![](media/image1.emf)

SOLICITATION FOR FINANCIAL

ASSISTANCE APPLICATIONS

NO. DE-SC02-03CH11137

RESEARCH AND DEVELOPMENT FOR FUEL CELLS FOR STATIONARY

AND

AUTOMOTIVE APPLICATIONS

CONTACT: NADINE S. KIJAK

TELEPHONE NO.: (630) 252-2508

FAX NO.: (630) 252-5045

E-MAIL: NADINE.KIJAK@CH.DOE.GOV

ISSUING OFFICE: U. S. DEPARTMENT OF ENERGY

> CHICAGO OPERATIONS OFFICE
>
> 9800 SOUTH CASS AVENUE
>
> ARGONNE, IL 60439-4899

## TABLE OF CONTENTS

  ----------------------------------------------------------- ------------------
  [Section]{.underline}                                       [Page
                                                              No.]{.underline}

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

1\. Program Description

  ------ ------------------------------------------------------------------------------------------------------------- -------
  1.1    ProgramOverview\...\...\...\...\.......................................\...\...\.....                         1

  1.2    Scope of                                                                                                      1
         Work...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...   

  1.3    Reporting Requirements/Deliverables\...\...\...\...\...\...\...\...\...\...\...\...\...\....                  10

  1.4    Type of Award Instrument\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...      11

  1.5    Number of Anticipated Awards and Estimated Funding\......\...\.....                                           11

  1.6    Anticipated Selection and Award Dates\...\...\...\...\...\...\...\........\...\...\....                       12
  ------ ------------------------------------------------------------------------------------------------------------- -------

2\. Application Requirements

  ------ -------------------------------------------------------------------------------------------------------------- -------
  2.1    Eligibility and Limitations \...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...   12

  2.2    Teaming....................................................................                                    12

  2.3    Laboratory Participation\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....  13

  2.4    Cost                                                                                                           13
         Sharing\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\................\...   

  2.5    Qualification                                                                                                  15
         Criteria\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....          

  2.6    Government Furnished Property\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....             16
  ------ -------------------------------------------------------------------------------------------------------------- -------

3\. Application Instructions and Format

  ------ ------------------------------------------------------------------------------------------------------------------------------- -------
  3.1    Application Submission Costs\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.........                              16

  3.2    Overview\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....   16

  3.3    IIPS Application Preparation Instructions ...........................                                                           17

  3.4    General Instructions\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.....              17

  3.5    File Format ...............................................................                                                     18

  3.6    Application Format\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...              18
  ------ ------------------------------------------------------------------------------------------------------------------------------- -------

4\. Method of Selection and Evaluation Criteria

  ------ ---------------------------------------------------------------------------------------------------------------------------- -------
  4.1    Overview\...\...\...\...\...\...\...\...\...\...\...\...\...\........\...\...\...\...\...\...\...\...\...\...\...\...\....   27

  4.2    Non-Government Reviewers...........................................                                                          28

  4.3    Technical Evaluation Criteria and Weights........................\...                                                        28

  4.4    Cost Evaluation ..........................................................                                                   30

  4.5    Business Evaluation\...\...\...\...\...\...\...\...\...\...\...\...\...........................                              30

  4.6    Program Policy Factors\...\...\...\...\...\...\...\...\...\..............................                                    30

  4.7    Debriefings................................................................                                                  31
  ------ ---------------------------------------------------------------------------------------------------------------------------- -------

i

  ---------------------------------------------------------- ------------------
  [Section]{.underline}                                      [Page
                                                             No.]{.underline}

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

5\. Intellectual Property Provisions

  ------ --------------------------------------------------------------------------------------------------------------------- --------
  5.1    Right to Request Patent Waiver\...\...\...\...\...\...\......\...\...\...\...\...\...\...\...\....                    31

  5.2    Advance Waiver of Patent Rights\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.....                     31

  5.3    Proprietary Data/Information\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...              32

  5.4    Patent                                                                                                                33
         Rights\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....   

  5.5    Rights in Technical Data\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....         33
  ------ --------------------------------------------------------------------------------------------------------------------- --------

6\. Submission of Applications

  ------ -------------------------------------------------------------------------------------------------------------------- -------
  6.1    Electronic Submission\...\...\...\...\...\..........................................                                 33

  6.2    Time, Date and Place Applications are Due\...\...\...\...\...\...\...\...\...\...\...\...                            33

  6.3    Questions Regarding Solicitation................\...\......................                                          34

  6.4    Amendments to Solicitation.............................................                                              34

  6.5    Late Applications, Amendments and Withdrawals of Applications                                                        34

  6.6    Electronic Signature\...\...\...................................................                                     35

  6.7    IIPS                                                                                                                 35
         Registration\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.....   

  6.8    Submitting Applications\..................................................                                           35

  6.9    Questions or Problems with Transmission............................                                                  36

  6.10   Revisions, Deletions, and Withdrawal of Applications..............                                                   37

  6.11   Administrative Issues.....................................................                                           37
  ------ -------------------------------------------------------------------------------------------------------------------- -------

7\. Regulatory Information

+-----+-------------------------------------------------------+-------+
| 7.1 | DOE Minority Economic Impact Program                  | 37    |
|     | \...\...\...\...\...\...\...\.........\...            |       |
+-----+-------------------------------------------------------+-------+
| 7.2 | Catalog of Federal Domestic                           | 37    |
|     | Ass                                                   |       |
|     | istance\...\...\...\...\...\...\...\.............\... |       |
+-----+-------------------------------------------------------+-------+
| 7.3 | Intergovernmental                                     | 37    |
|     | Review\...\...\...\...\...\...\...                    |       |
|     | \...\...\...\...\...\...\...\...\...\...\...\...\.... |       |
+-----+-------------------------------------------------------+-------+
| 7.4 | Applicable                                            | 38    |
|     | Regulations\...\...\...\...\...\...\...\...\..        |       |
|     | .\...\...\...\...\...\...\...\...\...\...\...\...\... |       |
+-----+-------------------------------------------------------+-------+
| 7.5 | Statutory                                             | 38    |
|     | Authority\...\...\...\...\...\...\...\...\...\...\..  |       |
|     | .\...\...\...\...\...\...\...\...\...\...\...\...\... |       |
+-----+-------------------------------------------------------+-------+
| 7.6 | Simpson-Craig                                         | 38    |
|     | Amendment\...\...\...\...\...\...\                    |       |
|     | ...\...\...\...\...\...\...\...\...\...\...\...\..... |       |
+-----+-------------------------------------------------------+-------+
| 7.7 | Nondiscrimination in Federally Assisted               | 38    |
|     | Programs.................                             |       |
+-----+-------------------------------------------------------+-------+
| 7.8 | Notice Regarding Eligible/Ineligible                  | 38    |
|     | Activities......................                      |       |
| 7.9 |                                                       | 39    |
|     | Lobbying Restrictions (Energy and Water               |       |
|     | Appropriations)........                               |       |
+-----+-------------------------------------------------------+-------+
| 7   | Lobby Restrictions (Interior                          | 39    |
| .10 | Act)......................................            |       |
+-----+-------------------------------------------------------+-------+
| 7   | Notice Regarding the Purchase of American-Made        | 39    |
| .11 | Equipment                                             |       |
|     |                                                       |       |
|     | and Products -- Sense of                              |       |
|     | Congress.....................................         |       |
+-----+-------------------------------------------------------+-------+

7.12 Compliance with Buy American Act...................................
39

8\. List of
Appendices.......................................................................40

ii

January 24, 2003

To: Prospective Applicants

SUBJECT: SOLICITATION FOR FINANCIAL ASSISTANCE APPLICATIONS NO.

> DE-SC02-03CH11137 RESEARCH AND DEVELOPMENT FOR FUEL
>
> CELLS FOR STATIONARY AND AUTOMOTIVE APPLICATIONS

Executive Summary Letter

This letter is a summary of the salient elements of this Solicitation
for Financial Assistance Applications (SFAA), but is not an integral
part of the SFAA. Should there be any conflict between this Executive
Summary Letter and the SFAA, the data and information in the SFAA shall
prevail.

The purpose of this solicitation is to invite interested parties to
submit an application for cost-shared cooperative agreements with the
Department of Energy (DOE) for research and development of technologies
that will enhance research and development in fuel cell technology.
Responsive projects will cross-cut several technological and
methodological roadmap areas including, but not limited to, the
development of a stationary polymer electrolyte membrane (PEM) fuel cell
power system for buildings development of a back-up fuel cell system;
PEM stack durability; development of materials for high temperature
membranes; reduction of membrane cost; fuel processing; water and
thermal management; fuel cell demonstration; platinum recycling;
development of non-precious metal catalysts; and a fuel cell economic
analysis.

The Scope of Work for this solicitation includes 9 Topic areas,
described fully in Section 1.2,

[Scope of Work]{.underline} of this SFAA as follows:

Topic 1 Development of Stationary PEM Fuel Cell Power Systems for
Buildings

Topic 2 Back-up/Peak-Shaving Fuel Cell System

Topic 3 PEM Stack Durability, Membrane Cost and High Temperature
Membranes

for Stationary and Transportation Applications

> Topic 4 Fuel Processing Technology for Stationary Applications
>
> Topic 5 Fuel Cell System Demonstration
>
> Topic 6 Platinum Recycling Technology Development
>
> Topic 7 Non-Precious Metal Catalysts
>
> Topic 8 Thermal and Water Management Technologies
>
> Topic 9 Economic Analysis of Polymer Electrolyte Membrane Fuel Cell
> (PEMFC) Systems

iii

A diversity of team members is preferred to completely represent all
affected stakeholders in the technical Topic area. This SFAA contains
two Qualification Criteria which must be met in order for an application
to be evaluated and considered for award:

> 1\. Teaming -- In Topics 1, 2, 3, and 5, specific teaming arrangements
> are required
>
> by the specific Topic area. (See Section 2.2, [Teaming]{.underline} of
> this solicitation).
>
> 2\. Cost Sharing -- Applicants are required to cost share varying
> amounts.
>
> (See Section 2.4, [Cost Sharing]{.underline}). Topic 9 does not
> require cost sharing
>
> (although the applicant is allowed to cost share, if desired).

To be eligible for award under this solicitation, applicants will be
required to contribute a non-federal cost share of 20%-50% of the yearly
project costs to be incurred under the proposed project depending upon
specific Topic area selected. Prior costs incurred (i.e., costs to
conduct prior research or development, patents, or to develop technical
reports under previous research efforts) should not be proposed and will
not be considered as cost share. Fee or profit will not be paid under
any award resulting from this solicitation and foregone fee or profit
will not be accepted as cost sharing.

