**FINANCIAL ASSISTANCE**

**ANNOUNCEMENT OF**

**FUNDING OPPORTUNITY**

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

**Research to Develop Chemical Building Blocks from Biomass Derived
Sugars, Syngas, or Oils**

**DE-PS36-04GO94026**

**CONTACT: Pat Liles**

**FAX NO.: (303)-275-4788**

**E-MAIL: gobioproducts@do.doe.gov**

**ISSUING OFFICE:**

**Office of Biomass Programs**

**Golden Field Office**

> **ISSUE DATE: September 13, 2004**
>
> **DUE DATE: October 18 , 2004**

Information regarding this FOA 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**

[I. Funding Opportunity Description.
4](#funding-opportunity-description.)

[II. Award Information 5](#award-information)

[1. Type of Award Instrument. 5](#type-of-award-instrument.)

[2. Estimated Funding. 5](#__RefHeading___Toc61774144)

[3. Maximum and Minimum Award Size. 5](#maximum-and-minimum-award-size.)

[4. Expected Number of Awards. 5](#expected-number-of-awards.)

[5. Anticipated Award Size. 5](#anticipated-award-size.)

[6. Period of Performance. 5](#period-of-performance.)

[7. Reserved. 5](#reserved.)

[III. Eligibility Information 5](#eligibility-information)

[1. Eligible Applicants. 5](#eligible-applicants.)

[2. Cost Sharing or Matching. 5](#__RefHeading___Toc61774152)

[3. Other. 6](#other.)

[ Energy Policy Act Eligibility Requirements.
6](#x-energy-policy-act-eligibility-requirements.)

[IV. Application and Submission Information.
6](#application-and-submission-information.)

[1. Address to Request Application Package.
6](#address-to-request-application-package.)

[2. Content and Form of Application Submission.
6](#content-and-form-of-application-submission.)

[3. Submission Dates and Times. 12](#submission-dates-and-times)

[4. Intergovernmental Review. 13](#intergovernmental-review.)

[5. Funding Restrictions. 13](#__RefHeading___Toc61774160)

[6. Other Submission Requirements. 13](#other-submission-requirements.)

[V. Application Review Information.
14](#application-review-information.)

[1. Criteria 14](#criteria)

[2. Review and Selection Process. 16](#review-and-selection-process.)

[3. Anticipated Announcement and Award Dates.
17](#anticipated-announcement-and-award-dates.)

[VI. Award Administration Information.
17](#award-administration-information.)

[1. Award Notices. 17](#award-notices.)

[2. Administrative and National Policy Requirements.
17](#administrative-and-national-policy-requirements.)

[3. Reporting. 19](#reporting.)

[VII. Agency Contact(s). 20](#__RefHeading___Toc61774170)

[VIII. Other Information. 20](#other-information.)

[ 1. Amendments. 20](#amendments.)

[ 2. Government Right to Reject or Negotiate.
20](#government-right-to-reject-or-negotiate.)

[ 3. Commitment of Public Funds. 20](#commitment-of-public-funds.)

[ 4. Proprietary Application Information.
20](#proprietary-application-information.)

[ 5. Notice Regarding Eligibility of Organizations Described in Section
501(c)(4) of the Internal Revenue Code.
21](#notice-regarding-eligibility-of-organizations-described-in-section-501c4-of-the-internal-revenue-code.)

[ 6. Evaluation by Non-Federal Reviewers
21](#__RefHeading___Toc61774177)

[ 7. Intellectual Property Developed under this Program.
21](#__RefHeading___Toc61774178)

[ 8. Notice Of Right To Request Patent Waiver.
22](#__RefHeading___Toc61774179)

[ 9. Notice Regarding Eligible/Ineligible Activities.
22](#__RefHeading___Toc61774180)

[ 10. Participation by Federally Funded Research and Development Center
Contractors*.* 22](#__RefHeading___Toc61774181)

[APPENDIX A - DEFINITIONS 1](#appendix-a---definitions)

[APPENDIX B -- INDUSTRY INTERACTIVE PROCUREMENT SYSTEM (IIPS) 3.2
3](#appendix-b-industry-interactive-procurement-system-iips-3.2)

# 

# 

# 

# 

# 

Throughout this document, check boxes are used to indicate whether an
item is applicable to this announcement. Applicable items are those in
which the check box contains an "X".

# Funding Opportunity Description.

This funding opportunity announcement (FOA) targets applied and
pre-competitive research that addresses the technology barriers
identified in appendix D and those technology areas suggested by
industry to be the highest priority. The applicants will be required to
show a direct correlation to barriers addressed in appendix D. This FOA
will evaluate the technical merit of the research as well as the ability
of the proposed team to complete the identified research and, if
successful, move the process(es) into commercialization. The lead
organization will need to have the means to implement the proposed
technology commercially. The lead organization may employ the
capabilities, skills and technologies available from Universities,
National Laboratories, and industrial partners. The National
Laboratories are encouraged to partner with industry in this FOA in the
fundamentals areas but cannot be the lead and therefore must receive
less than 50 percent of the funding. Multiple lab partnerships with an
industrial partner(s) are acceptable but the 50% limit still holds for
the combination of all labs. Proposals involving more than one
participant will require that one participant have overall
responsibility for the conduct of the award.

This FOA provides continued focus in areas identified in the Biomass
MutliYear Technical Plan (MYTP) and is supportive in meeting program
goals. This solicitation leverages the "Top 10 Value Added Chemicals
from Biomass\" study developed by the Office of the Biomass Program in
FY2003-4. It targets applied and pre-competitive research identified by
industry as their highest priority as well as being aligned with the
role of federal investments. Expected outcomes include developing
technology and tools that have broad applicability for multiple
chemicals and materials, and technology that leads to implementation or
use in larger, biorefinery development efforts that the Office of the
Biomass Program is planning to pursue in FY08 via new FOAs. Hence,
applicants should anticipate the opportunity to propose new work in a
biorefinery context that employs the findings and results from this FOA
in FY 2008. Multiple industrial teams are acceptable.

Proposals which include research into separation of products from a
mixed stream of sugars or the use of C2-C6 sugars for unique products
are preferred. Proposals which target pharmaceutical applications will
not be considered responsive. Direct production of products in green
plants and other biomass (algae) is beyond the scope of this FOA and any
responses proposing such research will also be considered
non-responsive. Research into improvements in biomass-derived syngas
conversion to Fischer-Tropsch products, methanol, and ammonia, iso and
oxosynthesis to aldehydes/alcohols would be considered non-responsive
due to the extensive historical industrial and government investment in
these conversion technologies. A minimum of 30% non-federal cost share
is required.

# Award Information

## Type of Award Instrument. 

anticipate(s) awarding:

Grants,

Cooperative agreements -

> *If cooperative agreement is selected, a special award condition
> describing the Government's substantial involvement in the cooperative
> agreement is located in*

[]{#__RefHeading___Toc61774144 .anchor} **Estimated Funding**.

> Approximately \$30,000,000.00 is expected to be available for new
> awards under this announcement: \$10,000,000 per year over a three
> year period.

## Maximum and Minimum Award Size.

> Ceiling (i.e., the maximum amount for an individual award made under
> this announcement): \$2,500,000
>
> Floor (i.e., the minimum amount for an individual award made under
> this announcement): \$500,000

## Expected Number of Awards.

> anticipate(s) making 5-10awards under this announcement depending on
> the size of the awards.

## Anticipated Award Size.

> While the maximum award size (i.e., the ceiling) is \$2,500,000. DOE
> anticipates that awards will be in the \$500,000-\$2,500,000 range for
> the total project period.

## Period of Performance. 

> anticipate(s) making awards that will run for up to 3 year(s).

## Reserved.

# Eligibility Information

## Eligible Applicants.

> All types of domestic applicants are eligible to apply, except other
> Federal agencies, Federally Funded Research and Development Centers
> (FFRDCs), and nonprofit organizations described in section 501(c)(4)
> of the Internal Revenue Code of 1986 that engage in lobbying
> activities.
>
> (See [Section VIII.5](#IRS_term). [Section III.3](#other.) may include
> other eligibility restrictions.)
>
> []{#__RefHeading___Toc61774152 .anchor}**Cost Sharing or Matching**.
>
> The development of these chemical building blocks can provide a
> substantial basis for industrial commercialization of derivatives from
> these building blocks. Industrial interest should be high and they
> should provide cost-share commensurate with the potential return on
> their investment above the minimum 20% statuatory cost share. The cost
> share or match must be at least 30% of the total allowable costs of
> the project (i.e., the sum of the recipient's allowable costs and the
> Federal Government share equals the total allowable costs of the
> projects) and must come from non-Federal sources. (See Section
> IV.2.D.iv - Commitment Letters from Third Parties Contributing to Cost
> Sharing and 10 CFR part 600 for the applicable cost sharing
> requirements.)

## Other.

## X Energy Policy Act Eligibility Requirements.

##  

> 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.3.C](#EPACT), Submissions from Successful Applicants,
> EPACT Representation.)
>
> Federally Funded Research and Development Centers (FFRDC).
>
> FFRDC applicants are not eligible for an award. A list of the FFRDC is
> available at
>
> [http://www.nsf.gov](http://www.nsf.gov/) . However, an application
> that includes performance of a portion of
>
> the work by a FFRDC will be evaluated and may be considered for award.
> (See Section VIII).

