Approximately \$5,000,000 is expected to be available in Fiscal Year
> 2005 for new awards under this Announcement for Phase I. The actual
> level of funding for Fiscal Year 2005 and all subsequent years depends
> on the appropriations for this program.

**C. AWARD SIZE (NOV 2004)** []{#__RefHeading___Toc89852991 .anchor}

> Approximate Award Size (i.e., the nominal amount for an individual
> award made under this Funding Opportunity Announcement):
>
> \$2,500,000/year DOE Share for Phase I;
>
> \$6,000,000/year DOE Share for Phase II; and
>
> \$13,000,000/year DOE Share for Phase III for the first 2 years,
>
> \$1,000,000/year thereafter.
>
> Floor (i.e., the minimum amount for an individual award made under
> this announcement):
>
> None.

**D. EXPECTED NUMBER OF AWARDS (NOV 2004)**
[]{#__RefHeading___Toc89852992 .anchor}

> DOE anticipates making multiple awards under this Announcement. Phase
> I of this Funding Opportunity Announcement will have two rounds. It is
> anticipated that no more than two (2) awards will be made in Round 1.
> If, upon DOE's review of submitted applications, there are no
> acceptable proposals with regard to the identified Merit Review
> Criteria, then no awards will be made.
>
> Tentatively, depending on future appropriations for this program,
> approximately two (2) awards will be made in Round 2. See table under
> paragraph F below.

**E. ANTICIPATED AWARD SIZE (NOV 2004)** []{#__RefHeading___Toc89852993
.anchor}

> The Government reserves the right to fund, in whole or in part, any,
> all, or none of the applications submitted in response to this
> Announcement and will award that number of financial assistance
> instruments which serves the public purpose and is in the best
> interest of the Government. Each phase of individual awards will
> contain budget and project periods that are specific to the project
> and funding.

**F. PERIOD OF PERFORMANCE (NOV 2004)**

> The period of performance for awards resulting from this Funding
> Opportunity Announcement will vary by project phase as designated in
> the table below. Information pertaining to the anticipated number of
> awards, period of performance and anticipated award size is presented
> in the table below.

+--------------+--------------+--------------+------------+------------+
|              | Phase I --   | Phase I --   | Phase II   | Phase III  |
|              |              |              |            |            |
|              | Round 1      | Round 2      |            |            |
+--------------+--------------+--------------+------------+------------+
| Est. No. of  | 2            | 2            | N/A        | N/A        |
| Awards       |              | (tentative)  |            |            |
+--------------+--------------+--------------+------------+------------+
| Period of    | 3 years      | 2 years      | 2 years    | 5 years    |
| Performance  |              |              |            |            |
+--------------+--------------+--------------+------------+------------+
| [Mandatory]  | 20%          | 20%          | 30%        | 50%        |
| {.underline} |              |              |            |            |
|              |              |              |            |            |
| Non-Federal  |              |              |            |            |
| Cost Share   |              |              |            |            |
+--------------+--------------+--------------+------------+------------+
| Anticipated  | \$2,500,000  | \$2,500,000  | \          | \$         |
| Award Size   | per year     | per year     | $6,000,000 | 13,000,000 |
| -- DOE       |              |              | per year   | per year   |
| Share\*      |              |              |            | for first  |
|              |              |              |            | 2 years,   |
|              |              |              |            | \          |
|              |              |              |            | $1,000,000 |
|              |              |              |            | per year   |
|              |              |              |            | thereafter |
+--------------+--------------+--------------+------------+------------+

> \* Estimated maximum cost to be shared by DOE per project/award

G.  **TYPE OF APPLICATION (NOV 2004)** []{#__RefHeading___Toc89852995
    .anchor}

> DOE will initially make Phase I awards. Phase I awardees wishing to
> continue their projects into the aforementioned subsequent Phases will
> have the opportunity to submit a renewal application.
>
> Renewal applications are requests for additional funding for a period
> subsequent to that provided by a current award. Renewal applications
> must be submitted no later than 90 days prior to the end of the
> current Phase. Renewal applications for Phase II will be restricted to
> Phase I awardees, and renewal applications for Phase III will be
> restricted to Phase II awardees. In preparing a renewal application,
> applicants should assume that reviewers will not have access to
> previous applications; consequently, the renewal application should be
> as comprehensive as the initial Phase I application. Renewal
> applications must include all the information required for a new
> project, plus the results of completed and ongoing project efforts at
> the time of submission. Renewal applications are to include:

(1) Current Phase Topical Report. The report shall detail and discuss
    current Phase accomplishments;

(2) Subsequent Phase Technical Application. This application shall
    include a detailed discussion of the plans and technical approach
    for completing the subsequent Phase, if awarded;

(3) Updated Representations and Certifications; and

(4) Subsequent Phase Budget.

> Detailed information on the renewal application requirements and
> submission procedure will be provided in the Award document.

**PART III - ELIGIBILITY INFORMATION** []{#__RefHeading___Toc89852996
.anchor}

**A. ELIGIBLE APPLICANTS (NOV 2004)** []{#__RefHeading___Toc89852997
.anchor}

> All types of applicants are eligible to apply, except other Federal
> agencies, Federally Funded Research and Development Center (FFRDC)
> Contractors, and nonprofit organizations described in section
> 501(c)(4) of the Internal Revenue Code of 1986 that engage in lobbying
> activities after December 31, 1995.

**B. COST SHARING - EPACT (NOV 2004)** []{#__RefHeading___Toc89853002
.anchor}

> The cost share for Phase I must be at least 20% of the total allowable
> costs for research and development projects (i.e., the sum of the
> Government share, including FFRDC contractor costs if applicable, and
> the recipient share of allowable costs equals the total allowable cost
> of the project) and must come from non-Federal sources. (See 10 CFR
> Part 600 for the applicable cost sharing requirements.)
>
> The cost share for Phase II must be at least 30% of the total
> allowable costs for research and development projects (i.e., the sum
> of the Government share, including FFRDC contractor costs if
> applicable, and the recipient share of allowable costs equals the
> total allowable cost of the project) and must come from non-Federal
> sources. (See 10 CFR Part 600 for the applicable cost sharing
> requirements.)
>
> The cost share for Phase III must be at least 50% of the total
> allowable costs for demonstration and commercial application projects
> (i.e., the sum of the Government share, including FFRDC contractor
> costs if applicable, and the recipient share of allowable costs equals
> the total allowable cost of the project) and must come from
> non-Federal sources. (See 10 CFR Part 600 for the applicable cost
> sharing requirements.)

**C. OTHER ELIGIBILITY REQUIREMENTS (NOV 2004)**
[]{#__RefHeading___Toc89853003 .anchor}

> [Energy Policy Act Eligibility Requirements]{.underline}.
>
> Section 2306 of the Energy Policy Act of 1992 (EPACT) \[42 U.S.C.
> 13525\] imposes certain eligibility requirements on awards made under
> this program. In order to make an award to an applicant that is a
> business entity, other than a non-profit organization of the type
> described in section 501(c)(3) of the Internal Revenue Code of 1954,
> DOE must determine that the applicant's participation will be in the
> economic interest of the United States and that the applicant is
> either a U.S. owned company or is incorporated or organized under the
> laws of any State and that its parent company is incorporated or
> organized under the laws of a country that affords: (1) to U.S. owned
> companies opportunities comparable to those afforded to any other
> company to participate in government-supported joint ventures in
> energy research and development and in local investment opportunities;
> and (2) adequate and effective protection for intellectual property
> rights of the U. S. owned companies. Eligible applicants must be able
> to meet these two tests. (See Section IV.E for submission of EPACT
> Representation.)
>
> [Federally Funded Research and Development Center (FFRDC)
> Contractors]{.underline}.
>
> FFRDC applicants are not eligible for an award. A list of the FFRDC
> contractors is available at
> [http://www.nsf.gov/sbe/srs/ffrdc/start.htm](http://www.nsf.gov/)[.]{.underline}
> However, an application that includes performance of a portion of the
> work by a FFRDC contractor will be evaluated and considered for award.
> (See Section VIII).
>
> [Performance of Work in the United States]{.underline}
>
> As a condition of award under this solicitation, applicants must agree
> that at least 75% of the direct labor cost for the project (including
> subcontractor labor) will be incurred in the United States unless the
> applicant can demonstrate to the satisfaction of the DOE that the
> United States economic interest will be better served through a
> greater percentage of work performed outside the United States. For
> example, an Applicant may provide evidence that expertise to develop a
> technology exists only outside the United States, but that ultimate
> commercialization of the technology will result in substantial
> benefits to the United States such as improved electricity
> reliability, increased employment, increased exports of
> U.S.-manufactured products, etc.

**PART IV - APPLICATION AND SUBMISSION INFORMATION**
[]{#__RefHeading___Toc89853004 .anchor}

**A. ADDRESS TO REQUEST APPLICATION PACKAGE (NOV 2004)**
[]{#__RefHeading___Toc89853005 .anchor}

> This Announcement includes all the information needed to complete an
> application.
>
> **[APPLICATIONS MUST BE SUBMITTED THROUGH IIPS TO BE CONSIDERED FOR
> AWARD.]{.underline}**
>
> Applications must be submitted through the DOE Industry Interactive
> Procurement System (IIPS) at
> [http://e-center.doe.gov](http://e-center.doe.gov/) . Instructions on
> how to submit an application or an application amendment and how to
> register, submit questions, and view questions and answers are located
> on the web site at
> [http://e-center.doe.gov](http://e-center.doe.gov/). Click on the
> "Help" button and click on "Frequently Asked Questions".
>
> Prepare all the required files in accordance with the instructions in
> this Announcement prior to starting the transmission process. Submit
> the entire application package in one IIPS session (i.e., do not
> logoff before all the files are submitted).
>
> When you are ready to submit your application, go to
> [http://e-center.doe.gov](http://e-center.doe.gov/) and complete the
> IIPS cover page. Enter the project title and the principal
> investigator/project director, if any, in the "Subject" block. Then
> attach each file in the corresponding block in accordance with the
> IIPS guidance. Follow the instructions for submitting the application.
>
> If you have any problems accessing information or submitting your
> application, contact the Help Desk at 1 (800) 683-0751 and select
> option 1, or send an email to <HelpDesk@pr.doe.gov> . **ONLY
> APPLICATIONS SUBMITTED THROUGH IIPS WILL BE CONSIDERED FOR AWARD**.
>
> [Electronic Signature]{.underline} - Applications submitted through
> IIPS constitute submission of electronically signed applications. The
> name of the authorized organizational representative (i.e., the
> administrative official, who, on behalf of the proposing organization,
> is authorized to make certifications and assurances or to commit the
> applicant to the conduct of a project) must be typed in the signature
> block on the form to be accepted as an electronic signature. Do not
> submit a scanned copy of the signed document.

**B. LETTER OF INTENT AND PREAPPLICATION (NOV 2004)**
[]{#__RefHeading___Toc89853008 .anchor}

> **1.** **Letter of Intent.**
>
> Letters of Intent are not required.
>
> **2. Pre-application**
>
> Pre-applications are not required.

C.  **CONTENT AND FORM OF APPLICATION -- IIPS (NOV 2004)**
    []{#__RefHeading___Toc89853009 .anchor}

> **DUNS Number.** ***Required***
>
> All applicants, except individuals who would personally receive an
> award under this announcement apart from any business or non-profit
> organization they may operate, must include a Dun and Bradstreet (D&B)
> Data Universal Numbering System (DUNS) number in their application.
> For the purpose of this requirement, the applicant is the entity that
> meets the eligibility criteria and has the legal authority to apply
> for an award. For example, a consortium formed to apply for an award
> must obtain a DUNS number for that consortium. For assistance in
> obtaining a DUNS number at no cost to you, call the DUNS Number
> request line at 1 866-705-5711. Be prepared to provide the following
> information: (1) Organization name; (2) Address; (3) Telephone number;
> (4) Line of business; (5) Chief executive officer/key manager; (6)
> Date the organization was started; (7) Number of people employed; (8)
> Organization affiliation. If you do not already have a DUNS number,
> you should obtain one as soon as you decide to submit an application.
>
> Applicants must include the following files in their E-Application
> (See Section IV, "Other Submission Requirements" for instructions on
> how to submit your E-Application)
>
> When you are ready to submit your application, go to
> [http://e-center.doe.gov](http://e-center.doe.gov/) and complete the
> IIPS cover page. Enter the project title and the principal
> investigator/project director, if any, in the "Subject" block. Then
> attach each file in the corresponding block in accordance with the
> following:
>
> For consistency, the applicant is instructed to use the file names
> specified below. Filename extensions shall clearly indicate the
> software application used for preparation of the documents (i.e.,
> "xxx.doc" for Word files or "xxx.pdf" for Adobe Acrobat files).