Applicants are advised that the stated minimum cost sharing requirements
will not be waived or adjusted during the negotiation of any award
resulting from this solicitation. An application that fails to meet the
minimum cost sharing requirements of this solicitation will not be
considered for award. (See Section 2.4, [Cost Sharing]{.underline}.)

Awards under this solicitation will be cooperative agreements with a
term of up to five years. Subject to the availability of funds, DOE is
planning to allocate approximately \$7 million in fiscal year 2003 for
the selected projects. DOE estimates that up to 20 projects may be
selected for cost shared cooperative agreements. Subject to availability
of funds, total estimated Government funding for the solicitation is
approximately \$70 million for the maximum five-year period.

Applications submitted by or on behalf of (1) another Federal agency;
(2) a Federally Funded-Research and Development Center sponsored by
another Federal agency; (3) a DOE Laboratory; or (4) an application
which includes DOE Laboratory participation, will not be eligible for an
award under this solicitation. Applicants are allowed to submit only one
application per Topic area. A single application covering more than one
Topic area will not be evaluated. However, applicants are permitted to
propose under more than one Topic area.

iv

This solicitation may state "Technical Application", "Technical
Proposal", "Business Application", "Business Proposal", "Cost
Application", or "Cost Proposal". For purposes of this solicitation, the
terms are used interchangeably. Generally, "proposals" are submitted in
response to Requests for Proposals (RFP), where the resulting agreement
is a contract. "Applications" are submitted in response to SFAAs, with
the resulting agreements being grants or cooperative agreements. Any
references in this solicitation to "proposals", particularly in the
Industry Interactive Procurement System (IIPS) information sections,
denote "applications".

This SFAA will be governed by the DOE Financial Assistance Regulations,
codified at 10 CFR Part 600; guidance documents can be accessed on the
DOE Financial Assistance Home Page at: http://www.access.gpo.gov/ecfr/

Instructions for submission of applications are found in Section 6,
[Submission of Applications]{.underline}.

Any questions concerning this solicitation must be submitted through the
\"Submit Question\" feature of the IIPS. See Section 3.3, [Introduction
to IIPS Application Preparation Instructions]{.underline}, and Section
6.3, [Questions Regarding Solicitation]{.underline}, for instructions
regarding IIPS and submitting questions.

Sincerely,

Nadine S. Kijak, Procurement Member

Financial Assistance Solicitation

v

**1. [Program Description]{.underline}**

**1.1 Program Overview**

> The purpose of this solicitation is to invite interested parties to
> submit an application for cost-shared cooperative agreements with the
> Department of Energy (DOE) for research and development of
> technologies that will enhance research and development in fuel cell
> technology. The DOE Office of Hydrogen, Fuel Cells and Infrastructure
> Technologies seeks industry cost-shared projects that address research
> needs in:
>
> Topic 1 Development of Stationary Polymer Electrolyte Membrane Fuel
> Cell
>
> (PEMFC) Power Systems for Buildings
>
> Topic 2 Back-up/Peak-Shaving Fuel Cell System
>
> Topic 3 PEM Stack Durability, Membrane Cost and High Temperature
> Membranes
>
> for Stationary and Transportation Applications
>
> Topic 4 Fuel Processing Technology for Stationary Applications
>
> Topic 5 Fuel Cell System Demonstration
>
> Topic 6 Platinum Recycling Technology Development
>
> Topic 7 Non-Precious Metal Catalysts
>
> Topic 8 Thermal and Water Management Technologies
>
> Topic 9 Economic Analysis of PEMFC Systems

1.2 Scope of Work

> Topic 1. Development of a Stationary Polymer Electrolyte Membrane
> (PEM) Fuel Cell Power Systems for Buildings
>
> The combined residential and commercial Buildings sector accounts for
> approximately 36% of the U.S. primary energy consumption and between
> 30% and 40% of all airborne emissions. These factors are the driving
> force behind DOE's efforts to develop high efficiency PEM fuel cell
> power systems as an alternative power source to grid-based electricity
> for buildings. The Buildings sector provides a diverse set of
> application requirements over a wide power range that can be met by
> PEM fuel cell systems.
>
> System Definition: DOE seeks applications from qualified developers of
> PEM fuel cell power systems to develop and test a stationary fuel cell
> power system for a market-driven building application that
> simultaneously addresses DOE priorities of lowering energy consumption
> and emissions. The applicant will design and develop an integrated PEM
> fuel cell system with a fuel processor designed to operate on natural
> gas as the primary fuel source. Secondary fuels may also be
> considered. The applicant will specify the secondary fuel considered
> and justify its use in the fuel cell power system and in the selected
> commercial market. Specific to the fuel cell and the production of
> energy, the system should include all the necessary air, fuel,
> thermal, and power management systems. Provision for cost-effective
> thermal recovery and fuel cell system integration with the building
> infrastructure is an allowable option under this work.
>
> Definition: Fuel-cell System Efficiency is defined as direct current
> (DC) power at the electrodes divided by the total fuel metered into
> the fuel-cell system (based on lower heating value). If the total fuel
> feed is impacted by non-fuel thermal streams flowing into the
> fuel-cell system from an integrated building, then the amount of
> energy provided by such streams will be offset by any losses in power
> conversion equipment (i.e. lower power out).
>
> Objectives: The fuel-cell system efficiency is expected to be in the
> range of 35-50%, depending on size, fuel, and technology used. Other
> objectives are:

-   Fuel cell power ratings commensurate with targeted building markets

-   High potential magnitude of the benefits of PEM fuel cell power
    systems in the targeted building application in terms of:

    -   Reducing energy consumption

    -   Reducing emissions

    -   Economic benefit to the consumer

-   Projected cost target of \$1500/kW, based on potential market size

-   Targeted design lifetime of approximately 40,000 hours with \<10%
    degradation

-   Potential of early market entry within the next 3-5 years

-   Resolution of the technical and cost barriers that still need to be
    addressed

-   Resolution of interconnectivity (to the grid) issues

-   Establish quality of the power produced

-   The development of fuel-cell systems commensurate with the potential
    of cost-effective thermal energy to meet some or all of the
    building\'s heating/cooling requirements.

> The applicant will specify both the targeted-market and the proposed
> system size. The application must justify the proposed targeted market
> application (residential, hotel, hospital, shopping center, etc) and
> fuel cell power rating in terms of market viability and impacting the
> objective of improving energy efficiency and reducing emissions in the
> Buildings sector. The applicant will show the potential of the
> technology to meet the durability requirements of the selected target
> building market. The applicant will address issues of market size and
> the likely time-scale for market penetration. Applicants will strike
> the best balance for fuel cell applications that can achieve near-term
> market success while achieving program objectives. In addition, the
> application must specify the technical targets that its system will be
> measured against.
>
> Task 1: Feasibility Engineering and Design: The applicant will provide
> all labor, materials, and services to do development, engineering, and
> design of the fuel-cell system including building integration. Testing
> to establish and confirm basic parameters and understandings will be
> done. Such work will confirm the feasibility and cost of the system.
>
> Task 2: Final Engineering and Design: The applicant will provide all
> labor, materials, and services leading to equipment specifications,
> operating parameters, and manufacturing and construction drawings.
>
> Task 3: Construction and Testing: The applicant will provide all
> labor, materials, and services to acquire all equipment and to
> construct the fuel-cell system. Subsystem testing will be conducted as
> appropriate, and the operation of the integrated system will be
> confirmed.
>
> Task 4: Post Development Field Evaluation: Operation of the system by
> the development team in a post development field evaluation period is
> required as part of the award. This operation can include up to three
> replicates of the developed system. Costs will include, but not be
> limited to monitoring, maintenance and an option, if needed, for site
> removal/restoration. (For rules regarding the cost of removing
> Government property and the restoration or rehabilitation caused by
> such removal, see FAR 31.205-31. **Note:** for systems purchased with
> applicant cost share funds, see 2.4, [Cost Sharing]{.underline}.) The
> applicant will be responsible for siting, permitting and interconnect
> issues. At a minimum, the parameters which shall be monitored include
> total operating hours, fuel input, total kW hours (kWh) produced,
> availability, outages and duration (start/stop events with associated
> dates and times), maximum kW produced, outdoor ambient temperature,
> and total heat recovered (only if cogeneration is present).
>
> Before proceeding into the field evaluation, the applicant shall
> complete a coordinated plan for the demonstration that incorporates
> the perspectives of all relevant parties, including the host site. The
> plan will also assign responsibilities on all matters necessary to
> execute the demonstration plan, such as business arrangements, balance
> of plant equipment, site construction, and site integration, periodic
> inspections of hardware, and visitation of third parties, data
> acquisition, and obtaining environmental, construction, operating and
> other permits.
>
> The successful demonstration at the host site will be expected to
> further the resolution of typical barriers (such as technical,
> environmental, industry acceptance, utility interconnection studies,
> and control issues related to an interconnection to the existing local
> utility transmission and distribution grid) that impede the widespread
> adoption of distributed generation. In this regard, all hours of
> operation accumulated under the demonstration shall be gained while
> generating electric power. For this Topic, at least one partner of the
> multi-partner team is required to be an entity or entities with
> expertise in the area of grid interconnectivity such as a utility.
> (See 2.2, [Teaming]{.underline}.)
>
> DOE anticipates that 1 to 4 awards will be made in this Topic area.
> The total funding available for all awards under this Topic is
> approximately \$30 million, including the applicant required cost
> share of 35%. In order to maximize the available dollars, DOE is
> requiring cost sharing higher than the minimum set forth by EPACT for
> the R&D under this Topic. Project durations of 3 to 5 years are
> expected.
>
> Topic 2. Back-up/Peak-Shaving Fuel Cell System
>
> Fuel cell systems in the approximate range of 200 kW operating on
> natural gas are already being used to provide efficient, clean,
> reliable, and high quality back up power for commercial and industrial
> operations seeking to eliminate the lost time, revenue, and
> inconvenience to customers that can occur during grid power outages.
> Fuel cell systems offer the benefits of high electrical efficiency,
> very low emissions, and low noise, which make them a desirable
> alternative to conventional back-up power systems.
>
> Smaller fuel cells systems in the range of 2-25 kW are also being
> considered for a variety of backup and peak shaving power
> applications, including cellular towers and switching stations in the
> telecommunications industry, computer networks, business offices, and
> building elevators. These premium-power applications offer the
> potential for early market entry of fuel cell systems due to the low
> power requirements and less stringent cost and durability targets.
>
> To support the development of these smaller, premium-power
> applications for fuel cells, applications are sought to develop,
> build, and test three identical fuel cell back-up power systems in the
> power range of approximately 2kW to approximately 25kW (net). System 1
> will be field tested at a host site. System 2 and System 3 will be
> delivered to an independent laboratory site for testing. In this
> Topic, developers may consider systems based on either PEM or solid
> oxide fuel cells.