# Application and Submission Information. 

## Address to Request Application Package.

> The Office of Science's Grant Application Guide and forms are located
> at
>
> <http://www.sc.doe.gov/production/grants/grants.html>.

## Content and Form of Application Submission.

> **A. DUNS Number.**
>
> 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.
>
> **B. Letter of Intent**.
>
> Applicants are requested to submit a letter of intent by August 30,
> 2004. This letter should include the name of the applicant, the title
> of the project, the name of the Principal Investigator(s)/project
> director, the amount of funds requested, and a one-page abstract.
> Letters of intent will be used to organize and expedite the merit
> review process. Failure to submit such letters will not negatively
> effect a responsive application submitted in a timely fashion. The
> letter of intent should be sent by E-mail to gobioproducts@go.doe.gov.
>
> **C. Pre-application.**
>
> Pre-applications are not required.
>
> **D.** **Application.**
>
> Applicants must include the following files in their E-Application
> (See Section IV.6. "Other Submission Requirements" for instructions on
> how to submit your E-Application):

i.  **Application File**.

> Applicants must complete a application form. Save this form as a(n)
> file, named "Application."
>
> [Click here for application
> form.](http://professionals.pr.doe.gov/ma5/ma-5web.nsf/WebPages/IIPSFAForms?OpenDocument)

ii. **Budget Files**.

> Budget File. Applicants must complete a for each year of support
> requested and a cumulative budget for the total project period.
>
> [Click here for budget
> form](http://professionals.pr.doe.gov/ma5/ma-5web.nsf/WebPages/IIPSFAForms?OpenDocument).
>
> 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 Section IV, 5). Save these budget forms in a single file, named
> "Budget."
>
> 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 of the order
> contains a Sample Format for the Field Work Proposal). DOE O 412.1 is
> available at
>
> <http://www.directives.doe.gov/directives/current.html#number>
>
> (Click on Series 400 Work Process).
>
> All FFRDC budgets must be saved as a(n) file, named "FFRDC
> Attachment".
>
> Budget Justification File. Justify proposed direct labor, travel,
> consultants, large subawards, large or unique "other direct costs",
> equipment, etc., and the basis for the cost estimate. For subawards,
> identify organization name, description of the scope of work, name of
> the project leader, and estimated total costs. The contracting officer
> may request a more detailed budget for a particular subaward, if your
> application is selected. Provide an explanation of the source, nature,
> amount and availability of any proposed cost sharing. Save this
> information in a(n) file, named "Budget_Justification".

iii.  **Project Summary/Abstract.** **Required** {for R&D projects,
     optional for other projects

> The project summary/abstract must contain a summary of the proposed
> activity suitable for publication. It should be a self-contained
> document that identifies the name of the applicant, the principal
> investigator/project director, the project title, the objectives of
> the project, methods to be employed, the potential impact of the
> project (i.e., benefits, out comes), and participants (for
> collaborative projects). It should be informative to other persons
> working in the same or related fields and insofar as possible,
> understandable to a scientifically or technically literate lay reader.
> This document must not include any proprietary or sensitive business
> information as the Department may make it available to the public. The
> project summary must not exceed 1 page when printed using standard
> 8.5" by 11" paper with 1" margins (top, bottom, left and right) with
> font not smaller than 11 point. Save this information in an MS Word
> file named "Project_Summary."

iv. **Project Narrative File.** ***Required.***

> The project narrative file must be formatted to separately address
> each of the sections listed below. Each section must not exceed the
> specified page limitation, if any, when printed using standard 8.5" by
> 11" paper with 1 inch margins (top, bottom, left, and right). The type
> must be legible and not smaller than 11 point. Evaluators will review
> only the number of pages specified.
>
> 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. Save all the project component
> information in a single file, named "Project_Narrative".
>
> {Select all that apply}
>
> Project Narrative. This section should provide a clear description of
> the work to be undertaken and how you plan to accomplish it. It must
> be formatted to address each of the merit review criterion and
> sub-criterion listed in Section V. B. Provide sufficient information
> so that the reviewers will be able to evaluate the application in
> accordance with these merit review criteria. WILL EVALUATE AND
> CONSIDER ONLY THOSE APPLICATIONS THAT ADDRESS SEPARATELY EACH OF THE
> MERIT REVIEW CRITERION AND SUB-CRITERION.
>
> The project narrative section must not exceed 16 pages. Graphics and
> visual material, including charts, graphs, maps, photographs, and
> other pictorial presentations, will be counted in the page limitation
> for this section.
>
> *Special instructions for applications that contain graphics and
> visual material*. All graphics and visual material should be
> referenced in the project narrative text, converted to pdf files
> (i.e., Adobe Acrobat Portable Document files), and included as a
> separate attachment, named "Graphics_Attachment." (See Section
> IV.2.D.iv).
>
> The project narrative shall be organized into the following sections:

I.  Introduction (not to exceed 1 page)

II. Technical Relevance and Justification (not to exceed 2 pages)

```{=html}
<!-- -->
```
1.  This section should explain the relevance of the effort to the
    objectives in the funding opportunity announcement. The
    justification for the proposed project should include a clear
    statement of the importance of the project in terms of the utility
    of the outcomes and the target community of beneficiaries.

```{=html}
<!-- -->
```
III. Technical Approach and Work Plan including Project Activities and
     Schedules (not to exceed 5 pages)

```{=html}
<!-- -->
```
1.  Project Activities and Schedule: This section should identify the
    activities/tasks to be performed and provide a time for the
    accomplishment of the activities/tasks and the expected dates for
    the release of outcomes. This section should identify any decision
    points and go/no-go decision criteria. Successful applicants must
    use this project schedule to report progress.

```{=html}
<!-- -->
```
IV. Impact on biorefineries relative to energy efficiency savings, oil
    displacement or other environmental and economic benefits. (not to
    exceed 2 pages)

V.  Technical Management & Roles of Participants, Facilities, Equipment
    & Capabilities, Evaluation Phase Plan (not to exceed 5 pages)

```{=html}
<!-- -->
```
1.  Roles of Participants: For multi-organizational or
    multi-investigator projects, describe the roles and the work to be
    performed by each participant/investigator, business agreements
    between the applicant and participants, and how the various efforts
    will be integrated and managed.

2.  Facilities and Other Resources: Identify the facilities (e.g.,
    office, laboratory, animal, computer, etc.) to be used at each
    performance site listed and, if appropriate, indicate their
    capacities, pertinent capabilities, relative proximity and extent of
    availability to the project. Describe only those resources that are
    directly applicable to the proposed work. Provide any information
    describing the other resources available to the project, such as
    machine or electronic shops.

3.  Equipment: List important items of equipment already available for
    this project and, if appropriate, note the location and pertinent
    capabilities of each. If you are proposing to acquire equipment,
    describe comparable equipment, if any, already at your organization
    and explain why it cannot be used.

4.  Evaluation Phase: This section must include a plan and metrics to be
    used to assess the success of the project.

```{=html}
<!-- -->
```
VI. Bibliography and references (not to exceed 1 page)

```{=html}
<!-- -->
```
1.  Bibliography and References: Provide a bibliography for any
    references cited in the Project Narrative section. This section must
    include only bibliographic citations.

```{=html}
<!-- -->
```
v.  **Certification/Assurances/Representations.** **Required**

> Applicants must complete the appropriate
> certifications/assurances/representations form set with EPAct
> Representation or form set without EPAct Representation, as indicated
> below.Save the form set in an MS Word file named
> "Certifications-Assurances."
>
> 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 the
> type described in section 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.
>
> Other applicants, including 501(c)(3) organizations, educational
> institutions, and State, local, and tribal governments, must complete
> the form set without the
>
> EPAct Representation. [Click here for forms
> set](http://professionals.pr.doe.gov/ma5/ma-5web.nsf/WebPages/IIPSFAForms?OpenDocument).

vi. **Attachment Files.**

> Biographical Sketch. ***Optional***
>
> Provide a biographical sketch for the project director/principal
> investigator, co-project directors/principal investigators, and other
> major participants. Save this information in a single file, named
> "Bio_Attachment". 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 font not smaller than 11 point and
> must include:

-   Education. Undergraduate, graduate and postdoctoral training,
    provide institution, major/area, degree and year.

```{=html}
<!-- -->
```
-   Positions: Beginning with the current position list, in
    chronological order, professional/academic positions with a brief
    description.

-   Publications. A list of up to 10 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 developed may be provided
    in addition to, or substituted for, publications.

-   Synergistic Activities. List no more than 5 professional and
    scholarly activities related to the effort proposed.