**[MANDATORY FILES]{.underline}** **[FILENAME]{.underline}**

> Application APPLICATION.pdf
>
> Budget BUDGET.pdf
>
> Budget Justification BUDGET JUSTIFICATION.doc
>
> Project Narrative PROJECT NARRATIVE.doc
>
> Certifications/Assurances/ CERTIFICATIONS-ASSURANCES.doc
>
> Representations
>
> **[ADDITIONAL FILES]{.underline}** **[FILENAME]{.underline}**
>
> Attachment 1 -- Fuel Cell Tech Data FUEL CELL TECH DATA.doc
>
> Attachment 2 -- Biographical Sketches/ BIOGRAPHICAL SKETCHES.doc
>
> Resume/Bibliography
>
> Attachment 3 -- FFRDC Contractor(s) FFRDC ATTACHMENT.doc
>
> Attachment 4 -- Commitment Letter(s) CLTP ATTACHMENT.doc

**APPLICATION FILE**

> Applicants must complete a SF 424 application form. Save this form as
> a PDF file, named **\"APPLICATION.pdf.\"**
>
> [Click here for application
> form.](http://e-center.doe.gov/iips/faopor.nsf/Forms?OpenForm)

**BUDGET FILE**

> Applicants must complete a separate SF 424A for each year of support
> requested and a cumulative budget for the total project period.
>
> [Click here for budget
> form](http://e-center.doe.gov/iips/faopor.nsf/Forms?OpenForm).
>
> You may request funds under any of the categories listed as long as
> the item and amount are necessary to perform the proposed work and are
> not precluded by the cost principles or program funding restrictions
> (See Part IV). Save these budget forms in a single PDF file, named
> **\"BUDGET.pdf.**
>
> The DOE F 4600.4 Budget form shall also be submitted for each subaward
> having a value of greater than \$100,000 or performing fifty percent
> (50%) or more of the proposed effort, whichever is less.
>
> **BUDGET FILE FOR FFRDC PARTICIPANT, IF ANY**
>
> If a non-DOE FFRDC contractor is to perform a portion of the work,
> provide a separate budget for the FFRDC contractor\'s work effort.
>
> If a DOE FFRDC contractor is to perform a portion of the work, provide
> a DOE Field Work Proposal in accordance with the requirements in DOE
> Order 412.1 Work Authorization System (Attachment 3 is a Sample Format
> for the Field Work Proposal). DOE O 412.1 is available at:
>
> <http://www.directives.doe.gov/pdfs/doe/doetext/neword/412/o4121.pdf>
> .
>
> All FFRDC budgets must be saved as a Word file named **\"FFRDC
> ATTACHMENT.doc\".**
>
> **BUDGET JUSTIFICATION FILE**
>
> Justify proposed direct labor, travel, consultants, large subawards,
> large or unique "other direct costs", equipment, etc. Provide an
> explanation of the source, nature, amount and availability of any
> proposed cost sharing. Save this information in a Word file, named
> **"BUDGET JUSTIFICATION.doc".**
>
> The following budget detail is required. **Failure to provide the
> detailed cost information as described in the instructions below will
> result in an incomplete application. In addition, teaming members and
> subcontractors (over \$100,000 or more, or 50% of the total work
> effort, whichever is less) are also required to submit the below
> information detailed below with their budgets.**
>
> If a minimum cost share is required by this Funding Opportunity
> Announcement, the applicant shall stipulate in the application the
> source and amount of cost sharing and the value of third party in-kind
> contributions proposed to meet the requirement.
>
> [PERSONNEL]{.underline} \-- In support of the proposed personnel
> costs, provide a supplemental schedule that identifies the labor
> hours, labor rates, and cost by labor classification for each budget
> year. Also indicate the basis of the labor classification, number of
> hours, and labor rates. An example of the basis for the labor
> classification and number of hours could be past experience,
> engineering estimate, etc. An example of the basis for the labor rates
> could be actual rates for the individuals who will perform the work or
> an average labor rate for the labor classification or a departmental
> average rate.
>
> [FRINGE BENEFITS]{.underline} \-- Provide the method used to calculate
> the proposed rate amount. If a fringe benefit has been negotiated
> with, or approved by, a Federal Government agency, provide a copy of
> the agreement (or in lieu of the Agreement, provide the website (URL)
> where the agreement can be retrieved from via the Internet). If no
> rate agreement exists, provide a detailed list of the fringe benefit
> expenses (e.g., payroll taxes, insurances, holiday and vacation pay,
> bonuses) and their associated costs. Identify the base for allocating
> these fringe benefit expenses.
>
> [Travel]{.underline} \-- For each proposed trip, provide the purpose,
> number of travelers, travel origin and destination, number of days,
> and a breakdown of costs for airfare, lodging, meals, car rental, and
> incidentals. The basis for the airfare, lodging, meals, car rental,
> and incidentals must be provided, such as past trips, current
> quotations, Federal Travel Regulations, etc.
>
> [EQUIPMENT]{.underline} \-- Provide an itemized list of each piece of
> equipment, its unit costs, and the basis for estimating the cost, for
> example, vendor quotes, catalog prices, prior invoices, etc.
>
> [SUPPLIES]{.underline} \-- Provide an itemized list of supplies;
> identify the quantity of each item, its unit cost, and the basis for
> estimating the cost, for example, vendor quotes, catalog prices, prior
> invoices, etc.
>
> [CONTRACTUAL]{.underline} \-- Identify proposed subaward/consultant
> work and the cost of each subaward/consultant. Provide a detailed
> budget for each subawardee that is expected to perform work estimated
> to be \$100,000 or more, or 50% of the total work effort, whichever is
> less. The subawardee budget should the same level of detail as that of
> the applicant (i.e., by Object Class Category/Cost Classification). In
> addition, the following information must be provided:
>
> [Consultants]{.underline} \-- Provide the hourly or daily rate along
> with the basis for the rate. Furnish resumes or similar information
> regarding qualifications or experience. Provide a statement signed by
> the consultant certifying his or her availability and that the rate
> proposed represents its 'most favored customer' rate. If travel or
> incidental expenses are to be charged, give the basis for these costs.
>
> [Subcontractors]{.underline} \-- Identify each planned subcontractor
> and its total proposed budget. Each subcontractor\'s budget and
> supporting detail should be included as part of the Applicant\'s
> budget narrative. In addition, the Applicant shall provide the
> following information for each planned subcontract: a brief
> description of the work to be subcontracted; the number of quotes
> solicited and received; the cost or price analysis performed by the
> Applicant; names and addresses of the subcontractors tentatively
> selected and the basis for their selection; i.e. low bidder, delivery
> schedule, technical competence; type of contract and estimated cost
> and fee or profit; and, affiliation with the Applicant, if any. For
> each proposed contractor, the applicant shall provide a letter of
> commitment in Attachment 4 - Commitment Letters (CLTP Attachment.doc).
>
> [CONSTRUCTION]{.underline} \-- Provide detail of construction costs,
> if applicable.
>
> [OTHER DIRECT COSTS]{.underline} \-- Provide an itemized list with
> costs for any other item proposed as a direct cost and state the basis
> for each proposed item.
>
> [INDIRECT COSTS]{.underline} \-- If indirect rates have been
> negotiated with or approved by a Federal Government agency, please
> provide a copy of the latest rate agreement (or in lieu of the
> Agreement, provide the website (URL) where the agreement can be
> retrieved from via the Internet). If you do not have a current rate
> agreement, submit an indirect cost rate proposal which includes the
> major base and pool expense groupings by line item and dollar amount.
> In either case, provide a breakdown of the proposed indirect costs for
> each of your accounting periods included in the proposal. Identify the
> rate and allocation base for each indirect cost, such as Overhead,
> General and Administrative, Facilities Capital Cost of Money, etc.
>
> [COST SHARING]{.underline} \-- Identify the percentage level and
> source of cost sharing for the proposed project. Firm funding
> commitments are expected and documentation of those commitments must
> be included in the application. Additionally, the impact of DOE\'s
> cost share to the viability of the project must be addressed, to
> include justification for the need for Federal Funds.
>
> **NOTE: The total project cost (i.e. sum of Applicant and other
> participants plus DOE's cost sharing) must be reflected in each budget
> form.**
>
> A detailed estimate of the cash value (basis of and the nature, e.g.,
> equipment, labor, facilities, cash, etc.) of all contributions to the
> project by each participant must be provided. Note that
> \"cost-sharing\" is not limited to cash investment. In-kind
> contributions (e.g., contribution of services or property; donated
> equipment, buildings, or land; donated supplies; or unrecovered
> indirect costs) incurred as part of the project may be considered as
> all or part of the cost share. The \"cost-sharing\" definition is
> contained in 10 CFR 600.30, 600.101, 600.123, 600.224, 600.302, 600.
> 313 and OMB Circular A-110.
>
> Fee or profit will not be paid to the recipients of financial
> assistance awards.
>
> Additionally, foregone fee or profit by the Applicant shall not be
> considered cost sharing under any resulting award.
>
> Reimbursement of actual costs will only include those costs that are
> allowable and allocable to the project as determined in accordance
> with the applicable cost principles prescribed in 10 CFR 600.127, 10
> CFR 600.222 or 10 CFR 600.317.
>
> **PROJECT NARRATIVE**
>
> The Project Narrative will consist of the Applicant\'s outline
> addressing the technical and management aspects of the project, the
> Applicant\'s capabilities and what the applicant will do to satisfy
> the requirements of each phase. Since the technical information
> contained in this section will be evaluated to determine such matters
> as understanding of the work to be performed, technical approach, and
> potential for completing the desired work, it should be specific and
> complete in every detail. The Project Narrative shall address the cost
> elements and methodology of the proposed approach relative to the cost
> goals of the program in detail and the potential for meeting the other
> objectives of the program (see Minimum Requirements -- Attachment B of
> this Funding Opportunity Announcement). The Project Narrative must
> address each of the merit review criterion and sub-criterion listed in
> Section V. Provide sufficient information so that the reviewers will
> be able to evaluate the application in accordance with these merit
> review criteria. The application should be practical and be prepared
> simply and economically, providing a straightforward, concise
> delineation of what it is that the Applicant will do to satisfy the
> requirements of the program objectives. As detailed above, the Project
> Narrative may be evaluated strictly on the merit of the material
> submitted, therefore no project cost information is to be included.
>
> The Project Narrative file must be formatted to separately address
> each of the sections listed below. It must not exceed 75 pages,
> excluding Fuel Cell Tech Data (Attachment 1), Biographical
> Sketches/Resume (Attachment 2), FFRDC Contractors (Attachment 3), and
> Letters of Commitment (Attachment 4). Evaluators will review only the
> first 75 pages of the project narrative file. The page guidance
> identified below represents a recommended minimum and a required
> maximum number of pages for each subsection. Applications that contain
> a narrative in excess of the above page limit shall, without
> compelling justification, receive a significant weakness under the
> technical evaluation criteria.