The application will include:

-   Justifying the targeted market application (market size,
    compatibility with the performance capabilities of the selected fuel
    cell system, etc.)

-   Defining technical barriers that need to be addressed specific to
    the intended application and identification of key technical targets
    (i.e., durability, cost, and efficiency.)

-   Teaming with a utility to address interconnectivity, if the system
    is to be connected to the grid

-   Using stored hydrogen or other available fuel.

> Teaming with the host organization (or customer) for the field test,
> such as a telecommunications company, during all steps of the project
> is required to ensure that the back-up power system meets the
> performance capabilities required by the targeted market.
>
> DOE anticipates making 1 to 2 awards with the total funding available
> for all awards expected to be approximately \$12 million, including
> the applicant required cost share of 50%. Project durations of 2 to 3
> years are expected.
>
> Topic 3. PEM Stack Durability, Membrane Cost and High Temperature
> Membranes for Stationary and Transportation Applications
>
> Applications are sought that address critical limitations to
> conventional membrane technology which include durability, cost and
> the need to operate at higher temperature. Applicants may address one
> or more of the research areas detailed below. Go/No-Go decision points
> for research in these areas may be necessary and should be utilized
> when an application includes fundamental materials development work
> that must succeed before proceeding to membrane electrode assembly
> (MEA) and stack testing.
>
> 1\) Durability of the PEMs and electrocatalysts is a major technical
> barrier for stationary and transportation applications of PEM fuel
> cells where the expected stack-operating design lifetime is up to
> 40,000 hours. Applications are being solicited to:

-   conduct research to elucidate failure mechanisms and develop
    technologies to meet the design lifetime requirement (design 40,000
    hours operation with \<10% degradation in performance for stationary
    applications)

-   research, develop and/or demonstrate membrane/catalyst systems that
    address transportation and/or stationary applications with a design
    lifetime target of 40,000 hours

> Candidate MEA systems must be tested in short stacks with an active
> cell area of approximately 250 cm^2^. Durability testing of the short
> stacks may be conducted with actual (preferred) or synthetic reformate
> with an approximate dry composition of 40% H~2~, 21% CO~2~, 39% N~2~,
> and 10-50 ppm CO as the fuel. Alternate compositions are allowable
> with appropriate justification. The development of
> accelerated/short-term test procedures that could be used to determine
> the long-term durability of the short stacks under test would be
> extremely desirable in shortening the time required to test candidate
> systems. Applicants will discuss their understanding of the materials
> and operating factors that they understand to be the key factors (and
> their relative importance) that need to be addressed during the MEA
> development and the stack testing activities of the program. Extended
> testing (\>2000 testing hours) should be conducted to characterize
> life expectancy and performance degradation.
>
> 2\) Development of alternative high-temperature polymeric membrane
> materials with performance approaching or exceeding that of Nafion^TM^
> is desired. High temperature membranes are expected to ease or
> eliminate the need for membrane water management and CO management,
> and are expected to improve thermal management. Higher temperature
> operation will also aid in
>
> achieving success in combined heating and power applications for
> stationary fuel cells. The membranes should have operating
> temperatures \>120^○^C, an area specific resistance less than
> 0.1 ohm·cm^2^, and less than 1% cross-over of gases. MEA's developed
> under this program will be assembled and characterized in small scale
> (approximately 50 cm^2^) single-cell and full scale (approximately
> 250 cm^2^) short stack tests. Applicants should show that the membrane
> cost can be projected to meet the high-volume (500,000 fuel cell
> stacks/year) MEA cost target of \$10/kW for transportation
> applications.   Applicants should show that the membrane cost can be
> projected to meet the stationary system cost goal of \<\$1500/kW for
> high volume production of 1,000 stacks per year. Applications should
> address achieving requirements for both transportation and stationary
> applications simultaneously: operating pressure from near ambient to 3
> atm., a design lifetime of 40,000 hours, and a cost consistent with
> the targets outlined above.
>
> Under this Topic teaming of a university, MEA manufacturer and a fuel
> cell
>
> manufacturer is required. The university team partner should have a
> high
>
> degree of polymer expertise and serve a primary function of screening
> and/or
>
> developing appropriate high temperature materials for membrane
> applications.
>
> DOE anticipates making 2 to 3 awards and total funding available for
> all
>
> awards is approximately \$18 million, including the applicant required
> cost
>
> share of 20%. Project durations of about 3 years are expected.

Topic 4. Fuel Processing Technology for Stationary Applications

> Fuel processing continues to be a major technical issue for the
> application of PEM fuel cell systems operating on fuels other than
> hydrogen. For stationary applications, innovative fuel processing
> technologies capable of reforming natural gas and propane are of
> primary interest. Priority fuel processing issues are cost,
> reliability, and durability. Reductions in size and weight, although
> of secondary importance for stationary applications, are expected to
> contribute to cost reductions. Fuel processing technologies are sought
> that offer significant improvements in one or more of the following
> areas: size, weight, reactor operating space velocity and cost. In
> addition to the R&D areas just described, the following fuel
> processing technologies that improve other aspects of fuel cell
> processor performance are sought:

-   Start up and transient operation: Current start-up times range from
    several minutes to half an hour, which would be a barrier to
    commercialization of the technology for some stationary
    applications. The applicant will describe the current state of the
    technology and the reduction and start-up time that would be
    achieved. Full transient load following operation is also highly
    desirable.

-   Sulfur tolerance and durability: Even the low levels of sulfur in
    natural gas could potentially have a poisoning effect on certain
    fuel processor catalysts and adversely affect system durability. The
    applicant will describe the design and

> development of sulfur tolerant fuel processing systems. Sulfur
> tolerance requirements are dependent on the sulfur level of the fuel
> and fuel processor design, i.e. sulfur removal ahead of the fuel
> processor, after the fuel reformer, between the high- and
> low-temperature water gas shift reactors, or before the CO clean-up
> system.

-   Advanced water-gas shift catalysts and reactor designs: Advanced
    water-gas shift catalysts and/or reactor designs are needed to
    reduce the CO level in the hydrogen-rich reformate. These advanced
    catalysts/designs should also exhibit increased activity/space
    velocity with projected cost savings and reductions in reactor
    volume and weight. A single catalyst bed combining the functions of
    the typical high-temperature and low-temperature shift beds would be
    highly desirable. Shift catalysts and/or the research and
    development of increased sulfur tolerance are also needed to improve
    reliability and durability of the fuel processor.

> The applicant will discuss the potential for competitive cost and
> performance of the proposed fuel processing components or subsystems.
> The applicant will demonstrate through hardware testing the following
> goals will be achieved:

-   A fuel processor system energy efficiency of 78% (lower heating
    value of H~2~ out X 0.95/lower heating value of fuel in),

-   \<10 ppm CO in the reformate at steady state and \<100 ppm CO in the
    reformate during transients,

-   \<50 ppb H~2~S in the reformate, and

-   System lifetime durability of \>40,000 hours (through accelerated
    testing or similar means)

> The applicant will offer a deliverable that adequately demonstrates
> their innovation(s), preferably in sub-systems or complete systems of
> approximately 25 to 50 kW (equivalent).
>
> DOE anticipates that 1 to 3 awards will be made under this Topic, with
> total funding of approximately \$15 million including the applicant
> required cost share of 35%. In order to maximize the projected level
> of funding, DOE is requiring cost sharing higher than the minimum set
> forth by EPACT. Project durations of 2 to 4 years are expected.

Topic 5. Fuel Cell System Demonstration

> DOE is interested in supporting the demonstration of stationary fuel
> cell power systems that will require very little development effort
> and can be shown to provide substantial economic payback and
> environmental benefit. Awards made under this topic will not be
> limited to applications of PEM fuel cells. Other types of fuel cells
> may be proposed for system demonstration. The power rating of the fuel
> cell system and the selection of the primary fuel is also left to the
> applicant. The most important consideration under this topic is that
> the proposed application/demonstration is near term and requires
> essentially little or no development effort, and that the benefits
> have a high value. The intent is to
>
> demonstrate the market viability of the proposed fuel cell system and
> help expedite the commercial application of the technology. The
> applicant must also provide convincing arguments and justification for
> the demonstration based on the readiness of the technology for the
> proposed application and the potential energy saved, emissions
> reduced, and economic potential.
>
> For this Topic the applicant is required to team with an entity or
> entities with expertise in the area of grid interconnectivity such as
> a utility to address issues involving interfacing with the grid and to
> further evaluate the potential market readiness of the applicant's
> technology, as well as the potential economic and environmental
> benefits associated with the proposed market application.
>
> DOE anticipates 1 to 2 awards under this Topic, with total funding for
> awards estimated at \$16 million, including the applicant required
> cost share of 50%. Project durations of 2 to 3 years are expected.

Topic 6. Platinum Recycling Technology Development

> Precious metals, primarily platinum and ruthenium are presently
> required for the fuel cell catalysts, and may be required for fuel
> processing catalysts. A DOE funded study is currently underway to
> analyze the current and projected cost and availability of precious
> metals for fuel cells. Key aspects of this study are the analysis of
> present and projected production capability and associated costs, and
> cost impacts of fuel cell precious metal recycling and the effect of
> recycling on supply, production, and economics. The applicant will
> develop a technology for recovering and recycling the platinum metal
> from polymer electrolyte membrane-electrode-assemblies and fuel
> processing catalysts used in the fuel reformer and/or water-gas shift
> reactors. The applicant is expected to provide a sufficiently detailed
> description of the proposed recycling process and an analysis of
> technical and economic viability of the process such that DOE can
> evaluate the relative merits of the application. The first step will
> consist of laboratory investigations and verification of the
> individual unit operations in the overall recycling process. The
> second step of the project is expected to consist of a laboratory
> scale demonstration of the overall process.
>
> DOE anticipates making 1 to 2 awards in this Topic, with funding
> estimated at \$6 million including the applicant required cost share
> of 20%. Project durations of 5 years are expected.