> 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".

vii. **Summary of Required Attachments**

> In summary, the Applicant must submit the following attachments in
> IIPS:

  ----------------------------------- -----------------------------------
  **IIPS Attachment Section**         **File Name**

  Application/Pre-Application         SF424

  Budget                              Budget

  Budget Justification                Budget_Justification

  Project Summary/Abstract            Project_Summary

  Project Narrative                   Project_Narrative

  Certs/Assur/Representations         Certifications-Assurances

  Attachment 1                        Graphics_Attachment

  Attachment 2                        Bio_Attachment

  Attachment 3                        PMP_Attachment

  Attachment 4                        CLTP_Attachment

  Attachment 5                        Graphics Attachment
  ----------------------------------- -----------------------------------

## Submission Dates and Times

> **A. Pre-application**
>
> Pre-applications are not required.
>
> **B. Application Due Date**
>
> Applications and amendments of applications must be received by
> October 18, 2004, not later than 8:00 PM Eastern Time. You are
> encouraged to transmit your application well before the deadline.
> **APPLICATIONS, INCLUDING ALL APPLICATION FILES, RECEIVED AFTER THE
> DEADLINE, AS DEMONSTRATED BY THE IIPS DATE/TIME STAMP, WILL NOT BE
> REVIEWED OR CONSIDERED FOR AWARD**.
>
> **C. Submissions from Successful Applicants.**
>
> Successful applicants must submit the information listed below not
> later than 30 calendars 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        |
+-------------------------------------+--------------------------------+
| {Select for R&D programs, if        | For DOE FFRDCs, complete a DOE |
| applicable, and if the FFRDC budget | Field Work Proposal.           |
| was not submitted with the          |                                |
| application (See Section IV.D.ii    |                                |
| Budget for FFRDC Participants).}    |                                |
|                                     |                                |
| Budget 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.     |                                |
+-------------------------------------+--------------------------------+
|                                     | [Click here for                |
|                                     | form](http://professionals.p   |
|                                     | r.doe.gov/ma5/ma-5web.nsf/WebP |
|                                     | ages/IIPSFAForms?OpenDocument) |
+-------------------------------------+--------------------------------+
| If a DOE FFRDC contractor is to     | For non-DOE FFRDCs, no special |
| perform a portion of the work,      | form. The budget must include  |
| provide a DOE Field Work Proposal   | the same detail and cost       |
| in accordance with the requirements | elements, if applicable, as    |
| in DOE Order 412.1 Work             | the recipient's budget.        |
| 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/directives/current.html#number> |                                |
| (Click on Series 400 Work Process). |                                |
+-------------------------------------+--------------------------------+
| Commitment Letters from Third       | No special format.             |
| Parties Contributing to Cost        |                                |
| Sharing                             | See Section IV.2.D. iv,        |
|                                     | Commitment Letters from Third  |
| If a third party is to provide all  | Parties Contributing to Cost   |
| or part of the required cost        | Sharing.                       |
| sharing, provide a signed letter of |                                |
| commitment.                         |                                |
+-------------------------------------+--------------------------------+
|                                     | Click here for form.           |
+-------------------------------------+--------------------------------+

## Intergovernmental Review. 

> This program is not subject to Executive Order 12372 --
> Intergovernmental Review of Federal Programs.
>
> []{#__RefHeading___Toc61774160 .anchor}Funding Restrictions
>
> **Cost Principles.** Cost must be allowable in accordance with the
> applicable cost principles referenced in 10 CFR part 600.
>
> **Pre-award Costs.** 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 the costs are necessary for the conduct of the project
> activities and are otherwise allowable in accordance with the
> applicable cost principles and the terms and conditions of the award.
> 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.** Cost of foreign travel is not allowable under an
> award made as a result of this announcement.

## Other Submission Requirements. 

> Electronic Submission. 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.
>
> [Click here for Frequently Asked
> Questions.](http://e-center.doe.gov/iips/FAQs.nsf)
>
> 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](mailto:HelpDesk@e-center.doe.gov).
>
> **ONLY APPLICATIONS SUBMITTED THROUGH IIPS WILL BE CONSIDERED FOR
> AWARD.**
>
> Electronic Signature. 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.
>
> IIPS Registration**.** In order to submit an application, 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.doe.gov/)
> and follow the registration instructions.

# Application Review Information. 

## Criteria 

> **A. Initial Review Criteria**. :
>
> []{.mark}
>
> []{.mark}Prior to a comprehensive merit evaluation, 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; (2) all mandatory requirements are satisfied; and (4) the
> proposed project is responsive to the objectives of the funding
> opportunity announcement.
>
> **B. Merit Review Criteria.**
>
> Applications will be reviewed in accordance with the following
> criteria:
>
> All timely Applications that fulfill the minimum Application
> requirements, as determined under the compliance review, will be
> eligible for comprehensive evaluation.
>
> The following factors will be used to evaluate Applications:
>
> **Criterion 1: Technical Merit Weight: \[30%\]**
>
> The technical merit of the application will be evaluated based on the
> extent to which the project, if successfully carried out, will address
> research activities for biomass as described in this FOA. Specific
> considerations for this criterion are:

1.  Clarity and relevance of the project objectives

2.  Technical merit of the proposed research and development efforts

3.  Extent to which the proposed work will overcome barriers in
    cost-effective production of building blocks derived from sugars,
    oils and syngas.

4.  Novelty, innovation, uniqueness, and originality of the project
    objectives.

> **Criterion 2: Technical Approach/Work Plan Weight: \[25%\]**
>
> The technical approach will be evaluated based on the clarity and
> technical strength of the approach to achieve the project objectives,
> including the plan for each task and subtask, milestones and
> deliverables. Specific considerations for this criterion are:

1.  Technical feasibility of the proposed work.

2.  Adequacy and completeness of the proposed tasks.

3.  Clarity and completeness of the description of each activity
    necessary to complete the project.

4.  Likelihood of achieving project objectives through realistic
    milestones and logical task structure.

5.  Reasonableness of the schedule.

6.  Performance measures and milestones for evaluating progress with
    regard to key subtasks and/or deliverables.

7.  Identification and appropriateness of key decision points for
    mitigating potential problems.

8.  Process for monitoring and evaluating the project's progress and
    performance. Describe the process that will be used to verify the
    milestones (technical and economic targets) that have been achieved;
    such as collection of mass balance data, capital and operating cost
    estimation, process design or modeling.

> **Criterion 3: Economic Benefits to the Current and Future
> Biorefineries Weight: \[25%\]**
>
> The overall projected benefits will be evaluated in terms of the
> technology (1) increasing the competitiveness of current biorefineries
> through the addition of the proposed technology or (2) increasing the
> competitiveness of a future biorefinery model producing fuels, power,
> chemicals, or materials. Specific considerations for this criterion
> are:

1.  Estimated benefits in comparison to existing technology or system
    (e.g., crude oil displacement or energy efficiency gains in product
    production). If the product/process will not directly displace crude
    oil, estimated market penetration of the product (s) and potential
    for enabling a fuel-based biorefinery.

2.  Describe the broad applicability of the technology for processing of
    biomass derived sugars, synthesis gas, or oils.

3.  Potential for the proposed work to provide sufficient benefits in
    terms of cost reduction, risk reduction, or performance improvement
    to justify the cost of the system being investigated.

4.  Potential for implementation in biorefineries by FY08.

5.  Incorporation of activities and technologies which are protective of
    the environment.

**Criterion 4: Technical, Management, and Facility**

> **Capabilities Weight: \[20%\]**
>
> Technical and management qualifications of all participating
> organizations and key personnel including consultants will be
> evaluated with respect to their ability to carry out the proposed
> effort. The adequacy and appropriateness of the facilities planned for
> this work will also be considered. Specific considerations for this
> criterion are:

1.  Strength of the teaming arrangements or participating organization
    and the explicit roles each party will take in achieving project
    objectives.

2.  Credentials, capabilities, experience (technical and managerial),
    performance record, and availability of the applicant and
    participants to comprehensively address all aspects of the proposed
    project.

3.  Adequate and sound description of the project management concept and
    plan with respect to proposed tasks and organizational structure to
    achieve project objectives.

4.  Type, quality, availability, and appropriateness of facilities,
    equipment, and materials utilized to carry out the proposed work.

> **C. Other Selection Factors**
>
> The selection official will consider the following program policy
> factors in the selection process:
>
> The following factors are proposed to be used to evaluate
> Applications:
>
> 1\. Geographic diversity of projects
>
> 2\. Technological diversity of projects relative to the current
> Biomass Program portfolio
>
> 3\. Relative value addressing the programmatic needs of the Office of
> the Biomass Program.
>
> 4\. Extent to which the proposed work will complement or advance the
> current knowledge or technology for the stated objectives.
>
> 5\. Cost proposal that specifies the amount of Federal funds requested
> and the value of resources expect to be invested by the project
> applicant in the effort, including the non-Federal cost share amount
> over and above the minimum specified elsewhere in this solicitation.

## Review and Selection Process. 

> **A. [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 at
>
> <http://professionals.pr.doe.gov/ma5/ma-5web.nsf/?Open>
>
> under Financial Assistance, Regulations and Guidance.
>
> **B. [Selection]{.underline}**.
>
> The Selection Official will consider the merit review recommendation,
> program policy factors, and the amount of funds available.
> **[or]{.smallcaps}**
>
> **C. [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. **[or]{.smallcaps}**

## Anticipated Announcement and Award Dates. 

> is striving to make awards within eight months. The time interval
> begins on the date applications are due or the date the application is
> received, if there is no specified due date/deadline.

# Award Administration Information. 

## Award Notices. 

> **A. [Notice of Selection]{.underline}**.
>
> will notify applicants selected for award. This notice of selection is
> not an authorization to begin performance. (See Section IV.5 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.
>
> **B. [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. a budget that indicates the amounts, by
> categories of expenses, on which the agency has based its support; 2.
> the application; 3. applicable program regulations, if any; 4. special
> terms and conditions; 5. DOE assistance regulations at 10 CFR part
> 600, or, for Federal Demonstration Partnership (FDP) institutions, the
> FDP terms and conditions; and 6. a reporting checklist, which
> identifies the reporting requirements.