The format for this file should be as follows:

A.  [Cover Page]{.underline}

B.  [Table of Contents]{.underline}

C.  [Technical Discussion]{.underline}

-   Status of Existing Fuel Cell Technology (5-10 pages)

-   Technical Approach (20-25 pages)

-   Project Objectives, Milestones and R&D Plan (10-15 pages)

-   Cost Estimate (10-15 pages)

```{=html}
<!-- -->
```
-   Capabilities, Facilities, Team Structure and Personnel (5-10 pages)

> Save this information in a Word file named \"**PROJECT
> NARRATIVE.doc**\"
>
> This file shall include a **cover page** indicating the Funding
> Opportunity Announcement number, name and address of the Applicant,
> point of contact, telephone/FAX number/E-Mail address, title of
> project and date of application.
>
> Graphics and visual material, including charts, graphs, maps,
> photographs and other pictorial presentations will be counted in the
> page limitation for this section. The project narrative file is to be
> single spaced, 1\" margins (top, bottom, left, right), and when
> printed will fit on standard 8 1/2\" by 11\" paper. The type must be
> legible and be in a 12 point font.
>
> Unnecessarily elaborate applications are not desired. Elaborate art
> work, graphics and pictures will increase the document file size. If
> the Project Narrative file size is over 5MB, we request that you use a
> "Zip" file compression software, such as WinZip software, to reduce
> the time needed to download the file.
>
> The International System of Units (SI), including non-SI units
> accepted for use with the SI, should be used to express all
> measurements. For measures that are to be quantified in English units
> (such as heating values), SI units should be presented first, followed
> by the corresponding value expressed in English units within
> parentheses.
>
> **DOE WILL EVALUATE AND CONSIDER ONLY THOSE APPLICATIONS THAT ADDRESS
> EACH OF THE FOLLOWING MERIT REVIEW CRITERIA AND SUB-CRITERIA.** To
> help facilitate the review process and to ensure all the review
> criteria are addressed, the Applicant shall use the following format
> when preparing the Technical Discussion.
>
> **1. Status of Existing Fuel Cell Technology (5-10 pages):**

The Applicant must provide a detailed discussion of the developmental
status of the Applicant's fuel cell technology to date, augmented by
supporting technical and experimental data on historical and current
design specifications, materials, manufacturing methods, material and
manufacturing cost, and performance under a variety of conditions
applicable to the objectives of this Funding Opportunity Announcement.
This information will facilitate an assessment by the DOE as to the
likelihood that the end-of-phase performance and cost requirements can
be achieved within the funding limitations and timeframe of the Program.
The Project Narrative should discuss the history of the Applicant's
development efforts and significant performance and cost milestones
achieved - particularly highlights those milestones most applicable to
the objectives of this Funding Opportunity Announcement. In addition,
the Applicant should make explicit note of the technical difficulties
experienced to date with respect cell, stack and system performance. In
support of this discussion, the Applicant shall provide the data
requested in ATTACHMENT 1 (addressed below) TO THE FULLEST EXTENT
POSSIBLE (50 PAGES MAXIMUM, NOT INCLUDED IN THE PROJECT NARRATIVE PAGE
LIMITATION).

> **2. Technical Approach (20-25 pages):**
>
> The Applicant shall fully describe the planned technical approach for
> the design of the baseline (\>100 MWe) system and the design,
> manufacture and test of the proof-of-concept system. All Phases of the
> program must be addressed with the cell and stack scale-up and system
> aspects planned for Phase I receiving the most emphasis. The
> discussion and description must be in sufficient detail to permit the
> DOE to determine the potential for success and technical viability of
> the proposed effort. A detailed Statement of Project Objectives should
> not be addressed in this section; rather, the underlying technical
> considerations along with a complete description and technical merit
> of the proposed scaled-up fuel cell stack, fuel cell module and system
> approach should be presented.
>
> Descriptions of the proposed system configuration must include system
> block and process flow diagrams, simplified mass and energy balances,
> and subsystem/select major component descriptions and respective
> performance assumptions justifying the calculated integrated system
> efficiency. The system efficiency is to be calculated as follows:

+---------------------------+------------------------------------------+
| > **Net electrical        | net electrical energy                    |
| > efficiency** =          |                                          |
+---------------------------+------------------------------------------+
|                           | total heating value energy of all input  |
|                           | fuels                                    |
+---------------------------+------------------------------------------+

> Where:
>
> **net electrical energy** = the net electrical energy delivered at the
> required voltage to the plant busbar (whether delivered to a utility
> grid or to a distributed generation application)
>
> **heating value energy** = the amount of energy in the coal, based on
> its higher heating value (enthalpy of combustion)
>
> The process flow diagram must show how process streams flow among all
> the major components in the overall energy system. As appropriate for
> detail and clarity, show streams and components that are confined to
> certain subsystems on separate process flow diagrams. Every stream
> should be labeled with a unique name. A stream table that lists, by
> stream number, the significant properties of each stream at design
> point conditions, should accompany the process flow diagram. At a
> minimum, the following properties should be included: temperature,
> pressure, vapor fraction, enthalpy, volumetric flow (for gases), total
> mass flow (for liquids and solids), and chemical composition
> (component mass fraction, component mass flow \[for liquids and
> solids\] or component mole fraction \[for gases\]). Report work and
> heat streams after the heat and mass balance section.
>
> For each major component or subsystem, provide the information
> required to fill out the table below. The table is provided merely as
> an example; the exact format in which the information is presented is
> left to the Applicant. For "technology type," use the following
> classifications:

a.  New technology, little or no test data

b.  New technology, prototype test data

c.  Modifications to commercial technology

d.  Commercial technology

# ![](media/image2.wmf){width="7.236805555555556in" height="2.9368055555555554in"}

> The Applicant shall present a discussion of how the proposed system
> will meet the Minimum Requirements (Attachment B of this Funding
> Opportunity Announcement) on cost, efficiency, operating conditions,
> testing and fuel types. **The Applicant shall clearly state the
> efficiency to be achieved by the overall system and the performance
> targets to be achieved by the scaled-up fuel cell stack and fuel cell
> module during the validation testing at the end of Phases I and II,
> respectively.** Relevant performance deltas between current and
> required major component/subsystem performance and cost to achieve the
> Program\'s integrated system targets must be explicitly addressed.
> Work addressing these performance gaps will form the foundation of the
> Statement of Project Objectives.
>
> The Applicant shall provide a definitive discussion of the technical
> uncertainties and risks associated with the effort to achieve the
> program objectives and the Minimum Requirements. Proposed solutions to
> all identified problem areas should be included in the discussion.
> Specific research and development (R&D) needs should be categorized as
> follows: (1) Materials and Manufacturing; (2) Fuel Processing; (3)
> Modeling and Simulation; (4) Power Electronics; (5) Thermal Systems;
> and (6) Control System and Sensors.
>
> Discussions referencing the state-of-the-art with respect to the
> Applicant's existing technology, as well as the planned technical
> approach for this effort, shall be supported with a bibliography/list
> of references and included in an attachment to the Project Narrative
> File (NOT INCLUDED IN THE PROJECT NARRATIVE PAGE LIMITATION).
>
> **3. Soundness and Completeness of Project Objectives, Milestones and
> R&D Plan (10-15 pages):**
>
> The Applicant shall present a detailed Statement of Project Objectives
> (SOPO) in this section. It must clearly describe the work to be
> performed in each phase - see below for discussion on how to prepare a
> SOPO in accordance with DOE NETL standards. The SOPO for Phase I
> should be organized in a Work Breakdown Structure (WBS) format. A
> detailed description of each task or activity for the proposed Phase I
> shall be provided. The level of detail should be adequate for direct
> incorporation into a Cooperative Agreement with minimal modification.
> A general discussion of the work scope for Phases II and III shall be
> provided in sufficient detail to demonstrate that the proposed effort
> is reasonable and complete.
>
> **STATEMENT OF PROJECT OBJECTIVES INSTRUCTIONS**
>
> The Department of Energy's National Energy Technology Laboratory uses
> a specific format for Statement of Project Objectives in its awards.
> In announcements such as this one, where the Government does not
> provide a SOPO, the Applicant is to provide one, which the DOE will
> then use to generate the SOPO to be included in the award. All
> applications must contain a single, detailed SOPO that addresses how
> the project objectives will be met.
>
> The SOPO must contain a clear, concise description of all activities
> to be completed during project performance and follow the structure
> discussed below. The SOPO may be released to the public by DOE in
> whole or in part at any time. **It is therefore required that it not
> contain proprietary or confidential business information.** The SOPO
> is generally less than 5 pages in total for the proposed work.
>
> **Applicants shall prepare the SOPO in the following format:**
>
> *TITLE OF WORK TO BE PERFORMED*
>
> *(Insert the title of work to be performed. Be concise and
> descriptive.)*
>
> *A. [OBJECTIVES]{.underline}*
>
> *Include one paragraph on the overall objective(s) of the work. Also,
> include objective(s) for each phase of the work.*
>
> *B. [SCOPE OF WORK]{.underline}*
>
> *This section should not exceed one-half page and should summarize the
> effort and approach to achieve the objective(s) of the work for each
> Phase.*
>
> *C. [TASKS TO BE PERFORMED]{.underline}*
>
> *Tasks, concisely written, should be provided in a logical sequence
> and should be divided into the phases of the project. This section
> provides a brief summary of the planned approach to this project.*
>
> *PHASE I*
>
> *Task 1.0 - (Title)*
>
> *(Description)*
>
> *Subtask 1.1 (Optional)*
>
> *(Description)*
>
> *Task 2.0 - (Title)*
>
> *PHASE II*
>
> *The Applicant shall provide a general discussion of the work to be
> completed in Phase II.*
>
> *PHASE III*
>
> *The Applicant shall provide a general discussion of the work to be
> completed in Phase III.*
>
> *D. [DELIVERABLES]{.underline}*
>
> *The periodic, topical, and final reports shall be submitted in
> accordance with the "Federal Assistance Reporting Checklist" and the
> instructions accompanying the checklist found in Attachment A of this
> Announcement. Other than those identified on the "Federal Assistance
> Reporting Checklist" and those identified in Article 6.10, the
> Applicant shall identify topical reports and additional deliverables
> appropriate to the project and sub-areas of interest addressed in the
> application. Such additional deliverables may include computer codes,
> data files, or material samples and prototypes for DOE evaluation.
> These reports shall also be identified within the text of the
> Statement of Project Objectives.*
>
> *1. Task 1.1 - (Report Description)*
>
> *2. Task 2.2 - (Report Description)*
>
> *E. [BRIEFINGS/TECHNICAL PRESENTATIONS]{.underline}*
>
> *The Recipient shall prepare detailed semiannual briefings (based upon
> the Semiannual Technical Progress Topical Reports) for presentation to
> the COR at the NETL facility located in Morgantown, WV or Pittsburgh,
> PA. One of the briefings per year may be done remotely (e.g., WebEx).
> Briefings shall be conducted by the Recipient to explain the plans,
> progress, and results of the technical effort. A kickoff briefing will
> also be required.*
>
> A schedule of the proposed project activities should also be provided.
> The schedule shall be related to the specific tasks and sub-tasks to
> be performed as identified in the Statement of Project Objectives and
> provide a time for the accomplishment of the activities/tasks. A Gantt
> chart is sufficient for this purpose. This section should also clearly
> identify principal milestones, decision points and go/no-go decision
> criteria for the project that will be used to assess project progress.
>
> The Applicant must provide a table listing the type and number of
> man-hours required for Phase I. The man-hours shall be related to the
> specific tasks and sub-tasks to be performed as identified in the
> Statement of Project Objectives and shall indicate the job disciplines
> and classifications (engineering, manufacturing, scientific, clerical,
> etc.) for each major task over the Phase I project period. Also
> identify which key personnel, as defined in Part 5 below, are
> responsible for each major task.
>
> **4. Cost Estimate (10-15 pages):**
>
> The Applicant shall provide a detailed cost estimate which accounts
> for all components of the fuel cell stack and system contained in the
> proposed stack and system approach. Every effort shall be made to base
> the estimate on materials supplier and manufacturer estimates in
> addition to other accepted professional methods of cost engineering.
> Applicants must clearly state and justify their actual or estimated
> current fuel cell system costs, demonstrating significant progress
> towards achieving a current system Factory Cost of \$800/kWe.
> Applicants are referred to Attachment B of this Funding Opportunity
> Announcement for a definition of Factory Cost.
>
> The primary emphasis of the Applicant's cost estimate shall be focused
> on meeting the Phase II and III cost goal of \$400/kW, exclusive of
> the coal gasification and CO~2~ separation subsystems by the end of
> the Program (see the Minimum Requirements - Attachment B of this
> Funding Opportunity Announcement). The Applicant must clearly identify
> and justify a path from the current cost (nominally \$800/kWe) to
> \$400/kWe. Sufficient detail should also be provided to support
> meeting the intermediate Phase I cost goal as well. The Applicant
> shall provide a discussion of the overall reasonableness of its cost
> estimate in relation to the goals set forward in this Funding
> Opportunity Announcement. The cost estimate must establish and fully
> justify a reasonable estimate of the number of systems and their
> respective size (\>100 MWe) that must be manufactured per year to
> support the DOE cost goals.
>
> **5. Capabilities, Facilities, Team Structure and Personnel (5-10
> pages):**
>
> The Applicant must detail and discuss its existing participation and
> experience relevant to the advancement and commercialization of
> technologies pertinent to the objectives of this Funding Opportunity
> Application. Fuel cell development and large central power station
> experience are priority areas. It should also detail the relevant
> experience of all team members (consultants, subcontractors, partners,
> etc.). The key personnel involved and their relationship to the
> project shall also be included. The key personnel should have a
> minimum of ten years experience directly related to the work under
> their cognizance as identified in the application. Resumes of key
> personnel shall be included as ATTACHMENT 2 -- BIOGRAPHICAL
> SKETCHES/resumeS (NOT INCLUDED IN THE PROJECT NARRATIVE PAGE
> LIMITATION).
>
> The Applicant shall describe its overall technical and management
> experience and experience in managing projects similar in type,
> technology, size and complexity. The Applicant shall clearly indicate
> past work that is relevant to expectations for success of the proposed
> project. The Applicant shall discuss its ability to transition science
> and technology to industry and targeted markets and/or its ability to
> commercialize developed science and technology. The Applicant shall
> discuss the team structure emphasizing how the overall program will be
> structured and managed. A description of organizational and individual
> responsibilities and activities assignments for each team member shall
> be provided. The Applicant shall also discuss the availability of key
> personnel. If applicable, a description of how non-key personnel will
> be utilized to develop scientists and engineers to further and sustain
> growth in the U .S. fuel cell industry shall be provided. An
> organization chart of all entities involved in the project shall be
> included. Relationships with team members, consultants, and
> subcontractors should be defined. The Applicant shall discuss how all
> of the various entities will work together to accomplish the proposed
> work. It shall describe the method that will be used to maintain
> internal and inter-organizational control over budget, schedule,
> quality of performance and project end products. Letters of commitment
> from any identified subcontractors or consultants shall be included as
> ATTACHMENT 4 - Letters of Commitment (NOT INCLUDED IN THE PROJECT
> NARRATIVE PAGE LIMITATION).
>
> The Applicant shall discuss the equipment and facilities that will be
> utilized by all members of the proposed team. In support of the
> Applicant\'s technical approach, a discussion of the availability and
> commitment of the Applicant\'s (or team member's) facilities and
> equipment, testing apparatus and laboratories shall be provided. The
> Applicant shall identify specific facilities and laboratories that
> will be devoted to this work, including any planned equipment or
> facility additions over the three phases. In general, DOE does not
> anticipate funding new equipment and facilities, although exceptions
> could be made based on compelling arguments. The Applicant must
> provide a list of major materials, parts, and equipment required to
> perform the project and detail the availability of these items.
>
> **CERTIFICATIONS/ASSURANCES/REPRESENTATIONS FILE**
>
> Applicants must complete the DOE
> certifications/assurances/representations information. Save this
> information in a single Word file named
> **"CERTIFICATIONS-ASSURANCES.doc"**. The certifications/ assurances/
> representations are available on the NETL homepage at:
>
> <http://www.netl.doe.gov/business/faapiaf/app-files.html>
>
> This program is covered under Title XX through XXIII of the Energy
> Policy Act (EPACT) of 1992. If an applicant is a business entity other
> than an organization of they type described in 501(c)(3) of the
> Internal Revenue Code of 1954, the applicant must complete the form
> set with the EPACT Representation and provide the appropriate EPACT
> Representation, (i.e., EPACT Representation for Awards Under \$100,000
> or EPACT Representation for Awards of \$100,000 or more).
>
> **ATTACHMENT 1 -- FUEL CELL TECH DATA**
>
> The experimental data listed in this attachment is requested in
> support of the following evaluation criterion:
>
> "Status of Existing Fuel Cell Technology (20%): Likelihood, based upon
> the existing state of development of the applicant's fuel cell and
> stack technology, that the end-of-phase performance test and cost
> requirements can be achieved."
>
> This data will be used by the DOE to evaluate the developmental status
> of the Applicant's existing fuel cell technology. If any of the
> requested data in the categories listed below either does not exist or
> could not practically be obtained prior to the time of application
> submission, state so explicitly. Please provide the data using the
> same format and sequence shown. This attachment has a 50-page limit.
> Save this information in a single Word file, named **\"FUEL CELL TECH
> DATA.doc**\".