Topic 7. Non-Precious Metal Catalysts

> Precious metal catalysts are currently used on the PEM anode and
> cathode for the electrochemical reactions. The use of these catalysts
> contributes significantly to the overall cost of the fuel cell stack
> as well as the overall system cost. There is also a concern about the
> impact of the wide spread application of PEM fuel cell systems on the
> production capability, reserves, and cost of these precious metal
> catalysts in the future. Hence, the DOE is interested in the
> development and use of non-precious metal catalysts in the PEM fuel
> cell.
>
> The applicant's approach to the development of a non-precious metal
> catalyst must be clearly identified as well as justification of the
> technical and economic viability of the proposed catalyst system. The
> new catalyst system should demonstrate the potential to perform at
> least as good as the conventional precious metal catalysts currently
> in use in MEAs and cost at least 50% less as compared to a target of
> 0.2 g (precious metal loading)/peak kW. Catalyst durability of \>2000
> hours operation with less than 10% power degradation is desired. At
> the end of the project the applicant will be expected to demonstrate
> their non-precious metal catalyst on MEAs in a short stack with full
> plate size (\>200 cm^2^) and deliver to an independent laboratory site
> for evaluation.
>
> DOE anticipates making 1 to 2 awards, with total funding of \$6
> million including the applicant required cost share of 20%. Project
> durations of up to 3 years are expected.
>
> **Topic 8. Thermal and Water Management Technologies**
>
> A technical challenge for fuel cell systems (both automotive and
> stationary applications) is the capacity to reject waste heat from a
> combination of stack inefficiencies and system functions.  Another
> related challenge is that of achieving water management (such as stack
> humidification and condensate water recovery).  Technologies are
> sought that simultaneously address improvement of heat rejection and
> water management systems in PEM fuel cell systems. The development of
> a compact, lightweight water and thermal management subsystem with
> minimal parasitic power consumption is critical to attaining targeted
> overall system power densities and specific power. The water
> management subsystem must supply, store, purify, and control the water
> and process streams to meet the varied needs of the system. System
> components have differing water purity requirements.  In addition, the
> overall subsystem must be water balanced, (i.e. consume no more water
> than is generated by the stack).  Addressing water management duties
> simultaneously with heat rejection technologies may present unique
> size, weight and cost reduction opportunities. Particular emphasis
> should be placed on detailed system modeling and improved design.
>
> Applications are solicited for the design, development, and laboratory
> verification of a new water & thermal management device(s) or
> subsystem for a 50-kW fuel cell power system. The applicants should
> address:

-   Improvement of the effectiveness and compactness of system internal
    heat exchangers and water management devices.  Both internal and
    external heat and mass transfer coefficients of components should be
    increased to the maximum extent possible so that effective heat and
    mass transfer occur at minimum temperature differential and
    concentration potentials.  The goal is to develop low cost, compact,
    but efficient heat and mass transfer devices.

-   Improvement of the humidification process for both the anode gas (in
    those cases where it may be dry and not saturated from the reforming
    process) and cathode gas entering the fuel cell stack.  Different
    fuel cell system configurations may require different levels of
    humidification in each of the streams.  Again novel approaches are
    sought to improve the humidification process that reduces the
    overall energy required to humidify the gases, yet results in the
    adequate humidification for all operating conditions. 
    Humidification should be achieved in a low cost, compact, and
    efficient unit.

> The applicant will propose the work in organized steps with
> appropriate go/no-go milestones and objectives and a total time period
> of 1-3 years.  The first step should be a paper study with appropriate
> detailed modeling. As part of this step, the Applicant should also
> describe the system for which the water and thermal management
> subsystem is being designed and justify the schedule of air and
> water/coolant requirements that will be used for subsystem
> verification over typical operating conditions.
>
> DOE anticipates making 1 to 3 awards with total funding of
> approximately \$3 million including the applicant required share of
> 20%. Project durations of 1 to 3 years are expected.
>
> **Topic 9. Economic Analysis of PEMFC Systems**
>
> The stationary applications for PEM fuel cell systems vary across a
> wide-spectrum of power ranges, including the potential for providing
> primary or back-up power, and the potential to function with or
> without utilization of the thermal energy of the fuel cell for
> combined heat and power (CHP). The economic viability of fuel cell
> systems across this broad spectrum of applications is expected to vary
> just as widely. The applicant will develop a strategy in an action
> plan to assist critical stakeholders such as regional, state and local
> agencies, the fuel cell industry and potential customers. The action
> plan will establish an understanding of

-   fuel cell technology;

-   potential fuel cell capacity (alone and with CHP);

-   the energy market; including higher value market niches where early
    fuel cells might compete and, more broadly, the specific market
    opportunities and potential market size as a function of system cost
    and performance for the full range of current and potential
    stationary building power systems in order to generate a supply
    curve within which fuel cell systems could compete; and

-   potential financial opportunities by state and by region (Midwest
    for example) for net metering, tax incentives (personal, corporate,
    sales and property), capital cost buy-down programs, state loan
    programs, state grant programs, other state, local and utility
    incentive programs, emission credits, clean energy property tax
    exemptions, etc.

The action plan also will identify the following fuel cell educational
resources:

-   states;

-   universities;

-   organizations, centers and fuel cell showcase facilities;

-   life cycle cost analysis; and

-   facility energy audits.

In addition, the action plan will identify the following:

-   rules, regulations and policies regarding fuel cells;

-   fuel cells' potential for

    -   enhancing US competitiveness in the power production arena

    -   increasing energy efficiency,

    -   decreasing US dependence on foreign fuel sources,

    -   reducing emissions, and

    -   benefiting the environment;

-   fuel cell economics;

-   programs to promote acceptance and commercialization of fuel cells;
    and

-   related rapidly evolving new technologies and procedures.

> The applicant will help develop and coordinate programs which will
> accomplish the above objectives. The applicant will help educate
> stakeholders and raise awareness regarding the national fuel cell
> program. The applicants' survey and plan will include at a minimum,
> but not be limited to, assessing which stationary/building markets
> have the greatest potential for the application of fuel cells, and
> analyzing the economics of PEM fuel cell systems across a broad range
> of applications. The applicant also will survey the combined economic
> benefits and synergies of PEM fuel cells serving multiple applications
> such as buildings, transportation, etc. The applicant will be expected
> to look at systems of approximately 5, 20, 100, and 200kW size and
> assess the economic viability of these systems operated as electrical
> generators alone, or as CHP systems in which the PEM fuel cell is
> capable of operating at 80º or 150ºC. The applicant will be expected
> to consult with a range of fuel cell developers and buildings systems
> manufacturers to determine the types of systems currently under
> development. The applicant will provide as a deliverable a technical
> targets table, including cost, reliability, size, response, and
> emissions, for each application, i.e., distributed, back up,
> peak-shaving, and residential markets. The applicant will also
> provide, for each market application, characterization of electrical
> load versus time. All studies will be available to the public. The
> applicant's survey and plan will detail the above program,
> implementation strategies and financial requirements to achieve
> success.
>
> DOE anticipates making up to 2 awards under this Topic. The total
> funding available is approximately \$6 million for all awards, with a
> project duration of approximately 5 years. The applicant will not be
> expected to cost share to receive an award.

**1.3 Reporting Requirements/Deliverables**

> A. The Reporting Requirements applicable to award(s) resulting from
> this solicitation
>
> are set forth on the Federal Assistance Reporting Checklist (DOE F
> 4600.2),
>
> found under Appendix B.
>
> B. Technical Papers -- Awardees shall write and present a technical
> paper related to work performed under an award resulting from this
> solicitation at a technical conference or symposium, within the
> continental United States, no less often than once per year during the
> duration of the award.
>
> C. Briefings -- Awardees shall present briefings at a site to be
> designated by the DOE Project Officer (potential sites include, but
> are not limited to Chicago, IL; Washington, DC; or awardee facility).
> The briefings will outline and explain progress and the results of the
> project effort. The briefings will involve the awardee's Principal
> Investigator and, as needed, key personnel and support personnel. The
> applicant should expect to present 3 to 4 project briefings per year
> which could include on-site visit and national annual program reviews.

D. Deliverables will be submitted in accordance with the Scope of Work
proposed by

the applicant as set forth in Section 1.2.

**1.4 Type of Award Instrument**

> Award(s) resulting from this solicitation shall be made using a
> Cooperative Agreement. A sample copy of a Cooperative Agreement is
> found under Appendix A.

**1.5** **Number of Anticipated Awards and Estimated Funding**

> Topic 1. DOE anticipates that up to 4 awards will be made in the Topic
> 1 area. The total funding available for all awards under this topic is
> approximately \$30 million, including the applicant required cost
> share of 35%. Project durations of 3 to 5 years are anticipated.
>
> Topic 2. DOE anticipates making up to 2 awards with the total funding
> available for all awards under the topic expected to be no more than
> \$12 million, including the applicant required cost share of 50%.
> Project durations of 2 to 3 years are expected.
>
> Topic 3. DOE anticipates that up to 5 awards will be made. The total
> funding available for all awards made under this topic is
> approximately \$18 million, including the applicant required cost
> share of 20%. Project durations of approximately 3 years are expected.
>
> Topic 4. DOE anticipates making up to 3 awards. The total funding
> available for all awards under this topic is approximately \$15
> million, including the applicant required cost share of 35%. Project
> durations of 2 to 4 years are expected.
>
> Topic 5. DOE anticipates making up to 2 awards under this Topic. Total
> funding for all awards under the topic is approximately \$16 million,
> including the applicant required cost share of 50%. Project durations
> of 2 to 3 years are expected.
>
> Topic 6. DOE expects to make up to 2 awards under this Topic. Total
> funding is approximately \$6 million including the applicant required
> cost share of 20% over 5 years.
>
> Topic 7. DOE expects to make up to 2 awards under this Topic. The
> total funding available for all awards under this Topic is
> approximately \$6 million including the applicant required cost share
> of 20% for projects lasting about 3 years.
>
> Topic 8. DOE expects to make up to 3 awards, with total funding
> available of approximately \$3 million for all awards, including the
> applicant required cost share of 20%. Project durations of 2 to 3
> years are expected.
>
> Topic 9. DOE anticipates making up to 2 awards under this Topic. The
> total funding available is approximately \$6 million for all awards,
> with a project duration of approximately 5 years. The applicant will
> not be expected to cost share to receive an award.
>
> **DOE reserves the right to fund, in whole or in part, any, all or
> none of the applications submitted in response to this solicitation.
> This solicitation does not obligate DOE to make any awards. All awards
> are subject to the availability of appropriated funds.**

**1.6 Anticipated Selection and Award Dates**

> The Government expects to select applications for award on or about
> April 30, 2003.
>
> Cooperative Agreements are expected to be awarded on or about June 30,
> 2003.