## Administrative and National Policy Requirements. 

> **A. Administrative and National Policy Requirements.**
>
> The administrative requirements and national policy requirements
> (e.g., "generally applicable requirements") for DOE grants and
> cooperative agreements are contained in 10 CFR Part 600, except for
> grants made to Federal Demonstration Partnership (FDP) institutions.
> The FDP terms and conditions and DOE FDP agency specific terms and
> conditions are located on the National Science Foundation web site at
>
> [www.nsf.gov](http://www.nsf.gov/). "Generally applicable
> requirements" are defined in 10 CFR 600.12.
>
> **B. Special Terms and Conditions.**
>
> **[Lobbying]{.underline}**
>
> **Lobbying Restrictions**
>
> The recipient agrees that none of the funds obligated on this award
> shall be made available for any activity or the publication or
> distribution of literature that in any way tends to promote public
> support or opposition to any legislative proposal on which
> Congressional action is not complete. This restriction is in addition
> to those prescribed elsewhere in statute and regulation.
>
> **Lobbying Restrictions** *.*
>
> The recipient agrees that none of the funds obligated on this award
> shall be expended, directly or indirectly, to influence congressional
> action on any legislation or appropriation matters pending before
> Congress, other than to communicate to Members of Congress as
> described in 18 U.S.C. 1913. This restriction is in addition to those
> prescribed elsewhere in statute and regulation.
>
> **[Buy American Act]{.underline}.**
>
> NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUIPMENT AND PRODUCTS
> \-- SENSE OF CONGRESS
>
> It is the sense of the Congress that, to the greatest extent
> practicable, all equipment and products purchased with funds made
> available under this award should be American-made.
>
> **[Reporting]{.underline}.**
>
> Failure to comply with the reporting requirements contained in this
> award will be considered a material noncompliance with the terms of
> the award. Noncompliance may result in withholding of future payments,
> suspension or termination of the current award, and withholding of
> future awards. A willful failure to perform, a history of failure to
> perform, or of unsatisfactory performance of this and/or other
> financial assistance awards, may also result in a debarment action to
> preclude future awards by Federal agencies.
>
> **[Environmental, Safety, and Health]{.underline}.**
>
> The recipient must comply with applicable federal, state, and local
> environmental, safety, and health laws and regulations for work
> performed under this award.
>
> **[Notice Regarding Unallowable Costs and Lobbying
> Activities]{.underline}.**
>
> The recipient should carefully review the allowable cost and other
> provisions applicable to expenditures under this award. If funds are
> spent for purposes or in amounts inconsistent with the allowable cost
> or any other provisions governing expenditures, may pursue a number of
> remedies, including in appropriate circumstances, recovery of such
> funds, termination of the award, suspension or debarment, and criminal
> prosecution for false statements.
>
> Particular care should be taken to comply with all statues and
> regulations prohibiting the expenditure for funds for lobbying and
> related activities. Financial assistance awards may be used to
> describe and promote the understanding of scientific and technical
> aspects of specific energy technologies, but not to encourage or
> support political activities such as the collection and dissemination
> of information related to potential, planned or pending legislation.
>
> **[Statement of Substantial Involvement]{.underline}.**
>
> Substantial Involvement will be identified in the award if the award
> is issued as a Cooperative Agreement

## Reporting. 

> **Reporting Requirements**.
>
> Reporting requirements are identified on the Federal Assistance
> Reporting Checklist, DOE F 4600.2, attached to the award agreement.
> See attachment E for the proposed Checklist for this program**.**
>
> **Submission of Reports**
>
> Reports must be submitted electronically to the EERE/GO Awards
> Reporting Upload System in accordance with the instructions in the
> Federal Assistance Reporting Checklist, DOE F 4600.2 to be included in
> any award. The system can be accessed
>
> at <https://gowba.go.doe.gov/uploadreports/login.asp>.
>
> **Submission of Scientific/Technical Reports -- Grants.**
>
> [Electronic Submission]{.underline}: Scientific/technical reports must
> be submitted electronically via the DOE Energy Link System (E-Link)
> with the appropriate DOE Form 241 (See Federal Assistance Reporting
> Checklist, DOE F 4600.2). E-Link will allow you to complete the DOE F
> 241 online and then upload your report. It can be accessed at
>
> <http://www.osti.gov/elink-2413> .
>
> [DOE Form 241.3, "U.S. Department of Energy (DOE), Announcement of
> Scientific and Technical Information (STI)]{.underline}": This form
> and instructions are available on E-Link. If there is any patentable
> material, protected data, or SBIR/STTR data in the report, the
> recipient must, consistent with the data protection provisions of the
> grant, clearly identify patentable or protected data on each page of
> the report, identify such material on the cover of the report, and
> mark the appropriate blocks in Section K of the DOE F 241.3. Other
> than patentable material, protected data, or SBIR/STTR data, reports
> must not contain any proprietary data (limited rights data),
> classified information, information subject to export control
> classification, or other information not subject to release. Protected
> data is specific technical data, first produced in the performance of
> the award that is protected from public release for a period of time
> by the terms of the award agreement. Any scientific/technical report
> produced under this award will be disseminated on the Internet via the
> DOE Information Bridge (www.osti.gov/bridge), except for a report or a
> part of a report that contains patentable material, protected data or
> SBIR/STTR data. Citations for journal articles produced under this
> award will appear on the DOE Energy Citations Database
> (www.osti.gov/ecd).
>
> [Electronic Format:]{.underline} Reports must be submitted in the
> ADOBE PORTABLE DOCUMENT FORMAT (PDF) and be one integrated PDF file
> that contains all text, tables, diagrams, photographs, schematic,
> graphs, and charts. E-Link can provide more details about converting a
> file to PDF. Materials, such as prints, videos, and books, that are
> essential to the report but cannot be submitted electronically, should
> be sent to the Contracting Officer at the address listed in Block 12
> of the Notice of Financial Assistance Award.
>
> []{#__RefHeading___Toc61774170 .anchor}Agency Contact(s).
>
> 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.
> Locate the FOA on IIPS and then click on the "Submit Question" button
> at the top. Enter required information. You will receive an electronic
> notification that your question has been answered. DOE/NNSA 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 at the top of the page. If no questions have been
> answered, a statement to that effect will appear at the top of the
> page. 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](mailto:helpdesk@e-center.doe.gov)
> or by calling 1 (800) 683-0751.

# Other Information.

##  1. Amendments. 

> Notices of any amendments to this announcement will be posted on the
> DOE Industry Interactive Procurement System (IIPS).
>
> If you register in IIPS, you may join this FOA mailing list to receive
> an email when an amendment or an announcement message is posted. To
> view amendments and announcement messages, locate the announcement on
> IIPS and click on the yellow folder next to the announcement number or
> follow the directions for "Locate FOA."

##  2. Government Right to Reject or Negotiate. 

> reserve(s) 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.

##  3. Commitment of Public Funds. 

> 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.

##  4. Proprietary Application Information. 

> 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."

##  5. Notice Regarding Eligibility of Organizations Described in Section 501(c)(4) of the Internal Revenue Code. 

> Applicant organizations that are described in section 501(c)(4) of the
> Internal Revenue Code of 1986 and that have engaged in any lobbying
> activities after December 31, 1995 are not eligible for an award. As
> set forth in section 3 of the Lobbying Disclosure Act of 1995, as
> amended, (2 U.S.C. 1602), lobbying activities are defined broadly to
> include, among other things, contacts on behalf of an organization
> with specified employees of the Executive Branch and Congress with
> regard to Federal legislative, regulatory, and program administrative
> matters.

##  6. Evaluation by Non-Federal Reviewers. 

> In conducting the merit review evaluation, the Government plans to use
> qualified non‑Federal personnel (e.g., DOE management and operating
> contractors, universities personnel, or other scientific/technical
> experts) as reviewers or advisors. The applicant, by submitting its
> application, consents to the use of non-Federal reviewers. Non-Federal
> reviewers will be required to sign a
> Conflict-of-Interest/Non-Disclosure Certificate prior to reviewing any
> application.

##  7. Intellectual Property Developed under this Program. 

> [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. Section 6 of Public Law 96-517
> 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 G 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. The rights in data applicable to the
> various types of DOE financial assistance recipients are contained in
> 10 CFR 600.
>
> [Special Protected Data Statutes]{.underline}. The provisions of  1)
> the Energy Policy Act of 1992 (42 U.S.C. 13541(d), or 2)       apply
> to this program. These provisions provide for the protection from
> public disclosure, for a period of up to 5 years {EPAct -- 5, SBIR --
> 4}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
> various types of recipients are located at
>
> [www.gc.doe.gov/gcmain.html](http://www.gc.doe.gov/gcmain.html).

##  8. Notice Of Right To Request Patent Waiver. 

> 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
> identified inventions. Therefore, small businesses and nonprofit
> organizations do not need to request a waiver.

##  9. Notice Regarding Eligible/Ineligible Activities. . 

> 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.

##  10. Participation by Federally Funded Research and Development Center Contractors*.* 

> 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 FFRDCs.]{.underline} The Federal agency
> sponsoring the FFRDC 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 in direct competition with the private sector.
>
> [Authorization for DOE FFRDCs]{.underline}. The cognizant contracting
> officer must authorize in writing the use of a DOE 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
> 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
> portion of the work will not normally be included in the award to a
> successful applicant. Usually, will fund a DOE FFRDC contractor
> through the DOE field work proposal system and other FFRDC entities
> 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 scope of work to be performed by the FFRDC may not be more
> significant than the scope of work to be performed by the applicant.
>
> The FFRDC effort, in aggregate, shall not exceed 50% 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.