1.  Single cell (non-button cell) performance data (prefer data taken
    after 300 hours of operation):

    a.  V-I and power density curves for highest power density single
        cell module.

        i.  Degradation data

        ii. Operating temperature

        iii. Cell dimensions

        iv. Fuel and air flow configuration

        v.  Cell composition

        vi. Interconnect/current collector composition

        vii. Fuel composition

        viii. Fuel utilization

        ix. Maximum operating time

        x.  Cell manufacturing methods

    b.  V-I and power density curves for largest single cell module.

        i.  Degradation data

        ii. Operating temperature

        iii. Cell dimensions

        iv. Fuel and air flow configuration

        v.  Cell composition

        vi. Interconnect/current collector composition

        vii. Fuel composition

        viii. Fuel utilization

        ix. Maximum operating time

        x.  Cell manufacturing methods

    c.  V-I and power density curves for highest power density single
        cell module operating on simulated coal gasifier reformate.

        i.  Degradation data

        ii. Operating temperature

        iii. Cell dimensions

        iv. Fuel and air flow configuration

        v.  Cell composition

        vi. Interconnect/current collector composition

        vii. Fuel composition

        viii. Fuel utilization

        ix. Maximum operating time

        x.  Cell manufacturing methods

    d.  V-I and power density curves for single cell module operating at
        maximum fuel utilization.

        i.  Degradation data

        ii. Operating temperature

        iii. Cell dimensions

        iv. Fuel and air flow configuration

        v.  Cell composition

        vi. Interconnect/current collector composition

        vii. Fuel composition

        viii. Fuel utilization

        ix. Maximum operating time

        x.  Cell manufacturing methods

    e.  V-I and power density curves for single cell module operating
        under pressurized conditions similar to those expected for the
        proposed system (if applicable).

        i.  Degradation data

        ii. Operating temperature

        iii. Cell dimensions

        iv. Fuel and air flow configuration

        v.  Cell composition

        vi. Interconnect/current collector composition

        vii. Fuel composition

        viii. Fuel utilization

        ix. Maximum operating time

        x.  Cell manufacturing methods

2.  Multi-cell Stack performance data (prefer data taken after 300 hours
    of operation):

    a.  V-I and power density curves for highest power density stack.

        i.  Degradation data

        ii. Thermal cycling-related degradation data

        iii. Operating temperature

        iv. Cell dimensions

        v.  Fuel and air flow configuration

        vi. Cell composition

        vii. Interconnect/current collector composition

        viii. Fuel composition

        ix. Fuel utilization

        x.  Maximum operating time

        xi. Number of cells

        xii. Seal description

    b.  V-I and power density curves for largest stack.

        i.  Degradation data

        ii. Thermal cycling-related degradation data

        iii. Operating temperature

        iv. Cell dimensions

        v.  Fuel and air flow configuration

        vi. Cell composition

        vii. Interconnect/current collector composition

        viii. Fuel composition

        ix. Fuel utilization

        x.  Maximum operating time

        xi. Number of cells

        xii. Seal description

    c.  V-I and power density curves for highest power density stack
        operating on simulated coal gasifier reformate.

        i.  Degradation data

        ii. Thermal cycling-related degradation data

        iii. Operating temperature

        iv. Cell dimensions

        v.  Fuel and air flow configuration

        vi. Cell composition

        vii. Interconnect/current collector composition

        viii. Fuel composition

        ix. Fuel utilization

        x.  Maximum operating time

        xi. Number of cells

        xii. Seal description

    d.  V-I and power density curves for stack operating at maximum fuel
        utilization.

        i.  Degradation data

        ii. Thermal cycling-related degradation data

        iii. Operating temperature

        iv. Cell dimensions

        v.  Fuel and air flow configuration

        vi. Cell composition

        vii. Interconnect/current collector composition

        viii. Fuel composition

        ix. Fuel utilization

        x.  Maximum operating time

        xi. Number of cells

        xii. Seal description

    e.  V-I and power density curves for stack operating under
        pressurized conditions similar to those expected for the
        proposed system (if applicable).

        i.  Degradation data

        ii. Operating temperature

        iii. Cell dimensions

        iv. Fuel and air flow configuration

        v.  Cell composition

        vi. Interconnect/current collector composition

        vii. Fuel composition

        viii. Fuel utilization

        ix. Maximum operating time

        x.  Cell manufacturing methods

3.  Stand-alone system experience (provide the information requested
    below for each operational system):

    a.  Date entered/removed from service

    b.  Type of fuel cell (e.g., SOFC, MCFC, etc.)

    c.  Number of stacks/unit

    d.  Number of cells/stack

    e.  Operating temperature

    f.  Cell dimensions

    g.  Fuel and air flow configuration

    h.  Cell composition

    i.  Interconnect composition

    j.  Fuel used

    k.  Rated power

    l.  Average actual power output over service life

    m.  Nominal power density at the typical cell operating voltage
        (state V/cell and fuel utilization)

    n.  Operating time

    o.  Availability data

    p.  Degradation data

    q.  Number of thermal cycles

    r.  Thermal cycling-related degradation data

    s.  Reason for removal from service

    t.  What efforts are envisioned within the proposed project to
        address the technical weaknesses/deficiencies observed in
        operational systems

    u.  Beginning- and end-of-life overall efficiency

    v.  As-manufactured cost

    w.  Mass-production cost data/estimates

4.  System cost analyses:

    a.  \$/kW

    b.  Volume assumptions

        i.  Power rating for each system

        ii. Number of systems per year

    c.  Independently-audited supporting analyses performed?

    d.  Cell manufacturing methods and nominal yields

    e.  Cell composition

    f.  Cell dimensions

    g.  Stack size

    h.  Interconnect composition

    i.  Fuel

    j.  Fuel reformer type

    k.  Baseline cell/stack performance required to achieve \$/kW

        i.  Power density

        ii. Operating voltage

        iii. Fuel utilization

> **ATTACHMENT 2 - BIOGRAPHICAL SKETCHES/RESUME**
>
> Provide a biographical sketches/resume for the project
> director/principal investigator, co-project directors/principal
> investigators, and other key personnel identified in the application.
> Save this information in a single Word file, named **\"BIO
> ATTACHMENT.doc**\". The biographical information must not exceed 2
> pages for each person when printed on 8.5\" by 11\" paper with 1 inch
> margins (top, bottom, left, and right) with 12 point font and must
> include:
>
> [Education]{.underline}: Undergraduate, graduate and postdoctoral
> training, provide institution, major/area, degree and year.
>
> [Positions]{.underline}: Beginning with the current position list, in
> chronological order, professional/academic positions with a brief
> description.
>
> [Publications]{.underline}: A list of up to five (5) publications most
> closely related to the proposed project. For each publication,
> identify the names of all authors (in the same sequence in which they
> appear in the publication), the article title, book or journal title,
> volume number, page numbers, year of publication, and website address
> if available electronically.
>
> [Patents, copyrights and Software Systems]{.underline}: A list of
> patents, copyrights and/or software systems developed may be provided
> in addition to or substituted for publications.
>
> [Synergistic Activities]{.underline}: List no more than five (5)
> professional and scholarly activities related to the effort proposed.
>
> [Bibliography]{.underline}: Discussions referencing the
> state-of-the-art with respect to the Applicant's existing technology,
> as well as the planned technical approach for this effort, shall be
> supported with a bibliography/list of references.
>
> **ATTACHMENT 3 - FFRDC ATTACHMENT**
>
> FFRDC Budgets and a DOE Field Work Proposal in accordance with the
> requirements in DOE Order 412.1 Work Authorization System,
>
> (<http://www.directives.doe.gov/pdfs/doe/doetext/neword/412/o4121.pdf>)
> must be saved as a Word file and named **"FFRDC ATTACHMENT.doc"**
>
> **ATTACHMENT 4 - COMMITMENT LETTERS FROM THIRD PARTIES CONTRIBUTING TO
> COST SHARING**
>
> If a third party, (i.e., a party other than the organization
> submitting the application) proposes to provide all or part of the
> required cost sharing, the Applicant must include a letter from the
> third party stating that it is committed to providing a specific
> minimum dollar amount of cost sharing. The letter should also identify
> the proposed cost sharing (e.g., cash, services, and/or property) to
> be contributed. Letters must be signed by the person authorized to
> commit the expenditure of funds by the entity and be provided in a PDF
> format. Save this information is a file named **"CLTP
> ATTACHMENT.pdf**".