**2. [Application Requirements]{.underline}**

**2.1 Eligibility and Limitations**

> Any non-profit or for-profit organization, university or other
> institution of higher education, or non-federal agency or entity is
> eligible to apply, unless otherwise restricted by the Simpson-Craig
> Amendment (Reference Section 7.6 of this solicitation).
>
> Applicants, other than those described in Section 501(c)(3) of the
> Internal Revenue Code, that are seeking financial assistance under
> this solicitation, are subject to the eligibility requirements of
> Section 2306 of the Energy Policy Act of 1992 (EPAct).
>
> Applications submitted by or on behalf of (1) another Federal agency;
> (2) a Federally Funded Research and Development Center sponsored by
> another Federal agency; (3) a DOE Laboratory; or (4) an application
> which includes DOE Laboratory participation will not be eligible for
> an award under this solicitation.

**2.2 Teaming**

> Where the nature of the work demands multi-disciplinary expertise,
> teaming arrangements are preferred. However, Topics 1,2,3, and 5
> require mandatory teaming arrangements as specified below.
>
> Topic 1. For this Topic at least one partner of the multi-partner team
> is required to be an entity or entities with expertise in the area of
> grid interconnectivity such as a utility. A utility partner is
> encouraged. Project teams with demonstrated fabrication experience in
> PEM fuel cell and fuel processing hardware are strongly encouraged.
> The project team must include a partner capable of comprehensibly
> addressing the issue of grid connectivity to ensure that the
> development effort includes input from critical stakeholders in the
> development of stationary fuel cell power systems.
>
> Topic 2. Teaming with the host organization (or customer) for the
> field test, such as a telecommunications company, during all steps of
> the project is required.
>
> Topic 3. Teaming of a university, MEA manufacturer and a fuel cell
> manufacturer is required. The university team member should have a
> high degree of polymer expertise and serve a primary function of
> screening and/or developing appropriate high temperature materials for
> membrane applications. Teams should combine strengths of fundamental
> researchers, membrane developers/suppliers and a fuel cell developer
> with the existing capability of demonstrating full scale stack
> technology.
>
> Topic 4. Teams including members with demonstrated design and
> fabrication experience in large-scale fuel processing hardware and
> catalyst research and development capabilities are preferred for this
> topic. This is not a qualification criterion. Limited experience will
> not preclude a team from evaluation.
>
> Topic 5. The applicant is required to team with an entity or entities
> with expertise in the area of grid interconnectivity such as a utility
> to address issues involving interfacing with the grid and to further
> evaluate the potential market readiness of the applicant's technology,
> as well as the potential economic and environmental benefits
> associated with the proposed market application.
>
> Topic 6. A diversity of team members is preferred to completely
> represent all affected stakeholders in the technical topic area.
>
> Topic 7. A diversity of team members is preferred to completely
> represent all affected stakeholders in the technical topic area.
>
> Topic 8. A diversity of team members is preferred to completely
> represent all affected stakeholders in the technical topic area.
>
> Topic 9. A diversity of team members is preferred to completely
> represent all affected stakeholders in the technical topic area.

**2.3 Laboratory Participation**

> Applications submitted directly by a DOE Laboratory, or which involve
> DOE Laboratory participation will not be considered for award.

4.  **Cost Sharing**

> To be eligible for award under this solicitation, applicants are
> required to cost share the following minimum percentages of the total
> costs to be incurred in performing the respective topic(s):

Topic 1. The applicant required cost share is 35%.

Topic 2. The applicant required cost share is 50%.

Topic 3. The applicant required cost share is 20%.

Topic 4. The applicant required cost share is 35%.

Topic 5. The applicant required cost share is 50%.

Topic 6. The applicant required cost share is 20%.

Topic 7. The applicant required cost share is 20%.

Topic 8. The applicant required cost share is 20%.

Topic 9. Cost sharing is not required under this topic.

> Cost share may be provided as cash or in-kind contributions. Cost
> share may not be other federal funding and must originate from
> non-federal sources. Additional guidance regarding cost sharing is
> contained in 10 CFR 600.123, 10 CFR 600.127, and 10 CFR 600.224. Since
> applicants will take title to engineering equipment and systems
> integration equipment, etc., the purchase of such equipment must be
> purchased with applicant cost share funds. Applicants are further
> advised that, pursuant to FAR 31.205-31, the cost of removing said
> engineering and system integration equipment and the restoration or
> rehabilitation resulting from such removal will be borne by the
> Recipient.
>
> Applicants are advised to check budgeting information to ensure that
> accounting system software has not rounded up costs which are actually
> less than the required percentage. For example, in instances where
> 20.0% cost share is required, the applicant may not offer 19.99% or
> less.
>
> Proposed cost sharing shall be limited to current fiscal year costs
> and future project costs of a recipient. Thus, prior costs incurred
> (i.e., costs to conduct prior research, develop patents, or to develop
> technical reports under previous research efforts) should not be
> proposed and will not be considered as cost share. Fee or profit will
> not be paid under any award resulting from this solicitation and
> foregone fee or profit will not be accepted as cost sharing.
>
> DOE preference is for applicants to share all costs incurred on a pro
> rata basis (at the percentage proposed in the application and
> incorporated into the subsequent award) at the time the costs are
> invoiced to DOE, i.e., cost sharing on an invoice-by-invoice basis.
>
> In accordance with EPAct requirements, all costs incurred must meet a
> 20% pro-rata cost share for Topics 1, 3, 4, 6, 7 and 8 and a 50%
> pro-rata cost share for Topic(s) 2 and/or 5 on each invoice. In order
> to maximize the available dollars, DOE is requiring cost sharing
> higher than the minimum set forth by EPACT for Topics 1 and 4.
>
> However, cost sharing at the time certain specific costs are incurred,
> or when certain specific actions are performed, is acceptable if the
> nature of the work makes pro-rata cost sharing impractical or
> unworkable. Therefore, the amount of cost share below the EPAct
> minimum such as 20% or 50% and the amount required by the Topic (20% -
> 50%) can be cost shared at various times throughout the project. If an
> applicant proposes cost sharing other than at the pro- rata share on
> an invoice-by-invoice basis, the applicant must indicate specifically
> how they propose to meet the cost sharing requirement.
>
> At the end of each project year, the cumulative costs reported on the
> Financial Status Report must reflect these minimum percentages. The
> overall cost share percentages required by Topic area must be met by
> the end of the project period.
>
> Notwithstanding the above, in the event a project is terminated early,
> or is not funded to its completion, the applicant will be liable for
> its pro-rata share of the total allowable costs for the work performed
> to that point in time.
>
> Applicants are required to complete the [Representation Regarding
> Proposed Cost Sharing]{.underline} form found in Appendix P of this
> solicitation attesting that their proposed cost sharing meets all of
> the requirements of 10 CFR 600.123. Applicants are advised that the
> stated minimum cost sharing requirements will not be waived or
> adjusted during the negotiation of any award resulting from this
> solicitation. An application that fails to meet the applicant required
> cost share, set forth for each Topic of this solicitation, will not be
> considered for award.

5.  **Qualification Criteria**

> This solicitation contains two Qualification Criteria, **both of which
> must be met in order for an application to be evaluated and considered
> for award**. A Topic Requirements Matrix summarizing these
> requirements is provided at Appendix Q of the solicitation. The
> completed Topic Requirements Matrix must be attached as part of Volume
> 1/Other Documents (See Section 3.6, [Application Format]{.underline}).
> Applications that do not meet the following Qualification Criteria
> will not be evaluated or considered for award:
>
> 1\. Teaming -- For Topic 1, the application must include an entity or
> entities with expertise in the area of grid connectivity, such as a
> utility, as a member of the multi-partner team. For Topic 2, teaming
> with the host organization (or customer) for the field test, such as a
> communications company, during all steps of the project is required to
> ensure that the back-up power system meets the performance
> capabilities required by the targeted market. For Topic 3, the
> application must include teaming of a university, MEA manufacturer and
> a fuel cell manufacturer. For Topic 5, the application must include an
> entity or entities with expertise in the area of grid connectivity,
> such as a utility, as a member of the multi-partner team to address
> issues involving interfacing with the grid and to further evaluate the
> potential market readiness of the applicant's technology, as well as
> the potential economic and environmental benefits associated with the
> proposed market application. (See Section 2.2, [Teaming.]{.underline})
>
> 2\. Cost Sharing -- Applicants are required to cost share varying
> amounts according to specific Topics. (See Section 2.4, [Cost
> Sharing]{.underline} above.)

**2.6 Government Furnished Property**

> Government Furnished Property will not be provided under this
> solicitation. Applicants are expected to provide all necessary
> personnel, facilities, special test equipment, and materials necessary
> to complete the proposed project, and are encouraged to use existing
> facilities to the maximum extent possible. Other than independent
> testing and evaluation required for Topics 2 and 7, respectively,
> Government-owned facilities and/or property will not be provided to
> assist in the accomplishment of the statement of work.

**3. [Application Instructions and Format]{.underline}**

**3.1 Application Submission Cost**

> The Government is under no obligation to pay any costs associated with
> the preparation or submission of applications if an award is not made.
> If an award is made, such costs may be allowable as provided in the
> applicable cost principles (see 10 CFR 600.127 and 600.222).

**3.2 Overview**

> **Applicants are allowed to submit only one application per Topic
> area. A single application covering more than one Topic area will not
> be evaluated. However, applicants are permitted to propose under more
> than one Topic area.**
>
> Applications should fully address all of the requirements of this
> solicitation, and be submitted in accordance with the format set forth
> in this section. In addition, applications should be direct, concise,
> and informative. Marketing and/or promotional information and
> non-project related discussion will not be evaluated.
>
> The Government intends to select applications for award based upon the
> initial submission of applications, without discussions, negotiations
> or revisions. Therefore, it is essential that applications contain the
> applicant's best terms from a technical, business management, and cost
> standpoint. Applications will be evaluated in accordance with Section
> 4, [Method of Selection and Evaluation Criteria]{.underline}.
> Nevertheless, if deemed necessary, the Government reserves the right
> to request clarifications from applicants.
>
> If any physical facilities, equipment, and instrumentation to be used
> to perform the research identified in the application are not the
> property of the applicant, and are not to be purchased or leased for
> this project, the source of such property must be clearly identified
> and the availability specifically confirmed in the application.