# APPENDIX A - DEFINITIONS

**"Amendment"** means a revision to a FOA.

\"**Applicant**\" means the legal entity or individual signing the
Application. This entity or individual may be one organization or a
single entity representing a group of organizations (such as a
Consortium) that has chosen to submit a single Application in response
to a FOA.

\"**Application**\" means the documentation submitted in response to a
FOA. NOTE: Application is referred to as Proposal in IIPS.

\"**Award**\" means the written documentation executed by a DOE
Contracting Officer, after an Applicant is selected, which contains the
negotiated terms and conditions for providing Financial Assistance to
the Applicant. A Financial Assistance Award may be either a Grant or a
Cooperative Agreement.

\"**Budget**\" means the cost expenditure plan submitted in the
Application, including both the DOE contribution and the Applicant Cost
Share.

\"**Consortium (plural consortia)**\" means the group of organizations
or individuals that have chosen to submit a single Application in
response to a FOA.

\"**Contracting Officer**\" means the DOE official authorized to execute
Awards on behalf of DOE and who is responsible for the business
management and non-program aspects of the Financial Assistance process.

\"**Cooperative Agreement**\" means a Financial Assistance instrument
used by DOE to transfer money or property when the principal purpose of
the transaction is to accomplish a public purpose of support or
stimulation authorized by Federal statute, and Substantial Involvement
(see definition below) is anticipated between DOE and the Applicant
during the performance of the contemplated activity.

\"**Cost Sharing**\" means the respective share of Total Project Costs
required to be contributed by the Applicant and by DOE. The required
percentage of Applicant Cost Share is to be applied to the Total Project
Cost (i.e., the sum of Applicant plus DOE Cost Shares) rather than to
the DOE contribution alone.

\"**Financial Assistance**\" means the transfer of money or property to
an Applicant or Participant to accomplish a public purpose of support
authorized by Federal statute through Grants or Cooperative Agreements
and sub-awards. For DOE, it does not include direct loans, loan
guarantees, price guarantees, purchase agreements, Cooperative Research
and Development Agreements (CRADAs), or any other type of financial
incentive instrument.

**"Federally Funded Research and Development Center (FFRDC)"** means a
research laboratory as defined by Federal Acquisition Regulation 35.017.

**\"Grant\"** means a Financial Assistance instrument used by DOE to
transfer money or property when the principal purpose of the transaction
is to accomplish a public purpose of support or stimulation authorized
by Federal statute, and no Substantial Involvement is anticipated
between DOE and the Applicant during the performance of the contemplated
activity.

**"Industry Interactive Procurement System (IIPS)"** is DOE's
Internet-based procurement system which allows access to DOE's business
opportunities database, allows user registration

and submittal of Applications: <http://e-center.doe.gov/>.

\"**Key Personnel**\" means the individuals who will have significant
roles in planning and implementing the proposed Project on the part of
the Applicant and Participants, including FFRDCs.

\"**Participant**\" for purposes of this FOA only, means any entity,
except the Applicant substantially involved in a Consortium, or other
business arrangement (including all parties to the Application at any
tier), responding to the FOA.

\"**Project**\" means the set of activities described in an Application,
State plan, or other document that is approved by DOE for Financial
Assistance (whether such Financial Assistance represents all or only a
portion of the support necessary to carry out those activities).

**"Proposal"** is the term used in IIPS meaning the documentation
submitted in response to a FOA. See also Application.

**"Recipient"** means the organization, individual, or other entity that
receives a Financial Assistance Award from DOE, is financially
accountable for the use of any DOE funds or property provided for the
performance of the Project, and is legally responsible for carrying out
the terms and condition of the award.

\"**Selection**\" means the determination by the DOE Selection Official
that negotiations take place for certain Projects with the intent of
awarding a Financial Assistance instrument.

**\"Selection Official\"** means the DOE official designated to select
Applications for negotiation toward Award under a subject FOA.

\"**Substantial Involvement**\" means involvement on the part of the
Government. DOE\'s involvement may include shared responsibility for the
performance of the Project; providing technical assistance or guidance
which the Applicant is required to follow; and the right to intervene in
the conduct or performance of the Project. Such involvement will be
negotiated with each Applicant prior to signing any agreement.

\"**Total Project Cost**\" means all the funds required to complete the
effort proposed by the Applicant, including DOE funds (including direct
funding of any FFRDC) plus all other funds that will be committed by the
Applicant as Cost Sharing.

# APPENDIX B -- INDUSTRY INTERACTIVE PROCUREMENT SYSTEM (IIPS) 3.2

**FOR HELP, CONTACT THE IIPS HELP DESK AT 1-800-683-0751 (SELECT OPTION
1)**

**OR AT <IIPS_HELPDESK@E-CENTER.DOE.GOV>**

1.  [Locate Announcement]{.underline}

    -   Go to the IIPS website at
        [http://e-center.doe.gov](http://e-center.doe.gov/)

    -   Click on "Browse Opportunities" and scroll down to view DOE
        Financial Assistance Opportunities (Viewing "Opportunities by
        Contracting Activity" is recommended.) Click on the "Browse
        Financial Asst." button.

    -   **OR** Click on the "Login" button if you are already
        registered. Click on the radio button that says "IIPS Financial
        Assistance" and click on the "Login" button again.

    -   Click on any of the options for viewing the Funding Opportunity
        Announcement, whichever is easiest for you to locate the
        Announcement. (Viewing "Opportunities by Contracting Activity"
        is recommended.)

    -   Click on the folder (or blue arrow depending on your server)
        next to the "Golden Field Office"

    -   Locate and click on the Announcement number to view the
        "Financial Assistance Opportunity."

    -   Scroll to the bottom of the page, where you will find the
        attached announcement, under "Full Announcement & Other Files."

2.  [View Amendments]{.underline}

Click on the folder next to the Announcement number to view amendments
and announcement messages.

3.  [IIPS Registration]{.underline}

An Applicant only has to register once on IIPS. This registration is
permanent and is used for all IIPS submissions. If the Applicant has
already registered, it should not register again. If an Applicant has
not previously registered, it is encouraged to register in IIPS at least
14 days prior to the Announcement closing date. To register:

-   Go to the IIPS website at
    [http://e-center.doe.gov](http://e-center.doe.gov/).

-   Click on the "Register" button.

-   Click on the radio button next to, "Check this box for IIPS" and
    then click on the "Proceed to Form" button.

-   Read the "Notice of Disclaimer" and click on "I Accept" if you are
    in agreement. (Clicking on \"I Decline\" will return you to the main
    registration page.)

-   Complete the Registration Form. Also print this page, which contains
    your password, for future reference.

-   Click on "Submit Registration." Applicants will receive a
    confirmation of receipt of registration.

-   Applicants will also receive an email confirming successful
    registration. If an Applicant does not receive this email
    confirmation within one business day, contact the IIPS Help Desk.

After the applicant has registered, it is important to use the IIPS test
site at

[http://doe-iips2.pr.doe.gov](http://doe-iips2.pr.doe.gov/) . This test
site allows registered users the opportunity to practice
uploading/downloading files in IIPS. To start the practice session,
follow the directions in Item 1. [Locate Announcement]{.underline},
above. Then click on the Funding Opportunity Number DE-PS36-03GONNNNN.
If you are already logged in, click on "Create Application". (You will
not see the "Create Application" button until you are logged in.)

4.  [Join Mailing List]{.underline}

It is highly recommended that Applicants join the mailing list.

-   To do so, follow the direction in item 1. [Locate
    Announcement,]{.underline} and then click on the "Join Mailing List"
    button, enter the required information, and submit.

-   After an Applicant has joined the mailing list, the Applicant will
    receive an email each time an announcement message is posted.

-   However, the Applicant should visit the announcement page
    periodically to ensure receipt of the latest information.

5.  [Electronic Submission]{.underline}

Applications [must]{.underline} be submitted through IIPS at
[http://e-center.doe.gov](http://e-center.doe.gov/), in accordance with
the instructions in the announcement. A submission by any other medium
will not be accepted.

6.  [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 commit the
Applicant to the conduct of a project) [must be typed in the signature
block]{.underline} on the form to be accepted as an electronic
signature. A scanned copy of the signed documents is not required.

7.  [Submit Application]{.underline}

Applicants are strongly encouraged to submit applications at least 48
hours prior to the deadline for submissions to ensure timely submission
and allow time to resolve any possible transmission problems. To submit
an application, follow these steps:

> [Step 1 -- Prepare Application]{.underline}

-   All required files necessary for a complete Application package
    should be prepared in accordance with the instructions in the
    announcement prior to starting the transmission process. Files
    should be completed, organized and named as instructed in
    Announcement part entitled "Application Content" before proceeding
    to submit an Application. Applicants should submit the entire
    package in one IIPS session (do not logoff before all the files are
    attached).

> [Step 2 -- Create Application]{.underline}

-   Enter the IIPS website at
    [http://e-center.doe.gov](http://e-center.doe.gov/).

-   Click on the "Login" button.

-   Click on the radio button that says, "IIPS Financial Assistance" and
    click on "Login" button again.

-   Enter your user name (as shown on your registration email
    confirmation) and password. Note: These are case sensitive.