**D. SUBMISSION DATES AND TIMES (NOV 2004)**
[]{#__RefHeading___Toc89853013 .anchor}

> **1. Pre-application Due Date**
>
> Pre-applications are not required.
>
> **2. Application Due Date**
>
> Applications for Phase I, Round 1, must be received by **June 7, 2005,
> not later than 8:00 PM Eastern Time**. Applications for Phase 1, Round
> 2, must be received by: **To Be Determined**, not later than 8:00 PM
> Eastern Time.
>
> You are encouraged to transmit your application well before the
> deadline. **APPLICATIONS RECEIVED AFTER THE DEADLINE WILL NOT BE
> REVIEWED OR CONSIDERED FOR AWARD.**

**E. SUBMISSIONS FROM SUCCESSFUL APPLICANTS (NOV 2004)**
[]{#__RefHeading___Toc89853015 .anchor}

> Successful Applicants must submit the information listed below not
> later than thirty (30) calendar days after notification of selection.
> Applicants who fail to provide the information within the required
> time period may be eliminated from further consideration.

+--------------------------------------+-------------------------------+
| **What to submit**                   | > **Required Form or Format** |
+--------------------------------------+-------------------------------+
| [**Budget for DOE Federally Funded   | DOE Field Work Proposal form  |
| Research and Development Center      | at:                           |
| (FFRDC) Contractor**,]{.underline}   |                               |
| if applicable.                       | [                             |
|                                      | http://grants.pr.doe.gov](../ |
| If a DOE FFRDC contractor is to      | %20http://grants.pr.doe.gov). |
| perform a portion of the work,       |                               |
| provide a DOE Field Work Proposal in |                               |
| accordance with the requirements in  |                               |
| DOE Order 412.1 Work Authorization   |                               |
| System (See                          |                               |
| [[http://grants.pr.doe.gov]{         |                               |
| .underline}](http://professionals.pr |                               |
| .doe.gov/ma5/ma-5web.nsf/FinancialAs |                               |
| sistance/IIPSFAForms?OpenDocument)). |                               |
+--------------------------------------+-------------------------------+
| **[Environmental                     | This form is available at:    |
| Questionnaire]{.underline}**         |                               |
|                                      | <http://www.netl.doe.go       |
| You must complete and submit an      | v/business/forms/nepasol.doc> |
| environmental questionnaire.         |                               |
+--------------------------------------+-------------------------------+
| **[Civil Rights                      | This form is available at:    |
| Compliance]{.underline}**            |                               |
|                                      | [http://www.netl              |
| Successful applications may be       | .doe.gov/business/forms/civil |
| requested to complete and submit a   | rights compliance             |
| Civil Rights Compliance Form.        | documentation                 |
|                                      | .doc](http://www.netl.doe.gov |
|                                      | /business/forms/civil rights  |
|                                      | compliance documentation.doc) |
+--------------------------------------+-------------------------------+

**F. INTERGOVERNMENTAL REVIEW - NONE (NOV 2004)**
[]{#__RefHeading___Toc89853016 .anchor}

> This program is not subject to Executive Order 12372,
> "Intergovernmental Review of Federal Programs\".

**G. FUNDING RESTRICTIONS (NOV 2004)** []{#__RefHeading___Toc89853018
.anchor}

> [Cost Principles]{.underline}**.** Costs must be allowable in
> accordance with the applicable cost principles referenced in 10 CFR
> Part 600.
>
> [Pre-award Costs]{.underline}**.** Recipients may charge to an award
> resulting from this Announcement pre-award costs that were incurred
> within the ninety (90) calendar day period immediately preceding the
> effective date of the award, if such costs would be reimbursable under
> the agreement if incurred after the agreement is awarded. Recipients
> must obtain the prior approval of the contracting officer for any
> pre-award costs that are for periods greater than this 90 day calendar
> period.
>
> Pre-award costs are incurred at the Applicant's risk. DOE is under no
> obligation to reimburse such costs if for any reason the Applicant
> does not receive an award or if the award is made for a lesser amount
> than the Applicant expected.
>
> [Foreign Travel.]{.underline} Cost of foreign travel is not allowable
> under an award made as a result of this Announcement without prior
> written approval from the Contracting Officer.

**H. RESTRICTIONS ON TRANSFER OF FUEL CELL TECHNOLOGY TO FOREIGN
ENTITIES**

> It is agreed that the Recipient shall obtain adequate recognition of
> the United States support for the technology \-- patented or
> unpatented \-- developed \-- or utilized \-- under this Cooperative
> Agreement in any contracts, licenses, or other agreements which
> involve the transfer to foreign entities of the fuel cell technology
> developed in whole or in part at Government expense. The Recipient
> agrees to notify the Assistant Secretary for Fossil Energy in writing
> of the adequate recognition obtained prior to entering into any such
> contracts, licenses, or other agreements. The Recipient shall not
> enter into any such contracts, licenses, or other agreements without
> the concurrence of the Assistant Secretary for Fossil Energy or
> designee. The determination of whether to grant such concurrence shall
> be at the sole discretion of the Assistant Secretary for Fossil Energy
> or designee and is not subject to litigation under the Financial
> Assistance Appeals Board (10 CFR Part 1024). The determination shall
> be in writing and shall be furnished to the Recipient by the
> Contracting Officer.

[This paragraph shall be included in all subcontracts]{.underline}.

**I. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS (NOV 2004)**
[]{#__RefHeading___Toc89853019 .anchor}

> **IIPS Registration Process.**
>
> In order to submit an application through IIPS, you must be authorized
> by the Applicant (i.e., institution or business entity) to submit an
> application on its behalf and you must register in IIPS. You are
> encouraged to register as soon as possible. You only have to register
> once to apply for any DOE award. To register go to
> [http://e-center.doe.gov](http://e-center.gov/), select the IIPS
> System, and follow the registration instructions.
>
> **PART V - APPLICATION REVIEW INFORMATION**
> []{#__RefHeading___Toc89853021 .anchor}

**A. CRITERIA (NOV 2004)** []{#__RefHeading___Toc89853022 .anchor}

> **1. [Initial Review Criteria]{.underline}**
>
> Prior to a comprehensive merit evaluation, DOE will perform an initial
> review to determine that (1) the Applicant is eligible for an award;
> (2) the information required by the announcement has been submitted;
> (3) all mandatory requirements are satisfied; and (4) the proposed
> project is responsive to the objectives of the Funding Opportunity
> Announcement.
>
> **2. [Merit Review Criteria]{.underline}**
>
> Technical applications submitted in response to this Funding
> Opportunity Announcement will be evaluated and scored in accordance
> with the five (5) merit review criteria and weights listed below.
> Applications shall be rated on a basis of a 1000 point scale, with the
> relative weight and maximum points attributable to each merit review
> criterion as indicated.
>
> **Criterion #1 - Status of Existing Fuel Cell Technology - 20% (200
> points maximum)**

-   Likelihood, based upon the existing state of development of the
    applicant's fuel cell and stack technology, that the end-of-phase
    performance test and cost requirements can be achieved.

> **Criterion #2 - Technical Approach - 40% (400 points maximum)**

-   Adequacy of the proposed technical approach with respect to the
    design, manufacture and test of proposed components and systems.

-   Likelihood that the proposed technical approach presented will lead
    to end-of-phase components and systems that meet the Funding
    Opportunity Announcement's minimum cost and performance requirements
    (the Minimum Requirements).

-   Likelihood that the proposed efforts will lead to a fuel cell stack
    that is technically and economically viable as the building block of
    a large multi-MW fuel cell-based central power system.

-   Identification and appropriateness of proposed R&D needs.

-   Effectiveness of methods and approaches proposed to mitigate or
    avoid problems.

-   Likelihood that the methods projected for production can be used to
    produce a Phase III proof-of-concept demonstration system.

> **Criterion #3 - Soundness and Completeness of Project Objectives,
> Milestones and R&D Plan - 20% (200 points maximum)**

-   Soundness and completeness of proposed Statement of Project
    Objectives.

-   Adequacy of the work breakdown structure (WBS), including coverage
    of critical activities, organizational responsibilities, and
    matching resources to requirements.

-   Appropriateness of proposed man-hours.

-   Degree to which the Phase II and III effort discussion demonstrates
    the likelihood that the proof-of-concept units will meet the minimum
    requirements for Phase II and III.

-   Adequacy of sequence of activities, milestones and decision points.

-   Adequacy and completeness of the preliminary test plan.

> **Criterion #4 - Cost Estimate - 10% (100 points maximum)**

-   Thoroughness of the system cost estimate, including accounting for
    all the materials, components and manufacturing processes of the
    fuel cell stack and supporting subsystems.

-   Reasonableness of the cost estimate.

-   Likelihood that the system cost requirements will be met at the end
    of each phase.

> **Criterion #5 - Capabilities, Facilities, Team Structure and
> Personnel - 10% (100 points maximum)**

-   Demonstrated experience in large central power station systems.

-   Demonstrated credentials, capabilities, and experience of corporate
    and key personnel.

-   Adequacy of the proposed team structure and availability of key
    personnel.

-   Likelihood that the proposed team personnel and structure will be
    sufficient to complete the project objectives.

-   Type, quality, and availability of the proposed equipment, materials
    and facilities.

-   Reasonableness of justification for purchase or lease of facilities,
    equipment or materials.

> **3. [Budget Review Criteria]{.underline}**
>
> The budget evaluation, which is not point scored, is conducted to
> determine the completeness of the cost estimate, appropriateness and
> reasonableness of the cost, and to assess the Applicant\'s
> understanding of the Statement of Project Objectives.
>
> **4. [Other Selection Factors]{.underline}**
>
> The technical evaluation of the application with respect to the Merit
> Review Criteria represents 100% of the total evaluation scoring.
> Although the budget information will not be point scored, it will be
> considered in the selection decision and must be addressed.
> Furthermore, in the event that the consideration of the
> recommendations and factors above, in the judgment of the Selection
> Official, results in a tie between two Applicants, the Applicant's
> proposed cost share may also be considered in the selection decision.
>
> Finally, Program Policy Factors, while not indicators of the
> Application\'s merit, e.g., technical excellence, cost, Applicant\'s
> ability, etc., may be essential to the process of selecting the
> application(s) that, individually or collectively, will best achieve
> the program objectives. Such factors are often beyond the control of
> the Applicant. Applicants should recognize that some very good
> applications may not receive an award because they do not fit within a
> mix of projects which maximizes the probability of achieving the
> DOE\'s overall research and development objectives. Therefore, the
> following Program Policy Factors may be used by the Selection Official
> to assist in determining which of the ranked application(s) shall
> receive DOE funding support.

1.  It is desirable to select for award a group of projects which
    represents a diversity of technical approaches, methods,
    applications and/or market segments;

2.  It may be desirable to support complementary and/or duplicative
    efforts or projects, which, when taken together, will best achieve
    the research goals and objectives;

3.  It is desirable that different kinds and sizes of organizations be
    selected for award in order to provide a balanced programmatic
    effort and a variety of different technical perspectives.

> The above factors will be independently considered by the Selection
> Official in determining the optimum mix of applications that will be
> selected for support. These policy factors will provide the Selection
> Official with the capability of developing, from the competitive
> funding opportunity, a broad involvement of organizations and
> organizational ideas, which both enhance the overall technology
> research effort and upgrade the program content to meet the goals of
> the DOE.

**B. REVIEW AND SELECTION PROCESS (NOV 2004)**
[]{#__RefHeading___Toc89853023 .anchor}

> **1. [Merit Review]{.underline}**
>
> Applications that pass the initial review will be subjected to a merit
> review in accordance with the guidance provided in the "Department of
> Energy Merit Review Guide for Financial Assistance and Unsolicited
> Proposals". This guide is available under Financial Assistance,
> Regulations and Guidance at
> <http://professionals.pr.doe.gov/ma5/ma-5web.nsf/?Open>
>
> **2.** **[Selection]{.underline}**
>
> The Selection Official will consider the merit review recommendation,
> program policy factors, and the amount of funds available.
>
> **3. [Discussions and Award]{.underline}**
>
> The Government may enter into discussions with a selected Applicant
> for any reason deemed necessary, including but not limited to: (1) the
> budget is not appropriate or reasonable for the requirement; (2) only
> a portion of the application is selected for award; (3) the Government
> needs additional information to determine that the recipient is
> capable of complying with the requirements in 10 CFR 600; and/or (4)
> special terms and conditions are required. Failure to resolve
> satisfactorily the issues identified by the Government will preclude
> award to the applicant.