**3.3 Introduction to IIPS Application Preparation Instructions**

> The application shall be prepared as set forth herein to provide a
> standard basis for evaluation and to ensure that each application will
> be uniform as to format and sequence. Applications are required to be
> prepared in accordance with this section. An application will not be
> evaluated unless all of the above items are provided.
>
> Applicants are advised that the submission of an application in an
> electronic format is required utilizing the Industry Interactive
> Procurement System (IIPS) through the Internet at
> http://e-center.doe.gov/. IIPS provides the medium for disseminating
> solicitations, receiving applications, and evaluating applications in
> a paperless environment. Individuals who have the authority to enter
> their company into a legally binding agreement and will be responsible
> for submitting the application, must register in the IIPS and receive
> confirmation that they registered, prior to attempting to submit an
> application through IIPS. See Section 6, [Submission of
> Applications]{.underline} for specific instructions.

**3.4 General Instructions**

> Application files are to be formatted using the following software
> applications: Word and Excel. Files shall be saved with filenames that
> clearly identify the file being submitted. Filename extensions shall
> clearly indicate the software application used for preparation of the
> documents, i.e., ".doc" for Word files, or ".xls" for Excel.

### A. Application Volumes 

> The application shall consist of four (4) separate volumes,
> individually titled as stated below and submitted through IIPS at
> http://e-center.doe.gov.
>
> **VOLUME TITLE PAGE LIMITATION FILE LIMITATION**
>
> 1 Other Documents 10 (See Section 3.6.A.)
>
> 2 Technical Proposal 30 (See Section 3.6.B.)
>
> 3 Cost Proposal NONE (See Section 3.6.C.)
>
> 4 Business Management NONE (See Section 3.6.D.)
>
> Proposal

B. Page Size

> The pages should be of standard 8-1/2" x 11" size (21.6cm x 27.9cm),
> with 1" margins around the top, bottom, and sides. For proportionally
> spaced fonts, the type can be no smaller than 12 point, and for
> non-proportionally spaced fonts, the type can be no smaller than12
> characters per inch (elite).

C. Page Limitations

> Volume 1 -- Other Documents, Cover Page and Topic Requirements Matrix,
>
> Appendix Q.
>
> Volume 2 \-- Technical Proposal shall not exceed 30 pages in length -
> exclusive of the Cover Page, Table of Contents, Abstract, Technical
> Summary, Letter(s) of Commitment, Resumes, and Organization Chart.
>
> Pages in excess of the maximum page limitation for Volume 2/Technical
> Application will not be evaluated.
>
> Resumes shall be no longer than two pages per resume.
>
> In addition, no material may be included by reference as a means to
> circumvent the page limitation.
>
> Volumes 3 and 4- There are no page limitations in effect for either
> Volume 3 Cost Proposal or Volume 4 Business Management Proposal.

**3.5 File Format**

> To aid in evaluation, applications shall be clearly and concisely
> written as well as indexed (cross-indexed as appropriate) and
> logically assembled. All pages of each part shall be appropriately
> numbered, and identified with the name of the applicant, the date, and
> the solicitation number to the extent practicable.
>
> Files shall be saved with filenames which clearly identify the file
> being submitted. Filename extensions shall clearly indicate the
> software application used for preparation of the documents, i.e., .doc
> or .xls.

**3.6 Application Format**

#### 

#### A. Volume 1/Other Documents

> This Volume shall include a cover page indicating the volume number,
> solicitation number, name and address of the applicant, point of
> contact, telephone and fax numbers, e-mail address, title of project,
> and date of application.
>
> When the applicant begins to "Create Proposal" in IIPS, the applicant
> will complete the fields on the IIPS cover page and attach the
> required files to the link identified as: Attach Volume 1/Other
> Documents. For consistency, the applicant is instructed to use the
> files names specified below. Filename extensions shall clearly
> indicate the software application used for preparation of the
> documents, i.e., .doc and .xls.
>
> MANDATORY FILE FILE NAME
>
> File 1 Cover page COVERVOL1.xxx
>
> File 2 Topic Requirements Matrix MATRIX.xxx
>
> Appendix Q

FILE 1: COVER PAGE

> This file shall include a cover page indicating the volume number,
> solicitation number, name and address of the applicant, point of
> contact, telephone and fax numbers, e-mail address, title of project,
> and date of application.
>
> FILE 2: TOPIC REQUIREMENTS MATRIX
>
> This file shall consist of the Topic Requirements Matrix, Appendix Q,
> summarizing the Qualification Criteria which must be met in order for
> an application to be evaluated.

B. Volume 2/Technical Proposal

> This volume shall include a cover page indicating the volume number,
> solicitation number, name and address of the applicant, point of
> contact, telephone and fax numbers, e-mail address, title of project,
> and date of application.
>
> After the Cover Page, the Technical Proposal shall begin with an
> Abstract and a Technical Summary (See Files 2 and 3 of this section).
> It shall then provide a thorough discussion of Submissions
> Requirements for Technical Evaluation (See File 4 of this section).
> Resumes and Letters of Commitment, as required, will complete the
> Technical Proposal volume.
>
> With the exception of the Abstract, the Technical Proposal may contain
> proprietary data. Applications containing proprietary data must be
> clearly marked in accordance with Section 5.3, [Proprietary
> Data/Information]{.underline} of this solicitation.
>
> When the applicant begins to "Create Proposal" in IIPS, the applicant
> will complete the fields on the IIPS cover page and attach the
> required files to the link identified as: Attach Volume 2/Technical
> Application. For consistency, the applicant is instructed to use the
> file names specified below. Filename extensions shall clearly indicate
> the software application used for preparation of the documents, i.e.,
> .doc and .xls.
>
> MANDATORY FILE FILE NAME
>
> File 1 Cover Page & Table of Contents COVERVOL2.xxx
>
> File 2 Abstract ABSTRACT.xxx
>
> File 3 Technical Summary SUMMARY.xxx
>
> File 4 Technical Discussion TECHNICAL.xxx
>
> File 5 Resumes of Key Personnel,
>
> and/or Letters of Commitment
>
> from all team members,
>
> if applicable ATTACHMENTS.xxx
>
> FILE 1: COVER PAGE & TABLE OF CONTENTS
>
> This file shall include a cover page indicating the volume number,
> solicitation number, name and address of the applicant, point of
> contact, telephone and fax numbers, e-mail address, title of project,
> and date of application. The file shall also include a table of
> contents.
>
> FILE 2: ABSTRACT
>
> A non-sensitive/non-proprietary abstract of the application shall be
> provided for release outside DOE. It shall summarize the major
> features of the application and its advantages of interest to the
> public. The abstract shall be no longer than one page.
>
> FILE 3: TECHNICAL SUMMARY
>
> Technical Summary: This shall be a stand-alone section that summarizes
> the technical information and gives insight into the logic of the
> application. The technical summary shall be no more than five pages.
> The applicant shall:

a.  Summarize the proposed work and explain how the proposed approach
    meets the objectives of the solicitation.

b.  Include a discussion of the technical problem areas including those
    issues that inhibit the development of the proposed system. Proposed
    solutions to all identified problem areas shall be identified.

c.  Include a schedule for completion of the proposed effort and
    indicate critical interactions of key events.

d.  Identify team members and the percentage and type of cost sharing
    each member will provide. Note: No cost data shall be provided in
    this section.