-   Click on any of the options for viewing the Announcement
    (Opportunity), whichever is easiest for you to locate the
    announcement. (Viewing "Opportunities by Contracting Activity" is
    recommended.)

-   Click on the folder (or blue arrow) next to the Golden Field Office.

-   Locate the Announcement for which you are applying and click on it.

-   Click on the "Create Application" button and complete the
    information on the Application Cover Page. In order for DOE to
    accurately identify each application, Applicants must enter a unique
    project title in the "Subject" line.

-   Click on "Continue".

> [Step 3 -- Attach Application]{.underline}

-   Click on "Attach Application".

-   Scroll to the bottom of the page and attach each file in the
    corresponding block on the page, as outlined in the announcement,
    and then click on "Submit." Up to 10 files may be attached. Keep
    file sizes to a minimum to ensure a shorter transmission time. Be
    patient while your files upload.

-   IIPS will provide a "Submission Confirmation" with a tracking
    number, please print this page for your records

Once the Applicant [begins]{.underline} the \"Create Application\"
process, there will be a record created in IIPS. Therefore, Applicants
must verify that duplicate applications were not inadvertently created
in IIPS. If a duplicate was created, follow the steps outlined in
Appendix B, Item 8.a. of the Announcement or Item 9.a below.

**In the event that two or more Applications are received from the same
Applicant with the same unique project title, only the Application with
the [LATEST]{.underline} transmission start time will be considered for
review.**

8.  [Multiple Applications for Unique Projects]{.underline}

An Applicant may submit more than one application under the same
announcement; however, each Application must be uniquely titled. For
each application, the Applicant is required to follow the instructions
in "Submit Application." Each application must be complete and shall
[not]{.underline} rely upon another application as submission of the
required documents.

9.  [Deletion of Applications]{.underline}

```{=html}
<!-- -->
```
a.  To delete an application (including all files) from IIPS:

> To delete or withdraw an application or an application file, contact
> the IIPS Help Desk requesting the application to be removed. The
> following information is required when requesting to have an
> application deleted:

-   Registered User's Name as well as User Name of requestor (if
    different)

-   Email address of the registered user as well as requester (if
    different)

-   Company/University Name

-   Complete Announcement Number

-   Complete Proposal Tracking Number

-   Date Submitted (optional)

> In addition, if an application is deleted after the closing date,
> inform the Contract Specialist shown on the announcement, via email.

b.  To submit a revised application:

> After the Help Desk has removed the requested application, follow the
> steps in \"Submit Application\" to submit a revised application (i.e.
> cover page and all required files).

c.  To submit a revised file:

> After the Help Desk has removed the requested file from your
> application:

-   Locate the announcement.

-   Click on the yellow folder next to the announcement number.

-   Click on the cover page of your submission, click on the \"Attach
    Application\" link, and attach the revised file. Files received past
    the due date will not be reviewed.

10. [IIPS Questions]{.underline}

View the "IIPS Frequently Asked Questions" by clicking on the "Help"
button and scrolling to the bottom of the page. You may also contact the
IIPS Help Desk at 1-800-683-0751 (select Option 1) or at
<IIPS_HelpDesk@e-center.doe.gov> for questions regarding the operation
of IIPS.

11. [Submit A Question on the Content of the Announcement]{.underline}

\"Locate Announcement\", then click on the "Submit Question" button and
enter required information. You will receive an electronic notification
when your question has been answered. DOE EERE will try to respond to a
question within 5 business days, unless a similar question and answer
have already been posted.

12. [View Questions and Answers]{.underline}

\"Locate Announcement\", then click on the "View Questions" button. If
no questions have been submitted and answered, a statement to that
effect will appear. Potential Applicants should periodically check the
IIPS website for new questions and answers.

13. [IIPS Resources]{.underline}

> [IIPS User Guide]{.underline}
>
> This is an A-Z IIPS User Guide\--anything and everything the Applicant
> would ever want to know about IIPS. This user guide can be found at:
> <http://e-center.doe.gov/doebiz.nsf/Help?OpenForm> by scrolling to the
> bottom of the page.
>
> [Golden Field Office Announcements website]{.underline}
>
> This site contains a links to our current announcements posted in
> IIPS, and provides a multitude of information for applicants. This
> site can be found at: <http://www.go.doe.gov/funding.html>

# APPENDIX C -- Technical Topics Areas

*Research to Develop Chemical Building Blocks from Biomass Derived
Sugars, Syngas or Oils*

**General Guidance**

The Office of the Biomass Program has outlined a Multiyear Technical
Plan (MYTP)
(<http://devafdc.nrel.gov/biogeneral/Program_Review/MYTP.pdf>)
addressing research needs over the next five to seven years. Much of the
research and development is designed to address mission specific goals
and objectives. Many fundamental questions remain relative to the
processing of biomass from the field to platform products and then their
conversion into chemicals. These include the absence of adequate
chemical conversion technologies for aqueous systems and relatively few
viable, low-cost and efficient biological processing routes to useful
building block chemical intermediates. Throughout the entire program and
technical plan, several gaps such as these exist for which a better
understanding would benefit the program in meeting its goals and
objectives relative to finding alternatives to imported oil as a source
of chemicals and materials and helping establish the bioindustry.

The objective of this funding opportunity announcement (FOA) is to
leverage the "Top 10 Value-Added Chemicals from Biomass"
(<http://www.nrel.gov/docs/fy04osti/35523.pdf>) study developed in
FY2003-04. The FOA targets applied and pre-competitive research
identified by industry as high priority and necessary to develop
increased opportunities and pathways for producing commodity and other
chemicals from biomass. Responses are expected to address the technology
barriers identified in Appendix D and which were also identified as
important by industry. There must also be an alignment with DOE's
federal role such that product development would not be suitable work
performed under this FOA. The FOA will result is an evaluation of the
technical merit of the research as well as the ability of the proposed
team to employ the research results in the eventual application of the
technology within future biorefineries. Expected outcomes include
developing technology and tools that have broad applicability for
multiple chemicals and materials and technology that leads to
implementation or use in larger, biorefinery development efforts that
the Office of the Biomass Program is planning to pursue in FY08 via new
FOAs. Hence, applicants should anticipate the opportunity to propose new
work in a biorefinery context that employs the findings and results from
this FOA in FY 2008. The national laboratories are allowed to partner
with industry in this FOA but cannot be the lead, therefore must receive
less than 50 percent of the funding.

Proposals which include research into separation of products from a
mixed stream of sugars or the use of C2-C6 sugars for unique products
are preferred. Proposals which target pharmaceutical applications would
not be considered responsive. Direct production of products in green
plants and other biomass (algae) is beyond the scope of this FOA and any
responses proposing such research would also be considered
non-responsive. Research into improvements in biomass-derived syngas
conversion to Fischer-Tropsch products, methanol, and ammonia, iso and
oxosynthesis to aldehydes/alcohols would be considered non-responsive
due to the extensive historical industrial and government investment in
these conversion technologies. A minimum of 30% non-federal cost share
is required.

A letter of intent (LOI) is requested by August 30, 2004 to assess the
interest in this FOA. The submission of such an LOI is not required to
submit a full proposal but is encouraged. No pre-proposal screening will
be employed.

The following documents or web sites can serve as references for
respondents:

EERE Biomass web page: <http://www.eere.energy.gov/biomass/> and the
biomass documents database link found therein.

Feedstocks roadmap: <http://devafdc.nrel.gov/pdfs/8245.pdf>

Ethanol design case (2002):
<http://www.eere.energy.gov/biomass/pdfs/32438.pdf>

Biomass derived syngas to products:
<http://www.nrel.gov/docs/fy04osti/34929.pdf>

Top Value Added Chemicals From Biomass: Volume I Sugars
<http://www.nrel.gov/docs/fy04osti/35523.pdf>

Biomass Oil Analysis: Research Needs and Recommendations:
<http://www.nrel.gov/docs/fy04osti/34796.pdf>

Mutiyear Technical Plan (MYTP):
<http://devafdc.nrel.gov/biogeneral/Program_Review/MYTP.pdf>

**1. Chemical Conversion R&D**

a.  **Rationale**: Catalysis has been identified as an important but
    only modestly applied technology for the conversion of biomass-based
    platform outputs --sugar, syngas and oils. Catalytic processes to
    improve yields and selectivity would be useful in producing several
    defined carbon number building blocks and in converting these
    building blocks into other secondary chemical intermediates or even
    actual products. The conversion chemistry for biomass components and
    particularly when the components tend to be in aqueous systems has
    not been sufficiently developed for wide spread application.

> c\. **Description**: This FOA is seeking new, selective catalytic
> transformations of platform outputs leading to new or existing
> compounds of defined carbon number that can serve as building blocks
> within an integrated biorefinery. Of particular interest are selective
> oxidation and reduction processes, and processes that promote
> selective C-C bond breaking processes of biomass components -- sugars,
> syngas, and plant oils. Additionally, new, selective catalytic
> transformation chemistry involving conversion of building blocks
> derived from sugars into useful intermediates is also sought.
> Improvements in the catalytic conversion of biomass-derived syngas
> into mixed alcohols for chemicals or fuels applications by improving
> yields, selectivity and economics is also of interest.

d.  **Desired outcomes**:

    -   Novel, broadly applicable processes or tools for processing
        sugars, syngas as specified above, and oils

    -   Technology that is suitable for integration into biorefinery
        operations producing the platform outputs and byproducts
        (biomass derived sugars, oils, and syngas as specified above) by
        2008.