**C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES - MULTIPLE**

**DUE DATES (NOV 2004)** []{#__RefHeading___Toc89853025 .anchor}

> The following reflects the anticipated selection dates by evaluation
> period. Awards are expected to be made within sixty (60) calendar days
> following the selection.
>
> [Evaluation Period]{.underline} [Anticipated Selection
> Date]{.underline}
>
> Phase I, Round 1 July 18, 2005
>
> Phase I, Round 2 To Be Determined

**PART VI - AWARD ADMINISTRATION INFORMATION**
[]{#__RefHeading___Toc89853026 .anchor}

**A. AWARD NOTICES (NOV 2004)** []{#__RefHeading___Toc89853027 .anchor}

> **1. [Notice of Selection]{.underline}**
>
> DOE will notify Applicants selected for award. This notice of
> selection is not an authorization to begin performance. (See Section
> IV.G with respect to the allowability of pre-award costs.)
>
> Organizations whose applications have not been selected will be
> advised as promptly as possible. This notice will explain why the
> application was not selected.
>
> **2. [Notice of Award]{.underline}**
>
> A Notice of Financial Assistance Award issued by the Contracting
> Officer is the authorizing award document. It includes, either as an
> attachment or by reference: 1. Special Terms and Conditions; 2.
> applicable program regulations, if any; 3 the application as approved
> by DOE/NNSA.; 4. DOE assistance regulations at 10 CFR Part 600, or,
> for Federal Demonstration Partnership (FDP) institutions, the FDP
> terms and conditions; 5. National Policy Assurances To Be Incorporated
> As Award Terms; and 6. a reporting checklist, which identifies the
> reporting requirements.

**B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS (NOV 2004)**
[]{#__RefHeading___Toc89853028 .anchor}

> **1. [Administrative Requirements]{.underline}**
>
> The administrative requirements for DOE Grants and Cooperative
> Agreements are contained in 10 CFR Part 600 (See:
> [http://ecfr.gpoaccess.gov](http://ecfr.gpoaccess.gov/) ).
>
> **2. [Special Terms and Conditions and National Policy
> Requirements]{.underline}**
>
> [Special Terms and Conditions and National Policy
> Requirements]{.underline}. The DOE Special Terms and Conditions for
> Use in Most Grants and Cooperative Agreements and National Policy
> Assurances to be Incorporated As Award Terms are located at
> [http://grants.pr.doe.gov](http://grants.pr.doe.gov/) .
>
> [Intellectual Property Provisions]{.underline}. The standard DOE
> financial assistance intellectual property provisions applicable to
> the various types of Recipients are located at
> <http://www.gc.doe.gov/techtrans/sipp_matrix.html> .

**C. STATEMENT OF SUBSTANTIAL INVOLVEMENT**

> There will be substantial involvement between the DOE and the
> Recipient during performance of this Cooperative Agreement. The DOE
> and Recipient will share responsibility for the management of the
> project as further described in this section.

1.  **[Recipient's Responsibilities]{.underline}**

> The Recipient shall be responsible for all aspects of project
> performance as set forth in the Statement of Project Objectives. All
> services, personnel, facilities, equipment, materials and supplies
> shall be furnished by the Recipient, unless otherwise specified under
> the Cooperative Agreement. The Recipient Project Director shall serve
> as its authorized representative for the technical elements of all
> work to be performed under the Cooperative Agreement. The Recipient
> Business Officer shall serve as its authorized representative for
> administrative elements dealing with the Cooperative Agreement.
>
> The Recipient will define approaches and plans, submit the plans to
> DOE for review, and incorporate DOE comments. The Recipient will
> attend program review meetings and report project status. The
> Recipient shall submit all required reports, including technical
> reports, and incorporate DOE comments. Recipient is responsible for
> presenting the project status results at appropriate technical
> conferences or meetings as directed by the DOE Project Officer.

**2. [DOE's Responsibilities]{.underline}**

> DOE shall monitor the Recipient's progress in performing the project
> and shall have a substantial role in project decision making. DOE
> shall provide specific, targeted and timely technical direction for
> the project activities to efficiently accomplish the overall program
> objective.
>
> The DOE Project Officer (same as Contracting Officer's Representative)
> has the authority to review, in a timely manner, technical reports,
> plans and other technical information the Recipient is required to
> submit to DOE for review and comment. The DOE Project Officer shall
> have the authority to issue written technical advice that suggests
> redirecting the project work if the plans do not adequately address
> critical programmatic issues (e.g., by changing the emphasis among
> different tasks), or pursuing specific lines of inquiry likely to
> assist in accomplishing the Statement of Project Objectives. The DOE
> Project Officer shall conduct annual project review meetings to ensure
> adequate progress and that the work accomplishes the program and
> project objectives. The DOE Project Officer shall promote and
> facilitate technology transfer activities, including disseminating
> program results through presentations and publications. The DOE
> Project Officer is not authorized to issue, and the Recipient is not
> required to follow, any technical advice that constitutes work which
> is not within the scope of the Statement of Project Objectives; which
> in any manner causes an increase or decrease in the total estimated
> cost or in the time required for performance of the project; which has
> the effect of changing any of the terms or conditions of the
> Cooperative Agreement; or which interferes with the Recipient's right
> to perform the project in accordance with the terms and conditions of
> the Cooperative Agreement.
>
> The Government has the right to inspect and evaluate the work
> performed or being performed under the Cooperative Agreement, and the
> premises where the work is being performed, at all reasonable times
> and in a manner that will not unduly delay the work. If the Government
> performs inspection or evaluation on the premises of the Recipient or
> a subcontractor, the Recipient shall furnish and shall require
> subcontractors to furnish all reasonable facilities and assistance for
> the safe and convenient performance of these duties.
>
> **3. [No Government Obligation to Third Parties]{.underline}**
>
> In connection with the performance of the project, the Government
> shall have no obligation or responsibility to any contractor,
> subcontractor or other person who is not a party to the Cooperative
> Agreement. The foregoing limitation shall apply notwithstanding the
> Contracting Officer\'s prior approval of or consent to any contract
> awarded by the Recipient. The Recipient shall be responsible, without
> recourse to DOE, except for amounts DOE is otherwise obligated to pay
> pursuant to the provisions of this Cooperative Agreement for the
> resolution and satisfaction of all contract administration issues and
> contract disputes arising out of contracts awarded by the Recipient
> for acquisitions related to the Project.

**D. REPORTING**

> The Reporting Requirements for this program are identified on the
> Federal Assistance Reporting Checklist attached to the award
> agreement. See Attachment A to this Funding Opportunity Announcement
> for the proposed Checklist for this program. In addition to the
> standard reports identified in the aforementioned Federal Assistance
> Reporting Checklist, the following reports will be incorporated into
> the resultant award.

1.  **[Project Status:]{.underline}** This status provides an informal
    concise narrative describing the current status of the effort and
    allows the Recipient to communicate developments, achievements,
    changes and problems. The status is submitted directly to the DOE
    COR via e-mail on a quarterly basis during the life of the project.

> **2.** **[Fact Sheets:]{.underline}** The fact sheet is a short
> document used to communicate project
>
> information, status, accomplishments and issues to DOE management.
> Fact sheets shall be updated semiannually with special-case updates as
> requested by the COR. Fact sheets should use 1" margins (top, bottom,
> left and right), 12 point Times New Roman font and not exceed two
> pages when printed on standard letter-size paper.
>
> **3. [Quarterly Milestones:]{.underline}** At the beginning of the
> project, the Recipient is to submit to
>
> the COR two critical path milestones (typically one sentence each) for
> each fiscal
>
> quarter for the first year of the project. One critical path milestone
> will be selected for
>
> each quarter and used as a project progress metric.
>
> A. Approximately 6 weeks prior to the end of each quarter, an e‑mail
> request will be
>
> sent to the Recipient that requests assessment on the progress made
> towards
>
> achievement of the quarterly milestone. If delays are anticipated,
> then a written
>
> explanation will be required. This explanation will need to discuss
> the cause for
>
> delay, the impact on the overall project schedule, and what corrective
> actions can
>
> be taken to get back on schedule.
>
> B. At the end of each quarter, an e‑mail will be sent to the Recipient
> requesting the
>
> status/outcome of the milestone. Replies will be required by the 5th
> business day
>
> of the month. If the milestone has not yet been achieved, then a
> written
>
> explanation will be required. This explanation will need to discuss
> the cause for
>
> delay, the impact on the overall project schedule, and what corrective
> actions can
>
> be taken to get back on schedule. DOE may require monthly status
> reports on
>
> delayed milestone(s) until it has been completed and the project has
> been brought
>
> back on schedule.
>
> **4. [System Analysis Reports:]{.underline}** Concurrent with the
> end-of-phase testing, the Recipient is to
>
> submit a detailed system analysis report. The systems analysis must
> clearly detail and justify the calculated overall integrated system
> efficiency for both the baseline (\>100 MWe) system and the proposed
> Phase III proof-of-concept system. An independent audit of this report
> will be required. Three auditing firms that routinely perform
> technical analysis work of the type described here shall be identified
> and presented to the DOE for approval of one of the firms to perform
> the auditing function. The cost of the independent audit shall be
> included in the scope of work for this project. See the Minimum
> Requirements (Attachment B of this Funding Opportunity Announcement).
>
> **5. [Factory Cost Reports:]{.underline}** Concurrent with
> end-of-phase testing, the Recipient is to submit
>
> a detailed Factory Cost Report documenting system cost estimates for
> both the baseline (\>100 MWe) system and the Phase III
> proof-of-concept system. The cost estimate shall establish a Factory
> Cost. The cost estimate shall be of sufficient detail that a 25%
> confidence interval could be assigned. The cost estimate must justify
> the assumed annual production of fuel cell subsystems per year that
> support the cost goals of each phase. An independent audit of the
> Factory Cost Report submitted in Phase II will be required. Three
> auditing firms that routinely perform cost estimate work of the type
> detailed here shall be identified and presented to the DOE for
> approval of one of the firms to perform the auditing function. The
> cost of the independent audit shall be included in the scope of work
> for this project. See the Minimum Requirements (Attachment B of this
> Funding Opportunity Announcement).

**PART VII - AGENCY CONTACTS** []{#__RefHeading___Toc89853029 .anchor}

**A. CONTACTS (NOV 2004)** []{#__RefHeading___Toc89853030 .anchor}

> Questions regarding the Funding Opportunity Announcement should be
> directed to Mary S. Price by telephone at (412) 386-6179 or via E-mail
> at: <mprice@netl.doe.gov>.
>
> Questions regarding how to submit an application through IIPS can be
> e-mailed to the IIPS HELP Desk at <helpdesk@pr.doe.gov> or by calling
> 1 (800) 683-0751.

**B. ELECTRONIC QUESTIONS (NOV 2004)** []{#__RefHeading___Toc89853031
.anchor}

> Questions regarding the content of the Announcement should be
> submitted through the "Submit Question" feature of the DOE Industry
> Interactive Procurement System (IIPS) at
> [http://e-center.doe.gov](http://e-center.doe.gov/). Locate the
> Announcement on IIPS and then click on the "Submit Question" button.
> Enter required information. You will receive an electronic
> notification that your question has been answered. DOE will try to
> respond to a question within 3 days, unless a similar question and
> answer have already been posted on the website.
>
> Responses to questions may be viewed through the "View Questions"
> feature, button. If no questions have been answered, a statement to
> that effect will appear. You should periodically check "View
> Questions" for new questions and answers.
>
> Questions regarding how to submit questions or view responses can be
> e-mailed to the IIPS HELP Desk at helpdesk@pr.doe.gov or by calling 1
> (800) 683-0751.

**PART VIII - OTHER INFORMATION** []{#__RefHeading___Toc89853032
.anchor}

**A. MODIFICATIONS (NOV 2004)** []{#__RefHeading___Toc89853033 .anchor}

> Notices of any modifications to this Announcement will be posted on
> the DOE Industry Interactive Procurement System (IIPS). You can
> receive an email when a modification or an Announcement message is
> posted by joining the mailing list for this Announcement through the
> link in IIPS.

**B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE (NOV 2004)**
[]{#__RefHeading___Toc89853034 .anchor}

> DOE reserves the right, without qualification, to reject any or all
> applications received in response to this Announcement and to select
> any application, in whole or in part, as a basis for negotiation
> and/or award.

**C. COMMITMENT OF PUBLIC FUNDS (NOV 2004)**
[]{#__RefHeading___Toc89853035 .anchor}

> The Contracting Officer is the only individual who can make awards or
> commit the Government to the expenditure of public funds. A commitment
> by other than the Contracting Officer, either explicit or implied, is
> invalid.

**D. EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL (NOV 2004)**
[]{#__RefHeading___Toc89853036 .anchor}

> In conducting the merit review evaluation, the Government may seek the
> advice of qualified non‑Federal personnel as reviewers. The Government
> may also use non-Federal personnel to conduct routine,
> nondiscretionary administrative activities. The Applicant, by
> submitting its application, consents to the use of non-Federal
> reviewers/administrators. Non-Federal reviewers must sign conflict of
> interest and non-disclosure agreements prior to reviewing an
> application. Non-Federal personnel conducting administrative
> activities must sign a non-disclosure agreement.