> FILE 4: TECHNICAL DISCUSSION
>
> The technical discussion will consist of the applicant\'s outline
> addressing the technical and management aspects of the project, the
> applicant\'s capabilities and what the applicant will do to satisfy
> the requirements of the solicitation. Since the technical information
> contained in this section will be evaluated to determine such matters
> as understanding of the work to be performed, technical approach, and
> potential for completing the desired work, it should be specific and
> complete. The discussion should be practical and be prepared simply
> and economically, providing a straightforward, concise delineation of
> what it is the applicant will do to satisfy the requirements of the
> solicitation, and should include:
>
> 1\. Submission Requirements for Technical Evaluation: The Technical
> Application shall address each criterion in the same sequence as set
> forth below.
>
> Criterion 1: Adequacy of Technical Approach (30 points)
>
> The application shall discuss the potential of the concept to meet or
> exceed the solicitation objectives in the Topic. The applicant will
> discuss the overall scientific, technical, and other merits. The
> application shall provide a complete and clear description of
> feasibility, viability, and innovativeness of the proposed technical
> project to accomplish the stated objectives. The applicant should
> discuss the impact of the proposed effort with respect to efficiency,
> reliability, ease of operation, maintainability, availability, and
> competitiveness, including the quantifiable incremental benefits and
> impacts (both positive and negative) on energy efficiency, economics,
> the environment, and U.S. competitiveness. The application shall
> specify key decision points, milestones, and deliverables. In
> addition, the application will present a discussion explaining how the
> deliverables will demonstrate the advancement of the state of the art
> of these technologies to commercial viability and the extent to which
> the deliverables are application ready, durable, and amenable to mass
> production.
>
> Criterion 2: Discussion of Technical Risks/Likelihood
>
> of Success (30 Points)
>
> Applicant will describe technical risks, institutional blocks and
> other barriers and impediments associated with the proposed technical
> topic. The applicant will clearly discuss the technical risks that
> have been identified in the scope of work and how these risks can be
> resolved. The applicant's technical approach should include a
> discussion of the overall likelihood of success. The applicant shall
> describe ease of implementation, including, for example, resolving
> barriers to adoption of the technology and addressing stakeholder
> viewpoints. Such description will also identify affected stakeholders
> and end-users, and discuss how the incorporation of their viewpoints
> can synergistically facilitate a favorable outcome for the project.
>
> Criterion 3: Applicant's Capabilities, Personnel, and
>
> Facilities (20 Points)
>
> The applicant shall describe the qualifications, experience, and
> capabilities of the multi-partner team (the applicant, subcontractors,
> consultants, etc.) and its key individuals at every tier. The
> applicant shall describe the team's knowledge and experience in the
> same or similar work, and its familiarity with the issues presented in
> the technical topic; market factors that will affect implementation;
> and the team's experience in prior commercialization of new
> technologies. For all key individuals, the applicant shall describe
> the appropriateness of the percentage of their time that will be
> devoted to the project. The applicant will provide a complete and
> clear representation of the affected stakeholders on the team, and the
> degree to which the teaming arrangement will benefit the fuel cell
> industry at large. The application should also identify the
> capabilities of other team members. The discussion should indicate how
> each member would contribute to the resolution of the barriers
> concerning the achievement of the project's objectives and to the
> resolution of other matters that are identified as being important to
> affected stakeholders and end-users.
>
> The application will also identify and provide resumes of the
> principal investigator, the project manager, and key individuals from
> the project team, and give their assignments, percentage of time such
> individuals will be dedicated to this project and statements about why
> this time assignment is appropriate. Resumes for these individuals,
> not to exceed two pages per person, shall be provided in File 5 of
> this Volume.
>
> The applicant will describe the suitability of the facilities,
> including demonstration host site (as applicable), that will be
> available for development, testing, and evaluating the concept under
> the proposed RD&T Plan. The application will also identify and
> describe available equipment and facilities of the project team for
> performing the RD&T Plan. The application will also describe any
> additional equipment and facilities that will be required and how they
> will be obtained.
>
> Criterion 4: Effectiveness of Research, Development and
>
> Test (RD&T) Plan (20 Points)
>
> The applicant shall describe the logic and sequence of tasks
> (including subtasks) proposed in fulfillment of the activities in the
> selected technical Topic (See Section 1.2), and expected maturation of
> the concept(s) relative to the objectives of this solicitation. The
> applicant shall include a complete and clear description of the RD&T
> Plan's probable effectiveness in raising technical understanding and
> resolving technical risks, institutional blocks, and other
> impediments. The applicant will describe methods for overcoming
> technical barriers associated with the technology in the RD&T plan.
> The RD&T plan should clearly describe how the applicant will control
> the project's technical progress, schedule, cost and organizational
> responsibilities. The description should also include relevancy of the
> proposed R&D methods to achieving the project's goals. The applicant
> should describe the integration of roles and responsibilities of the
> applicant's team for achieving the project's objectives and ways of
> resolving the variance of interests of affected stakeholders. The RD&T
> Plan shall incorporate all work elements as proposed for the project
> and shall discuss the integration, roles and responsibilities of all
> team members.
>
> In addition, the application's RD&T Plan shall include a management
> plan with the following elements:
>
> a\. A statement of work, wherein each major task is formatted to the
> following outline: objective; approach; factors affecting success;
> equipment needs; and deliverables;
>
> b\. A schedule of activities including identification of principal
> milestones, dependencies and decision points;
>
> c\. A discussion of available resources to meet the manpower and
> material requirements as scheduled;
>
> d\. A description of organizational and individual responsibilities
> that integrate the activities of all team members; and
>
> e\. A discussion of how all of the various entities will work together
> to accomplish the proposed work, and a description of the method that
> will maintain organizational control over budget, schedule, and
> quality of performance. An organization chart that shows the
> relationships of all team members (the applicant, subcontractors,
> consultants, etc.) shall be included.
>
> FILE 5: Resumes of Key Personnel and/or Letter of Commitment, etc.
>
> This file shall contain resumes of key personnel, qualifications and
> experience of participating organizations, pertinent publications,
> letters of commitment, from all team members and consultants. All team
> members and consultants identified in the application must have agreed
> to serve in the manner and to the extent described in the application.
> A Letter of Commitment signed by each team member and consultant,
> certifying availability, must be submitted as part of the application
> as evidence of their participation in the proposed effort.

#### C. Volume 3 \-- COST APPLICATION 

> There is no page limitation for this Volume.
>
> This volume shall include a cover page indicating the volume number,
> solicitation number, name and address of the applicant, point of
> contact, telephone and fax numbers, e-mail address, title of project,
> and date of application.
>
> After the cover page, the Cost Proposal shall include the required
> Application for Federal Assistance (Standard Form 424), budget forms
> and budget explanation, indirect rate and cost sharing information,
> and representation regarding proposed cost sharing.
>
> In the "Create Proposal" section of IIPS the applicant will attach the
> required files to the link identified as: Attach Volume 3/Cost
> Proposal. For consistency, the applicant is instructed to use the file
> names specified below. Filename extensions shall clearly indicate the
> software application used for preparation of the documents, i.e., .doc
> and .xls.
>
> MANDATORY FILE FILE NAME
>
> File 1 Cover Page COVERVOL3.xxx
>
> File 2 Application for Federal Assistance, SF424.xxx
>
> Standard Form 424 (Appendix C)
>
> File 3 Federal Assistance Budget Information BUDGET.xxx
>
> (DOE F 4600.4) (Appendix M)
>
> File 4 Budget Explanation (AA-86-3 Revised) EXPLAIN.xxx

(Appendix N)

File 5 Indirect Rates INDIRECT.xxx

File 6 Cost Sharing CS.xxx

File 7 Representation Regarding Proposed Cost SHARE.xxx

Sharing (Appendix P)

> FILE 1: COVER PAGE
>
> This file shall include a cover page indicating the volume number,
> solicitation number, name and address of the applicant, point of
> contact, telephone and fax numbers, e-mail address, title of project,
> and date of application.
>
> FILE 2: Application for Federal Assistance (Standard Form 424)
>
> Complete the form included as Appendix C to this solicitation. No
> other application page will be accepted.
>
> FILE 3: FEDERAL ASSISTANCE BUDGET INFORMATION
>
> (DOE F 4600.4)
>
> Complete the form included as Appendix M to this solicitation. This
> form must be completed by the applicant and is also required for each
> subcontractor or consultant that is to perform work under this
> agreement.
>
> FILE 4: BUDGET EXPLANATION (AA-86-3 Revised)
>
> Complete the form included as Appendix N to this solicitation. This
> form must be completed by the applicant and is also required for each
> subcontractor or consultant that is to perform work under this
> agreement.
>
> FILE 5: INDIRECT RATES
>
> If indirect cost rates have been negotiated with or approved by a
> Federal agency for the period covered, provide a copy of the agreement
> and do not submit the data required in Appendix O. If no current rate
> agreement exists, submit an indirect cost rate proposal using the
> model provided in Appendix O. In either case, identify separately the
> proposed indirect costs for each of your accounting periods included
> in the application. Clearly identify each rate and allocation base for
> indirect costs such as Fringe Benefits, Overhead, General and
> Administrative, Facilities Capital Cost of Money, etc.
>
> FILE 6: COST SHARING
>
> Applicants must provide a detailed breakout and discussion of all
> proposed cost sharing, and clearly identify the source and amounts of
> all cost sharing commitments.
>
> FILE 7: REPRESENTATION REGARDING PROPOSED COST SHARING
>
> Complete the form included as Appendix P to this solicitation.

#### D. Volume 4 \-- Business Management Proposal

> There is no page limitation for this Volume.
>
> This volume shall include a cover page indicating the volume number,
> solicitation number, name and address of the applicant, point of
> contact, telephone and fax numbers, e-mail address, title of project,
> and date of application.
>
> After the cover page the applicant shall then provide the requested
> information relating to Financial Capability (File 2) and Similar
> Financial Assistance Applications, Proposals, or Awards (File 3). The
> required forms (Files 4 through 10 and, as applicable Files 11-13)
> will complete the Business Management Proposal.
>
> In the "Create Proposal" section of IIPS the applicant will attach the
> required files to the link identified as: Attach Volume 4/Business
> Management Proposal. For consistency, the applicant is instructed to
> use the file names specified below. Filename extensions shall clearly
> indicate the software application used for preparation of the
> documents, i.e., .doc or .xls.
>
> MANDATORY FILE FILE NAME
>
> File 1 Cover Page COVERVOL4.xxx
>
> File 2 Financial Capability Information FINCAP.xxx
>
> File 3 Similar Financial Assistance Applications, SIMFAA.xxx
>
> Proposals, or Awards
>
> File 4 DOE F 1600.5, Assurance of Compliance F1600.5.xxx
>
> (Appendix D)
>
> File 5 Certifications Regarding Lobbying; Debarment, FA-CERTS.xxx
>
> Suspension and Other Responsibility Matters;
>
> and Drug-Free Work Place Requirements
>
> (Appendix E)

File 6 National Environmental Policy Act Environmental NEPA.xxx

Evaluation Notification Form (Appendix F)

> File 7 Energy Policy Act (EPAct) Representation EPACT.xxx
>
> (Appendix G)
>
> File 8 Representation Concerning Financial FINMAN.xxx
>
> Management System (Appendix H)
>
> File 9 Financial Assistance Pre-Award Information AA-47.xxx
>
> Sheet (AA-47) (Appendix I). Note: Each
>
> proposed teaming partner must also complete
>
> this form.
>
> File 10 Automated Clearing House (ACH) Vendor/ ACH.xxx
>
> Miscellaneous Payment Enrollment Form
>
> (Appendix J)
>
> ADDITIONAL FILES, AS APPLICABLE
>
> File 11 Simpson-Craig Amendment Representation SIMPSON.xxx
>
> (Appendix K)
>
> File 12 SF-LLL Disclosure of Lobbying Activities SF-LLL.xxx
>
> (Appendix L)
>
> File 13 Exceptions or Deviations to the Model EXCEPT.xxx
>
> Agreement or Other Portions of this Solicitation
>
> FILE 1: COVER PAGE
>
> This file shall include a cover page indicating the volume number,
> solicitation number, name and address of the Applicant, point of
> contact, telephone and fax numbers, e-mail address, title of project,
> and date of application.
>
> FILE 2: FINANCIAL CAPABILITY INFORMATION
>
> To be eligible for award, an applicant must demonstrate adequate
> financial capability and resources to perform the work specified in
> its application. Accordingly, an applicant must submit its latest
> certified annual report, financial statements, and any other evidence
> to demonstrate its capability to carry out the proposed effort from a
> business and financial standpoint. In addition, the applicant shall
> state approximately what percentage the proposed work will represent
> of the applicant's total business during the period of performance.
>
> FILE 3: SIMILAR FINANCIAL ASSISTANCE APPLICATIONS, PROPOSALS, OR
> AWARDS
>
> While it is permissible to submit identical or essentially identical
> applications/proposals for consideration under numerous federal
> program solicitations, it is unlawful to enter into multiple contracts
> or financial assistance awards, which involve the same, or essentially
> the same, effort. If an application/proposal for identical or similar
> work has been previously funded, is under consideration for funding,
> or is about to be submitted to another federal agency or to the DOE in
> a separate action, the applicant must provide the following
> information in its application:
>
> A. The name and address of the agency to which the
> application/proposal was submitted, or will be submitted, or from
> which an award is expected or has been received;
>
> B. The date of submission or the date of award;
>
> C. The title of the application or proposal;
>
> D. The name and title of the Project Manager or Principal Investigator
> for each application/proposal submitted, or for those awards received;
> and
>
> E. The number and date of the solicitation under which the
> application/proposal was submitted, or award was received.
>
> FILES 4 - 12: Various Forms
>
> Complete the forms as indicated. All forms and instructions are
> attached to this Solicitation as Appendices D through P.
>
> FILE 13: Exceptions or Deviations to the Model Agreement or other
> Portions this Solicitation.
>
> The applicant shall identify and explain any exceptions or deviations
> taken or conditional assumptions made with respect to the model
> agreement. The applicant shall also summarize each technical, cost,
> business, or other exception taken elsewhere, and provide specific
> cross references (volume and file numbers) to its full discussion.
>
> Any exceptions taken must contain sufficient justification to permit
> evaluation. The benefit to the Government shall be explained for each
> exception taken. Such exceptions will not, of themselves,
> automatically cause an application to be deemed unacceptable. A large
> number of exceptions, or one or more significant exceptions not
> providing benefit to the Government, however, may result in rejection
> of an application(s) as unacceptable.