    -   Two performance targets are sought: 1) selective aqueous phase
        catalytic and bio-catalytic transformations of carbohydrates for
        the production of building blocks at less than \$0.25/pound
        and 2) chemical transformations for the conversion of platform
        building blocks to secondary products, including hydrogenation,
        oxidation, dehydration, hydrogenolysis and dehydroxylation occur
        at a cost less than \$0.07/pound.

2\. Biological conversion R&D

a\. Rationale: Bioprocessing with enzymatic or microbial systems for the
selective transformation of platform outputs, especially sugars
continues to be a fertile field of scientific research and commercial
development. Integrating bioprocessing into biorefinery operations is an
ongoing effort within the Biomass Program. However, DOE analyses
described above revealed that cost-effective and continuous production
of many of the building blocks is not yet viable nor is conversion of
building blocks for larger-scale intermediate and commodity scale
production as part of biorefinery operations.

b.  Description: This FOA is seeking a) novel and innovative approaches
    to adapting current batch bioprocesses into continuous processing
    systems commensurate with a biorefinery operation to produce
    compounds of defined carbon number that can serve as building blocks
    within an integrated biorefinery; or b) new approaches in enzymatic
    or microbial bioprocessing of platform outputs that produce
    compounds of defined carbon number that can serve as building blocks
    within an integrated biorefinery. Of particular interest are
    biological conversions from mixed sugar streams or impure sugar
    streams from any of the various pretreatment or existing industrial
    processes*.* Biochemical conversions of biomass-derived synthesis
    gas into chemicals in addition to fuels are also of interest.

Desired Outcomes:

-   Novel, broadly applicable processes for processing sugars, syngas,
    and oils

-   Technology or tools that are suitable for integration into
    biorefinery operations producing platform outputs and byproducts,
    such as biomass-derived sugars, oils, and biomass-derived syngas by
    2008.

-   Four performance targets are sought: 1) technologies that enable
    aerobic fermentations for the production of chemical building blocks
    identified in the "Top Ten" report for less than \$0.35/pound from
    \$0.10/pound sugars; 2) technologies that enable anaerobic
    fermentations for the production of chemical building blocks
    identified in the "Top Ten" report for less than \$0.25/pound from
    \$0.10/pound sugars.; 3) aqueous phase bio-catalytic transformations
    of carbohydrates for the production of building blocks at less than
    \$0.25/pound and 4) biological transformations for the conversion of
    platform building blocks to secondary products, including the
    biological (enzymatic or microbial) equivalent of hydrogenation,
    oxidation, dehydration, hydrogenolysis and dehydroxylation that
    occur at a cost of less than \$0.07 pound.

3\. Improved separation technologies

a.  Rationale: Cost-effective and high performance separations continues
    to be a barrier within processing systems using biomass. Existing
    biorefineries have addressed many separation and purification issues
    relative to isolating in high purity several components of biomass,
    such as corn syrup, pulp, oils, etc. However, cost-effective, high
    performance separation and isolation of chemical intermediates,
    building blocks, or valuable co-products from these processing
    streams continues to be challenging as well as the more difficult
    problems surrounding processes involving lignocellulosics.

b.  Description: This FOA is seeking novel and innovative proposals in
    two aspects of separation. First, reactive separations wherein the
    processing of platform outputs along with effective separation of
    the conversion products occurs simultaneously. Second, novel and
    innovative improvements of existing systems that improve performance
    and costs are also sought. Incremental improvements are less
    desirable

c.  Desired Outcomes:

    -   Technology or tools that are suitable for integration into
        biorefinery operations that are processing platform outputs
        (such as sugars, mixed sugars, oils, and biomass-derived syngas)
        into chemical intermediates or building blocks of defined carbon
        number by 2008.

    -   The following is a performance target sought for this FOA:
        Separation technologies for recovering products for less than
        \$0.05/pound from dilute, aqueous process streams containing
        less than 25% product.

The following illustrates some of the specific areas where improvements
are needed.

+-----------------------------------------------------------------------+
| Chemical                                                              |
+=======================================================================+
| -   Selective reductions of specific functionalities (viz. hydroxyls  |
|     in presence of C=C bonds)                                         |
+-----------------------------------------------------------------------+
| -   Conversion and purification of products without producing salts   |
+-----------------------------------------------------------------------+
| -   Managing tolerance to inhibitory compounds                        |
+-----------------------------------------------------------------------+
| -   Avoiding exotic oxidants in favor of air, oxygen, hydrogen        |
|     peroxide, etc.                                                    |
+-----------------------------------------------------------------------+
| -   Selective oxidations of specific functionalities to diols and     |
|     epoxides                                                          |
+-----------------------------------------------------------------------+
| -   Selective dehydrations without side reactions                     |
+-----------------------------------------------------------------------+
| -   Increasing specificity for C-O and C-C bonds                      |
+-----------------------------------------------------------------------+
| -   Kinetics and control of polymerization for carbohydrates and      |
|     other biomass components                                          |
+-----------------------------------------------------------------------+
| -   Understanding selective esterifications to control branching in   |
|     polymerization reactions                                          |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| Biological                                                            |
+-----------------------------------------------------------------------+
| -   Metabolic throughputs (productivity and yield) are not sufficient |
|     for industrial chemicals production                               |
+-----------------------------------------------------------------------+
| -   Difficulty in managing fungal fermentations (fungal morphology,   |
|     continuous fermentations, etc.)                                   |
+-----------------------------------------------------------------------+
| -   Managing the tolerance to stringent process conditions for        |
|     bioprocessing (low or high pH, high temperatures, inhibitory      |
|     compounds in process streams, etc.)                               |
+-----------------------------------------------------------------------+
| -   Increasing range of sugars metabolized by anaerobic and aerobic   |
|     strains                                                           |
+-----------------------------------------------------------------------+
| -   High downstream recovery costs of processing end products         |
+-----------------------------------------------------------------------+
| -   Instability of enzymes under process conditions (temperature,     |
|     pressure, organic solvents)                                       |
+-----------------------------------------------------------------------+
| -   Inadequate turnover rates                                         |
+-----------------------------------------------------------------------+
| -   High cost of enzymes and cofactors                                |
+-----------------------------------------------------------------------+

# APPENDIX D -- Synopsis of products section of the Multi Year Technical Plan (MYTP): Technology Barriers for Chemical and Materials from Biomass-Based Feedstocks or Raw Materials

***Introduction***

A large number of barriers exist in the products area related to
chemicals and materials produced from biomass-based feedstocks or raw
materials. Broad technical areas of need have been identified. Each of
these broad technical areas is comprised of additional specific
technical areas. These specific technical areas have been prioritized
into "A" (higher importance) and "B" (lower importance) priorities for
the Biomass Program's multi-year technical plan. A "B" priority is not
meant to imply that the barrier is unimportant. Rather, it reflects the
need to determine where the program can have the greatest impact given
the resources available. The following descriptions summarize the
barriers for chemicals and materials.

***Chemicals and Materials***

The great complexity inherent in the production of chemicals and
materials from petrochemical or biomass-based feedstocks accurately
reflects the nature of the chemical and bioprocessing industries and
often technology development can address multiple needs The nature of
the chemical and bio-processing industries is reflected in the
complexity of the chemicals and materials category of Products core R&D.
These industries employ multiple technologies for multiple products. The
figure below depicts this diversity. In the area of transportation
fuels, several technologies may be used to produce a limited number of
products such as bio-ethanol, biodiesel, etc. In chemicals and
materials, a single core technology will lead to a diverse set of
products. This is a change in past program strategy for chemicals and
materials by moving to a technology based strategy as opposed to a
product by product development approach

**Opportunity for Broad Applicability of Technology Development in
Products**

Hence R&D can involve single, broadly applicable technologies for the
production of several different chemicals or materials. The program
acknowledges this fundamental difference in portfolio segments and has
designed its R&D approach accordingly. Historically, the chemicals and
materials component of the Office of Biomass Program (OBP) involved the
development of a single product approach, which was valuable for
focusing on near-term applications. Now there is a need for both the
single products approach and one that addresses the broader needs of
converting biomass-based raw materials into intermediate or end-use
chemicals and materials. Of the broad Tier 3 barrier areas and the
prioritized specific technical needs within these areas, catalysis,
bio-catalysis, and separations comprise the major emphases for this
MYTP.

Within this context, the following three broad technical barrier areas
comprise the areas of greatest interest over the next 3-5 years.

**Technical areas:**

**1) Catalysis**. Improved chemical catalysts, both homogeneous and
heterogeneous, are of great importance in development of the
biorefinery. More than 85% of all chemical processes within a
petrochemical refinery depend on some form of catalysis, and it is
entirely reasonable to assume that the biorefinery will also benefit
greatly from catalytic processes tailored for the unique structural
features present in biomass. The Office of the Biomass program expects
broad program value through the development of catalytic processes for
biomass components (particularly sugars and oils) exhibiting long
lifetimes, high selectivity, tolerance to any inhibitory components, and
the ability to operate under mild conditions. The applicability of these
technologies to lignin processing augments the value of the technology
to biorefinery applications. There is a significant body of knowledge in
conversion of syngas to products in which OBP chooses not to invest at
this time. However, one area where little effort has been expended but
that could have long-term value is the production of mixed alcohols. The
production of mixed alcohols from syngas suffers from low yields and
poor economics. The ability to employ improved catalysis to make these
processes economically viable for biomass-derived syngas is needed.