**E. INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM (NOV 2004)**

[]{#__RefHeading___Toc89853037 .anchor}

> [Patent Rights]{.underline}. The government will have certain
> statutory rights in an invention that is conceived or first actually
> reduced to practice under a DOE award. 42 U.S.C. 5908 provides that
> title to such inventions vests in the United States, except where 35
> U.S.C. 202 provides otherwise for nonprofit organizations or small
> business firms. However, the Secretary of Energy may waive all or any
> part of the rights of the United States subject to certain conditions.
> (See "Notice of Right to Request Patent Waiver" in paragraph F below.)
>
> [Rights in Technical Data]{.underline}. Normally, the government has
> unlimited rights in technical data created under a DOE agreement.
> Delivery or third party licensing of proprietary software or data
> developed solely at private expense will not normally be required
> except as specifically negotiated in a particular agreement to satisfy
> DOE's own needs or to insure the commercialization of technology
> developed under a DOE agreement.
>
> [Special Protected Data Statutes]{.underline}. This program is covered
> by a special protected data statute. The provisions of the statute
> provide for the protection from public disclosure, for a period of up
> to 5 years from the development of the information, of data that would
> be trade secret, or commercial or financial information that is
> privileged or confidential, if the information had been obtained from
> a non-Federal party. Generally, the provision entitled, Rights in Data
> Programs Covered Under Special Protected Data Statutes, (10 CFR 600
> Appendix A to Subpart D), would apply to an award made under this
> Announcement. This provision will identify data or categories of data
> first produced in the performance of the award that will be made
> available to the public, notwithstanding the statutory authority to
> withhold data from public dissemination, and will also identify data
> that will be recognized by the parties as protected data.
>
> [Intellectual Property Provisions]{.underline} The standard DOE
> financial assistance intellectual property provisions applicable to
> the various types of Recipients are located at
> http://www.gc.doe.gov/gcmain.html.

**F. NOTICE OF RIGHT TO REQUEST PATENT WAIVER (NOV 2004)**
[]{#__RefHeading___Toc89853038 .anchor}

> Applicants may request a waiver of all or any part of the rights of
> the United States in inventions conceived or first actually reduced to
> practice in performance of an agreement as a result of this
> Announcement, in advance of or within 30 days after the effective date
> of the award. Even if such advance waiver is not requested or the
> request is denied, the recipient will have a continuing right under
> the award to request a waiver of the rights of the United States in
> identified inventions, i.e., individual inventions conceived or first
> actually reduced to practice in performance of the award. Any patent
> waiver that may be granted is subject to certain terms and conditions
> in 10 CFR 784.
>
> Domestic small businesses and domestic nonprofit organizations will
> receive the patent rights clause at 37 CFR 401.14, i.e., the
> implementation of the Bayh-Dole Act. This clause permits domestic
> small business and domestic nonprofit organizations to retain title to
> subject inventions. Therefore, small businesses and nonprofit
> organizations do not need to request a waiver

**G. NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES (NOV 2004)**
[]{#__RefHeading___Toc89853039 .anchor}

> Eligible activities under this program include those which describe
> and promote the understanding of scientific and technical aspects of
> specific energy technologies, but not those which encourage or support
> political activities such as the collection and dissemination of
> information related to potential, planned or pending legislation.

**H.** **PARTICIPATION BY FEDERALLY FUNDED RESEARCH AND DEVELOPMENT**

> **CENTER (FFRDC) CONTRACTORS (NOV 2004)**
> []{#__RefHeading___Toc89853040 .anchor}
>
> Federally Funded Research and Development Center (FFRDC) contractors
> are not eligible for an award under this Announcement, but they may be
> proposed as a team member subject to the following guidelines:
>
> [Authorization for non-DOE/NNSA FFRDCs.]{.underline} The Federal
> agency sponsoring the FFRDC contractor must authorize in writing the
> use of the FFRDC contractor on the proposed project and this
> authorization must be submitted with the application. The use of a
> FFRDC contractor must be consistent with the contractor's authority
> under its award and must not place the FFRDC contractor in direct
> competition with the private sector.
>
> [Authorization for DOE/NNSA FFRDCs]{.underline}. The cognizant
> Contracting Officer must authorize, in writing, the use of a DOE/NNSA
> FFRDC contractor on the proposed project and this authorization must
> be submitted with the application. The following wording is acceptable
> for this authorization.
>
> "Authorization is granted for the \_\_\_\_\_\_\_\_\_\_\_\_\_
> Laboratory to participate in the proposed project. The work proposed
> for the laboratory is consistent with or complimentary to the missions
> of the laboratory, will not adversely impact execution of the DOE/NNSA
> assigned programs at the laboratory, and will not place the laboratory
> in direct competition with the domestic private sector."
>
> [Value/Funding.]{.underline} The value of, and funding for, the FFRDC
> contractor portion of the work will not normally be included in the
> award to a successful Applicant. Usually, DOE/NNSA will fund a
> DOE/NNSA FFRDC contractor through the DOE field work proposal system
> and other FFRDC contractors through an interagency agreement with the
> sponsoring agency.
>
> [Cost Share.]{.underline} The Applicant's cost share requirement will
> be based on the total cost of the project, including the Applicant's
> and the FFRDC contractor's portions of the effort.
>
> **[FFRDC Contractor Effort]{.underline}**:
>
> The FFRDC contractor effort, in aggregate, shall not exceed 25% of the
> total estimated cost of the project, including the Applicant's and the
> FFRDC contractor's portions of the effort.
>
> [Responsibility]{.underline}. The Applicant, if successful, will be
> the responsible authority regarding the settlement and satisfaction of
> all contractual and administrative issues, including but not limited
> to, disputes and claims arising out of any agreement between the
> Applicant and the FFRDC contractor.

**I. PROPRIETARY APPLICATION INFORMATION (NOV 2004)**
[]{#__RefHeading___Toc89853041 .anchor}

> An application may include data, including trade secrets and/or
> privileged or confidential commercial or financial information which
> the Applicant does not want disclosed to the public or used for any
> purpose other than evaluation of the application (See 10 CFR 600.15).
> The use and disclosure of such data may be restricted, provided the
> Applicant marks the cover sheet of the application with the following
> legend and specifies the pages of the application which are to be
> restricted:
>
> "The data contained in pages \[ \] of this application have been
> submitted in confidence and contain trade secrets or proprietary
> information, and such data shall be used or disclosed only for
> evaluation purposes, provided that if this applicant receives an award
> as a result of or in connection with the submission of this
> application, DOE shall have the right to use or disclose the data
> herein to the extent provided in the award. This restriction does not
> limit the government\'s right to use or disclose data obtained without
> restriction from any source, including the Applicant."
>
> To protect such data, each line or paragraph on the pages containing
> such data must be specifically identified and marked with a legend
> similar to the following:
>
> "Use or disclosure of the data set forth above is subject to the
> restriction on the cover page of this application."

**J. GOVERNMENT FURNISHED PROPERTY (NOV 2004)**
[]{#__RefHeading___Toc89853043 .anchor}

> The Government anticipates providing the following Government
> Furnished Property -

None.

DOE F 4600.2 **[ATTACHMENT A]{.underline}**

(12/2004)

(All Other Editions are Obsolete) []{#__RefHeading___Toc89853044
.anchor} **U.S. Department of Energy**

**FEDERAL ASSISTANCE REPORTING CHECKLIST**

+--------------------------------+-----+------+-----------------------+
| 1\. Identification Number:     | 2\. |      |                       |
|                                | Pro |      |                       |
| **     **                      | gra |      |                       |
|                                | m/P |      |                       |
|                                | roj |      |                       |
|                                | ect |      |                       |
|                                | Tit |      |                       |
|                                | le: |      |                       |
|                                |     |      |                       |
|                                | **  |      |                       |
|                                |     |      |                       |
|                                |  ** |      |                       |
+--------------------------------+-----+------+-----------------------+
| 3\. Recipient:                 |     |      |                       |
|                                |     |      |                       |
|                                |     |      |                       |
+--------------------------------+-----+------+-----------------------+
| 4\. Reporting Requirements:    | Fre | No.  | Addresses             |
|                                | que | of   |                       |
|                                | ncy | Co   |                       |
|                                |     | pies |                       |
+--------------------------------+-----+------+-----------------------+
| **A. MANAGEMENT REPORTING**    | A   | El   | <FITS@NETL.DOE.GOV>   |
|                                |     | ectr |                       |
| Progress Report                | FG  | onic | <http://www           |
|                                |     |      | .osti.gov/elink-2413> |
| Special Status Report          | A   | Ver  |                       |
|                                |     | sion | (Note-software/manual |
| **B. SCIENTIFIC/TECHNICAL      | A   | to   | must be sent to award |
| REPORTING**                    |     |      | administrator- see    |
|                                | Q,  | NE   | instructions under    |
| (Reports/Products must be      | FG  | TL\> | Section B- Software)  |
| submitted with appropriate DOE |     |      |                       |
| F 241. The 241 forms are       | Q,  | El   | <FITS@NETL.DOE.GOV>   |
| available at                   | FG  | ectr |                       |
| [www.osti.gov/elink            |     | onic | <FITS@NETL.DOE.GOV>   |
| ](http://www.osti.gov/elink).) | FC  |      |                       |
|                                |     | Ver  |                       |
| [Report/Product]{.underline}   | FC  | sion |                       |
| [Form]{.underline}             |     | to   |                       |
|                                |     |      |                       |
| Final Scientific/Technical     |     | NE   |                       |
| Report DOE F 241.3             |     | TL\> |                       |
|                                |     |      |                       |
| Conference                     |     | El   |                       |
| papers/proceedings/etc.\* DOE  |     | ectr |                       |
| F 241.3                        |     | onic |                       |
|                                |     |      |                       |
| Software/Manual DOE F 241.4    |     | Ver  |                       |
|                                |     | sion |                       |
| Other                          |     | to   |                       |
|                                |     |      |                       |
| Topical DOE F 241.3            |     | NE   |                       |
|                                |     | TL\> |                       |
| \* Scientific/technical        |     |      |                       |
| conferences only               |     | El   |                       |
|                                |     | ectr |                       |
| **C. FINANCIAL REPORTING**     |     | onic |                       |
|                                |     |      |                       |
| SF-269 Financial Status Report |     | Ver  |                       |
|                                |     | sion |                       |
| SF-229A, Financial Status      |     | to   |                       |
| Report (Short Form)            |     |      |                       |
|                                |     | NE   |                       |
| SF-272, Federal Cash           |     | TL\> |                       |
| Transactions Report            |     |      |                       |
|                                |     |      |                       |
| **D. CLOSEOUT REPORTING**      |     |      |                       |
|                                |     |      |                       |
| Patent Certification           |     |      |                       |
|                                |     |      |                       |
| Property Certificate           |     |      |                       |
|                                |     |      |                       |
| Other                          |     |      |                       |
|                                |     |      |                       |
| **E. OTHER REPORTING**         |     |      |                       |
|                                |     |      |                       |
| Other                          |     |      |                       |
+--------------------------------+-----+------+-----------------------+
| **FREQUENCY CODES AND DUE      |     |      |                       |
| DATES:**                       |     |      |                       |
|                                |     |      |                       |
| > A - As required; see         |     |      |                       |
| > attached text for            |     |      |                       |
| > applicability.               |     |      |                       |
| >                              |     |      |                       |
| > FG - Final; within ninety    |     |      |                       |
| > (90) calendar days after the |     |      |                       |
| > project period ends.         |     |      |                       |
| >                              |     |      |                       |
| > FC - Final - End of Effort.  |     |      |                       |
| >                              |     |      |                       |
| > Q - Quarterly; within thirty |     |      |                       |
| > (30) calendar days after end |     |      |                       |
| > of the calendar quarter or   |     |      |                       |
| > portion thereof.             |     |      |                       |
| >                              |     |      |                       |
| > S - Semiannually; within     |     |      |                       |
| > thirty (30) calendar days    |     |      |                       |
| > after end of project year    |     |      |                       |
| > and project half-year.       |     |      |                       |
| >                              |     |      |                       |
| > YF - Yearly; 90 calendar     |     |      |                       |
| > days after the end of        |     |      |                       |
| > project year.                |     |      |                       |
|                                |     |      |                       |
| YP - Yearly Property - due 15  |     |      |                       |
| days after period ending 9/30. |     |      |                       |
+--------------------------------+-----+------+-----------------------+
| **5. SPECIAL INSTRUCTIONS:**   |     |      |                       |
|                                |     |      |                       |
| > • The forms identified in    |     |      |                       |
| > the checklist are available  |     |      |                       |
| > at                           |     |      |                       |
| > [http://grants.pr.doe.g      |     |      |                       |
| ov](http://grants.pr.doe.gov/) |     |      |                       |
| > .                            |     |      |                       |
| >                              |     |      |                       |
| > Alternate formats are        |     |      |                       |
| > acceptable provided the      |     |      |                       |
| > contents remain consistent   |     |      |                       |
| > with the form.               |     |      |                       |
| >                              |     |      |                       |
| > • See General Instructions   |     |      |                       |
| > for the Preparation and      |     |      |                       |
| > Submission of Reports (Jan   |     |      |                       |
| > 2005) on the following page. |     |      |                       |
+--------------------------------+-----+------+-----------------------+

**ATTACHMENT B**

+-------------------+----------------+----------------+----------------+
| **MINIMUM         |                |                |                |
| REQUIREMENTS**    |                |                |                |
|                   |                |                |                |
| **Fuel Cell       |                |                |                |
| Coal-Based        |                |                |                |
| Systems**         |                |                |                |
+-------------------+----------------+----------------+----------------+
|                   | **PHASE I**    | **PHASE II**   | **PHASE III**  |
+-------------------+----------------+----------------+----------------+
| **COST**          | **\$600/kW**   | **\$400/kW**   | **\$400/kW**   |
+-------------------+----------------+----------------+----------------+
| **EFFICIENCY**    | **N/A**        | **N/A**        | **50% HHV**    |
+-------------------+----------------+----------------+----------------+
| **STACK           | **TBD -        | **TBD -        | **TBD -        |
| PERFORMANCE**     | \*\*\***       | \*\*\***       | \*\*\***       |
+-------------------+----------------+----------------+----------------+
| **FUEL CELL       | **TBD -        | **TBD -        | **TBD -        |
| MODULE            | \*\*\***       | \*\*\***       | \*\*\***       |
| PERFORMANCE**     |                |                |                |
+-------------------+----------------+----------------+----------------+
| *                 | **TBD -        | **TBD -        | **TBD -        |
| *POWER-GENERATING | \*\*\***       | \*\*\***       | \*\*\***       |
| SUBSYSTEM         |                |                |                |
| PERFORMANCE**     |                |                |                |
+-------------------+----------------+----------------+----------------+
| **STEADY STATE    | **1500 hours** | **3000 hours** | **\>25,000     |
| TEST @ NORMAL     |                |                | hours**        |
| OPERATING         |                |                |                |
| CONDITIONS**      |                |                |                |
+-------------------+----------------+----------------+----------------+
|                   | Δ **Power 4.0% | Δ **Power 2.0% | Δ **Power 0.2% |
|                   | degradation/   | degradation/   | degradation/   |
|                   | 1000 hours**   | 1000 hours**   | 1000 hours**   |
+-------------------+----------------+----------------+----------------+
| **TRANSIENT       | **10 cycles**  | **10 cycles**  | **2 thermal    |
| TEST**            |                |                | cycles**       |
+-------------------+----------------+----------------+----------------+
|                   | Δ **Power 1.0% | Δ **Power 0.1% | Δ **Power 0.1% |
|                   | degradation    | degradation    | degradation    |
|                   | after 10       | after 10       | after 2 full   |
|                   | cycles.**      | cycles.**      | thermal        |
|                   |                |                | cycles.**      |
+-------------------+----------------+----------------+----------------+
| **TEST SEQUENCE** | **1) Steady    | **1) Steady    | **1) Steady    |
|                   | State Test     | State Test     | State Test     |
|                   | -1000 hours**  | -2000 hours**  | -25,000        |
|                   |                |                | hours**        |
|                   | **2) Transient | **2) Transient |                |
|                   | Test**         | Test**         | **2) Transient |
|                   |                |                | Test TBD**     |
|                   | **3) Steady    | **3) Steady    |                |
|                   | State Test -   | State Test -   |                |
|                   | 500 hours**    | 1000 hours**   |                |
+-------------------+----------------+----------------+----------------+
| **FUEL TYPE**     | **Gas          |                | **Coal-derived |
|                   | composition    |                | syngas**       |
|                   | identical to   |                |                |
|                   | or simulating  |                |                |
|                   | that proposed  |                |                |
|                   | for the Phase  |                |                |
|                   | III            |                |                |
|                   | pr             |                |                |
|                   | oof-of-concept |                |                |
|                   | system.**      |                |                |
+-------------------+----------------+----------------+----------------+
| **MAINTENANCE     | **Design       |                |                |
| INTERVALS**       | aspects should |                |                |
|                   | not require    |                |                |
|                   | maintenance at |                |                |
|                   | intervals more |                |                |
|                   | frequent than  |                |                |
|                   | annually.**    |                |                |
+-------------------+----------------+----------------+----------------+
| **DESIGN          | **\> 40,000    |                |                |
| LIFETIME**        | operating      |                |                |
|                   | hours.**       |                |                |
+-------------------+----------------+----------------+----------------+

\*\*\* Fuel Cell Stack, Fuel Cell Module and Power-Generating Subsystem
Performance Targets to be proposed by the Applicant, consistent with
their required performance in the \>50% HHV integrated system. Targets
incorporated in the Award will be negotiated with DOE.

MINIMUM REQUIREMENTS (Supplement)

1\. [POWER RATING]{.underline}

For Phase I, the power rating of the scaled-up of fuel cell stacks
should be sufficient to be technically and economically viable for
aggregation into a Phase II fuel cell module. The Phase II fuel cell
module must be technically and economically amenable for use as a
building block for multi-MW class fuel cell-based central power systems.
The Phase III proof-of-concept system power rating requirement is
defined as the smallest system that will adequately test all of the
individual components and subsystems in a fully operating system -- it
must be of such capacity as to be indicative of the ability to
"scale-up" the components and subsystems for use in multi-MW central
power systems. If a turbine is incorporated into the system design, it
must be at least 1 MW in capacity.

Peak power should be measured once at the beginning of the test sequence
and once at the end. This peak power must be demonstrated for at least
one hour of steady-state operation. The peak power will determine the
baseline for the \$/kW system factory cost.

"Normal Operating Condition" is defined as the operating point
corresponding to the expected typical operating conditions expected for
the proposed application.

2\. [COST]{.underline}

The cost targets identified in the table shall be met at the end of each
Phase, and are applicable to both the baseline (\>100MWe) system and the
proposed Phase III proof-of-concept system. System cost estimates shall
be documented in a cost report submitted concurrently with end-of-phase
testing. The cost estimate shall establish a Factory Cost. The cost
estimate shall be of sufficient detail that a 25% confidence interval
could be assigned. The cost estimate must establish and fully justify a
reasonable estimate of the number of systems and their respective size
that must be manufactured per year to support the DOE cost goals for
both the baseline (\>100 MWe) system and the proposed Phase III
proof-of-concept system. An independent audit of the Factory Cost Report
submitted in Phase II will be required. Three auditing firms that
routinely perform cost estimate work of the type detailed here shall be
identified and presented to the DOE for approval of one of the firms to
perform the auditing function. The cost of the independent audit shall
be included in the scope of work for this project. Cost targets apply to
the following specified components of the fixed and variable cost of the
integrated system only, exclusive of the coal gasification and CO~2~
separation subsystems. Items to include are:

Equipment and Plant Depreciation

Tooling Amortization

Equipment Maintenance

Utilities

Indirect Labor

Cost of Capital

Manufactured Materials

Purchased Materials

Fabrication Labor

Assembly Labor

Indirect Materials

The following costs shall [not]{.underline} be included in the cost
estimate:

Coal Gasifier

CO~2~ Separation Subsystems

Research and Development

Sales and Marketing

General and Administration

Warranty

Taxes

3\. [EFFICIENCY]{.underline}

The system efficiency must include the coal gasification process and 90%
CO~2~ separation (integrated system). This efficiency must be
demonstrated by the Phase III proof-of-concept system.

The efficiency values indicated in the Minimum Requirements table may be
based on both documented calculations and measurements. Awardees should
assume that a bituminous coal having 10% moisture is being used. Systems
analysis reports will be submitted concurrently with the end-of-phase
testing. Analysis of both the baseline (\>100 MWe) system and the
proposed Phase III proof-of-concept system is required. The systems
analysis must clearly detail and justify the calculated overall
integrated system efficiency, and should specifically detail and justify
performance deltas between the baseline and proof-of-concept systems. An
independent audit of these systems analysis reports will be required.
Three auditing firms that routinely perform technical analysis work of
the type detailed here shall be identified and presented to the DOE for
approval of one of the firms to perform the auditing function. The cost
of the independent audit shall be included in the scope of work for this
project. For Phase III proof-of-concept system testing, the efficiency
must be achieved or exceeded at the beginning and end of the test
sequence. The efficiency is defined as AC power output of the system
divided by the higher heating value (HHV) of the input fuel source of
the system (coal) at the steady state normal operating condition (NOC)
over a period of at least one hour.

4\. [STEADY STATE TEST AT NORMAL OPERATING CONDITIONS]{.underline}

For all Phases, the test must be conducted in a fully independent and
self-sustaining manner.

The test sequence shall begin after attaining stable performance based
on the judgment of the test performer. Under no circumstances should the
test start when the system performance is increasing in time at constant
fuel flow rate and utilization. Test time will be counted beginning with
the aforementioned attainment of stable performance, and include periods
of operational heat-up and cool-down and during the Awardee-defined
Normal Operating Conditions (NOC) corresponding to the proposed
application. DOE approval of the test plan and operating points
required. A remote link shall be established with the NETL site so that
test performance can be monitored on a continuous basis. All test data
shall be electronically recorded and stored in a retrievable manner.
Data should be recorded at a frequency sufficient to resolve significant
transient phenomena for NETL review for at least one year after
completion of the test.

For Phase III, steady-state operation for 25,000 hours is required, with
the first 8,000 hours of operation utilizing appropriate load banks to
dissipate the energy produced. The system will be connected to the grid
for the remaining 17,000 hours.

5\. [TRANSIENT TEST]{.underline}

For Phases I and II, one complete thermal cycle from the normal
operating point to ambient conditions and restart is required. Remaining
transient cycles may be power cycles from normal operating point to zero
net power condition.

For all Phases, the test must be conducted in a fully independent and
self-sustaining manner. The Applicant will identify realistic transients
corresponding to the proposed application with Government approval of
the test plan and transients required. All test data shall be
electronically recorded and stored in a retrievable manner. Data shall
be recorded at a frequency sufficient to resolve significant transient
phenomena for NETL review for at least one year. In the event that a
modification or repair is required, the entire minimum number of cycles
for the phase will be repeated.

6\. [Degradation]{.underline}

Degradation points shall be measured at the fuel flow rate and fuel
utilization corresponding to NOC determined at the beginning of the
first steady-state sequence following system conditioning. This
measurement shall be made by measuring the power at the assigned
conditions. The measurement shall be made at least four times; the
beginning and the end of the first steady state sequence and the
beginning and end of the second steady state sequence. The degradation
shall be determined by fitting a line to the four points.

7\. [TEST SEQUENCE]{.underline}

See table above. The test sequence shall begin after attaining stable
performance based on the judgment of the test performer. Under no
circumstances should the test start when the system performance is
increasing in time at constant fuel flow rate and utilization.

8\. [FUEL TYPE]{.underline}

Phase I and Phase I end-of-phase validation tests must use a fuel gas
composition identical to or simulating the synthesis gas composition
proposed for the Phase III proof-of-concept system. In Phase III,
coal-derived synthesis gas will be used.

9\. [MAINTENANCE INTERVALS]{.underline}

The fuel cell system shall not have any design aspect that would require
regularly scheduled maintenance at intervals more frequent than
annually.

10\. [DESIGN LIFETIME]{.underline}

The design lifetime of the fuel cell-based system should not be less
than 40,000 operating hours.

11\. [SYSTEM REPAIR]{.underline}

All components of the system may be replaced if necessary with the
exception of fuel cell stacks. Time not operating will be tracked for
use in calculating system availability. In the event a fuel cell stack
fails, i.e., cannot maintain NOC power level or exceeds acceptable
degradation rates, the stack may be replaced and the full test sequence
repeated.

**[ATTACHMENT C]{.underline}**

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