The following are type-A barriers within catalysis:

-   Selective bond breaking and bond making processes

-   Selective reductions and oxidations

-   Effective use of inexpensive oxidizing reagents (O­­~2~, air, HOOH)

-   Catalysts that operate in aqueous systems

-   Selective dehydrations and dehydroxylations

The following are type-B barriers within catalysis:

-   Lignin conversion catalysts

-   New reaction media (e. g., ionic liquids)

-   Upgrading of syngas

**2) Biocatalysis**. Improved microbial strains (both aerobic and
anaerobic) and enzymes (oxidoreductases, hydrolases, isomerases, lyases,
transferases, and ligases) are needed to selectively produce a wide
range of value-added products from biorefinery platform intermediates
(carbohydrates, oils) and lignin fractionation products. Technical
challenges include developing microbial or enzymatic systems with
increased selectivity and microbial strains with broad substrate
specificity particularly for pentose or pentose-hexose mixtures. Another
barrier is the ability of microbial or enzymatic systems to maintain
robustness in the presence of inhibitors or end-product inhibition and
operating environments (pH, gas-phase, organic solvents, etc.) designed
for easier introduction of substrates or separation of products. In
addition, production economics are improved if production strains can
directly utilize sugar oligomers and/or cellulose, or can fix carbon
dioxide when making molecules containing 4 or more carbon atoms. The
applicability of these technologies to lignin processing augments the
value of the technology to biorefinery applications. Unconventional
bioprocessing, such as syngas fermentations or enzymes operating in
organic solvents, etc., provides some opportunities for production of
building blocks and products. Current technology for biochemical
conversions of synthesis gas into chemicals and fuels is insufficiently
developed and R&D in that area may provide potential new routes to
chemicals and fuels.

The following are type-A barriers within biocatalysis:

-   Pentose or simultaneous pentose/hexose utilization

-   Low pH and inhibitor tolerance

-   Productivity

-   Syngas tolerant bioprocessing

The following are type-B barriers within biocatalysis:

-   Improved microbial strains for both sugars and lignin (via advanced
    metabolic engineering)

-   Novel reactor design

-   Efficient cell immobilization

-   Use of oligomeric sugars

**3.) Separations**. Separations are area of continuing importance that
crosscuts several areas of the program including processing of sugars
and products from existing processes (corn and dry wet mills, pulp and
paper mills, seed oil processes, etc.). Technology progress is
particularly needed in process streams resulting from primary
fractionation of lignocellulosic biomass. Separations are also needed to
improve upstream fractionation for product recovery, to facilitate
catalysis, and to reduce the cost of downstream recovery and
purification. Separations that can be combined with catalytic or
biocatalytic processes, or that exhibit high energy efficiency and low
capital cost are needed. The following are type-A barriers within
separations:

-   Reactive separations

-   Compound specific separations

The following barrier is a type-B barrier:

-   Advanced solid-liquid processes

Other technology barrier areas are identified within the MYTP[^1] that
are not within the scope of the technical approach of the Products Core
R&D section of the MYTP largely due to the limited resources available.
The MYTP outlines these in more detail. It is acknowledged that they are
also important components of any biorefinery operation producing
products and fuels. Future efforts within Office of Biomass Programs
(OBP) are intended to permit evaluations all aspects of process and
system integration.

**APPENDIX E -- Reporting Requirements: DOE form 4600.2**

Top of Form

  -----------------------------------------------------------------------
  **Progress Report**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- -----------------------------------------------------------------
  Required                A                       F                       Y                       S                       Q                       Special Instructions

  ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image2.wmf)   Reports Products must be submitted with appropriate DOE F 241
                                                                                                                                                  forms available at
                                                                                                                                                  [http://procurement.go.doe.gov](http://procurement.go.doe.gov/)
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- -----------------------------------------------------------------

  -----------------------------------------------------------------------
  **Special Status Report**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- -----------------------------------------------------------------
  Required                A                       F                       Y                       S                       Q                       Special Instructions

  ![](media/image2.wmf)   ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   Reports Products must be submitted with appropriate DOE F 241
                                                                                                                                                  forms available at
                                                                                                                                                  [http://procurement.go.doe.gov](http://procurement.go.doe.gov/)
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- -----------------------------------------------------------------

  -----------------------------------------------------------------------
  **SCIENTIFIC/TECHNICAL REPORTING**

  -----------------------------------------------------------------------

  -----------------------------------------------------------------------
  **Final Scientific/Technical Report**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------------------------------------------------------------------------- ----------------------------------------
  Required                A                       F                       Y                       S                       Q                       Form                                                                             

  ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)    [DOE F                                                                          
                                                                                                                                                  241.3](http://procurement.go.doe.gov/Forms/By Type/DOE Forms/DOE F 241-3.doc)   
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------------------------------------------------------------------------- ----------------------------------------

  -----------------------------------------------------------------------
  **Conference papers/proceedings**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------------------------------------------------------------------------- ----------------------------------------
  Required                A                       F                       Y                       S                       Q                       Form                                                                             

  ![](media/image2.wmf)   ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)    [DOE F                                                                          
                                                                                                                                                  241.3](http://procurement.go.doe.gov/Forms/By Type/DOE Forms/DOE F 241-3.doc)   
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------------------------------------------------------------------------- ----------------------------------------

  -----------------------------------------------------------------------
  **Software/Manual**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------------------------------------------------------- ----------------------------------------
  Required                A                       F                       Y                       S                       Q                       Forms                                                          

  ![](media/image2.wmf)   ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)    [DOE F                                                        
                                                                                                                                                  241.4](http://procurement.go.doe.gov/Forms/Forms Index.htm)   
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------------------------------------------------------- ----------------------------------------

  -----------------------------------------------------------------------
  **Other (see special instructions)**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------------------------------------------------------------------------- -----------------------------------------
  Required                A                       F                       Y                       S                       Q                       Form                                                                            Special Instructions

  ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)    [DOE F                                                                         
                                                                                                                                                  241.3](http://procurement.go.doe.gov/Forms/By Type/DOE Forms/DOE F 241-3.doc)   
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------------------------------------------------------------------------- -----------------------------------------

  -----------------------------------------------------------------------
  **FINANCIAL REPORTING  **

  -----------------------------------------------------------------------

  -----------------------------------------------------------------------
  **Financial Status Report (long form)**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ---------------------------------------------------------------------------------- ----------------------------------------
  Required                A                       F                       Y                       S                       Q                       Forms                                                                              

  ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image2.wmf)    [SF-269](http://procurement.go.doe.gov/Forms/By Type/Standard Forms/SF-269.doc)    
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ---------------------------------------------------------------------------------- ----------------------------------------

  -----------------------------------------------------------------------
  **Financial Status Report (short form)**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------------------------------------------------------------------------------ ----------------------------------------
  Required                A                       F                       Y                       S                       Q                       Forms                                                                                

  ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)    [SF-269A](http://procurement.go.doe.gov/Forms/By Type/Standard Forms/SF-269A.doc)    
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------------------------------------------------------------------------------ ----------------------------------------

  -----------------------------------------------------------------------
  **Federal Cash Transactions Report**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ---------------------------------------------------------------------------------- ----------------------------------------
  Required                A                       F                       Y                       S                       Q                       Forms                                                                              

  ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image2.wmf)    [SF-272](http://procurement.go.doe.gov/Forms/By Type/Standard Forms/SF-272.doc)    
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ---------------------------------------------------------------------------------- ----------------------------------------

  -----------------------------------------------------------------------
  **CLOSEOUT REPORTING**

  -----------------------------------------------------------------------

  -----------------------------------------------------------------------
  **Final Invention and Patent Report**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------ ----------------------------------------
  Required                A                       F                       Y                       S                       Q                                    

  ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)                 
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------ ----------------------------------------

  -----------------------------------------------------------------------
  **Property Cerification**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------ ----------------------------------------
  Required                A                       F                       Y                       S                       Q                                    

  ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)                 
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ------------ ----------------------------------------

  -----------------------------------------------------------------------
  **Other (Final Narrative Report)**

  -----------------------------------------------------------------------

  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------- -----------------------------------------
  Required                A                       F                       Y                       S                       Q                                   Special Instructions

  ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)               
  ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------- -----------------------------------------

  -----------------------------------------------------------------------
  **OTHER REPORTING**

  -----------------------------------------------------------------------

  -----------------------------------------------------------------------
  **Other (see special instructions)**

  -----------------------------------------------------------------------

  ------------------------ ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------- -----------------------------------------
  Required                 A                       F                       Y                       S                       Q                       Forms       Special Instructions

  ![](media/image2.wmf)    ![](media/image2.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)   ![](media/image3.wmf)               
  ------------------------ ----------------------- ----------------------- ----------------------- ----------------------- ----------------------- ----------- -----------------------------------------

Bottom of Form

**{To add another attachment:**

-   Go to "Insert" "Break" "Section break types" click "Next page"
    "Okay"

-   Import/copy/type your attachment text

-   Double-click on the page number at the bottom

    -   Click on the 3^rd^ icon (Format page number)

    -   Select "Start at" and set the number to 1

    -   Click on "Close"

-   Go to the end of the Table of Contents (page 3) and add the
    Attachment and title in the text box provided.}

[^1]: Materials science, subprocess integration, physical/chemical
    analysis, informational tools, etc.