**4. [Method of Selection and Evaluation Criteria]{.underline}**

**4.1** **Overview**

> An application will be eliminated from consideration if it does not
> meet the Qualification Criteria set forth in Section 2.5, or if it is
> so obviously deficient as to be totally unacceptable on its face. All
> other applications will undergo a comprehensive technical evaluation
> in accordance with the evaluation criteria set forth in this Section.
>
> The Technical Application will be numerically point scored in
> accordance with the evaluation criteria and weights set forth in this
> Section.
>
> The Business Application will not be numerically point scored nor will
> it be adjectivally rated. However, it will be used by the Evaluation
> Panel to conduct a general business review of your application, and to
> make the required responsibility determination.
>
> The Cost Application will not be point scored or adjectivally rated,
> but will be evaluated to determine if the total estimated cost
> proposed by the applicant is commensurate with the technical effort
> proposed, and to confirm that the cost sharing requirements of the
> solicitation have been met.
>
> The Source Selection Official will also consider the Program Policy
> Factors identified in Section 4.6, below before making a final
> selection decision. Award(s) will be made to those responsible
> applicants whose applications conform to the requirements of this
> solicitation, and whose applications are determined to best achieve
> the goals and objectives described in this solicitation.

**4.2 Non-Governmental Reviewers**

> In addition to Governmental personnel, outside evaluators may be used
> in the evaluation process. In designating outside evaluators, DOE will
> avoid situations that cause organizational or personal conflicts of
> interest and the competitive relationship, if any, between the
> applicant and the prospective outside evaluator. The evaluation will
> be performed under a confidentiality agreement with the evaluator,
> stipulating that the data contained in the application will be used
> only for evaluation purposes and will not be further disclosed.
> Submission of an application constitutes consent for its review by
> outside evaluators.

**4.3 Technical Evaluation Criteria and Weights**

> With respect to the Technical Evaluation Criteria set forth in this
> section, the following are the weighting factors that will be utilized
> to point score each application:

Criterion 1 -- Adequacy of Technical Approach 30 points

Criterion 2 -- Discussion of Technical Risks/Likelihood of Success 30
points

Criterion 3 -- Applicant's Capabilities, Personnel & Facilities 20
points

Criterion 4 -- Effectiveness of Research, Development and Test Plan 20
points

Total points possible 100 points

##### 

Technical Evaluation Criteria

Criterion 1: Adequacy of Technical Approach (30 points)

> The evaluation will examine the potential of the concept to meet or
> exceed the solicitation objectives in the Topic. The evaluation will
> consider the overall scientific, technical, and other merits;
> thoroughness and clarity of presentation, feasibility, viability, and
> innovativeness of the proposed technical project to accomplish the
> applicant's stated objectives. The impact of the proposed technology
> with respect to efficiency, reliability, ease of operation,
> maintainability, availability, and competitiveness, including the
> quantifiable incremental benefits and impacts (both positive and
> negative) on energy efficiency, economics, the environment, and U.S.
> competitiveness will be evaluated. The adequacy and reasonableness of
> the decision points, milestones, and deliverables also will be
> evaluated. The evaluation will analyze how the deliverables will
> demonstrate the advancement of the state of the act of these
> technologies to commercial viability and the extent to which the
> deliverables are application ready, durable and amenable to mass
> production.

Criterion 2: Discussion of Technical Risks/Likelihood of Success (30
points)

> The applicant's discussion of the technical risks, institutional
> blocks and other barriers and impediments associated with the
> technical topic will be evaluated. The applicant's knowledge with
> regard to the technical risks that have been identified in the scope
> of work and how these risks can be resolved will be evaluated. The
> overall likelihood of success of the applicant's proposed approach
> will be evaluated. The proposed technology will also be evaluated for
> ease of implementation, including, for example, resolving barriers to
> adoption of the technology and addressing stakeholder viewpoints.

Criterion 3: Applicant\'s Capabilities, Personnel, and Facilities (20
points)

> The qualifications, experience, and capabilities of the multi-partner
> team and its key individuals at every tier will be evaluated. The
> evaluation will consider the team's knowledge and experience in the
> same or similar work, and its familiarity with the issues presented in
> the technical topic; market factors that will affect implementation;
> and the team's experience in prior commercialization of new
> technologies. The evaluation will also examine the qualifications of
> the key individuals and the appropriateness of the percentage of their
> time that will be devoted to this project. The evaluation will examine
> the applicant's strategy detailing how each member of the
> multi-partner team would contribute to the resolution of the barriers
> concerning the achievement of the project's objectives and to the
> resolution of other matters that are identified as being important to
> affected stakeholders and end users.
>
> The evaluation will examine the suitability of the facilities
> proposed, i.e. the identification of available relevant equipment and
> facilities of the multi-partner project team performing the activities
> in the RD&T plan. The evaluation will examine any additional equipment
> and facilities that may be required and how they will be obtained and
> the suitability of the demonstration host site (as applicable) that
> will be available for developing, testing, and evaluating the concept
> under the proposed RD&T plan. The evaluators will also consider the
> completeness of the representation of the affected stakeholders on the
> team, and the degree to which the teaming arrangement will benefit the
> fuel cell industry at large.

###  Criterion 4: Effectiveness of Research, Development and

###  Test (RD&T) Plan (20 points)

> Effectiveness of the RD&T Plan will be evaluated relative to the logic
> and sequence of the tasks (including subtasks) proposed, the
> fulfillment of the activities in the selected technical Topic as
> discussed in the Scope of Work (Section 1.2), and expected maturation
> of the concept(s) relative to the objectives of this solicitation
> (Section 1.2). This will include the RD&T Plan's clarity and probable
> effectiveness in raising technical understanding and resolving
> technical risks, institutional blocks, and other impediments. The RD&T
> Plan will be evaluated for its effectiveness,
>
> completeness, and adequacy in controlling the project's technical
> progress, schedule, cost and organizational responsibilities. The
> evaluation will consider the effectiveness of the integration of roles
> and responsibilities of the applicant's team for achieving the
> project's objectives and its effectiveness for resolving the variance
> of interests of affected stakeholders. The evaluation will examine the
> management plan as part of the RD&T plan. The evaluation will take
> into consideration all 5 elements of the applicant's management plan
> as set forth in Section 3.6. Each element of the plan (a through e)
> will be evaluated for conciseness, quality, and relevancy towards
> completing the applicant's proposed statement of work.

**4.4 Cost Evaluation**

> The Cost Application should be submitted in accordance with the
> instructions provided under Section 3.6.C., above. It will not be
> point scored nor will it be adjectivally rated. The information
> submitted will be utilized by the Evaluation Panel to determine if the
> total estimated cost proposed by the applicant is commensurate with
> the technical effort proposed, and to confirm that the cost sharing
> requirements of the solicitation have been met.

**4.5 Business Evaluation**

> The Business Application should be submitted in accordance with the
> instructions provided under Section 3.6.D., above. It will not be
> point scored nor will it be adjectivally rated. The information
> submitted will be utilized by the Evaluation Panel to conduct a
> general business review of the application, and to make the
> responsibility determination allowed by 10 CFR 600.

**4.6 Program Policy Factors**

> Program Policy Factors, while not indicative of an application's
> individual merit, are relevant and essential to the process of
> selecting applications which best achieve the Department's overall
> programmatic goals and objectives. The Program Policy Factors
> applicable to selecting applications for award under this solicitation
> are set forth below. All are of equal importance. Upon completion of
> the technical, business, and cost evaluations, these Program Policy
> Factors will be applied against those applications which are deemed
> potential candidates for award, before final selections are made:
>
> 1\. Optimization of the R&D portfolio as a function of diversity of
> organizations, methods, and approaches to achieve highly efficient,
> reliable, and environmentally superior fuel cell power systems.
>
> 2\. Supporting complementary efforts or projects which, when taken
> together, will best achieve the program goals within the available
> funding constraints.

3\. Greatest potential to benefit the economy of the United States.

4\. Location of development and test sites in the United States and its
territories.

**4.7 Debriefings**

If a written request for a debriefing is received by the Procurement
Member/Contract Specialist within ten (10) calendar days after the
announcement of the final selections(s), a verbal debriefing will be
conducted, providing information pertinent to DOE\'s evaluation and
scoring of the application submitted by the firm being debriefed. DOE
will not disclose the identity of the reviewers, their verbatim
comments, or specific scores and comments pertaining to the evaluation
of other applications received. Debriefings will be scheduled at a time
that is mutually convenient to DOE and the applicant.

**5. [Intellectual Property Provisions]{.underline}**

**5.1 Right to Request Patent Waiver**

Applicants and prospective applicants, in accordance with applicable
statutes and the Department of Energy Acquisition Regulation (DEAR),
have the right to request, in advance of or within 30 days after the
effective date of award, a waiver of all or any part of the rights of
the United States in subject inventions. Small business firms and
domestic non-profit organizations normally will receive the Patent
Rights clause of DEAR 952.227-11 which permits the recipient to retain
title to subject inventions, except in contracts for management and
operation of a Government-owned research or production facility and in
contracts involving exceptional circumstances or intelligence
activities. Therefore, small business firms and non-profit organizations
normally need not request a waiver.

**5.2 Advance Waiver of Patent Rights**

In view of the anticipated cost sharing for awards relating to Topics 1
through 8, DOE anticipates issuing an advance waiver of patent rights
for awards under those topics. Accordingly, it generally will not be
necessary for Recipients to file a separate petition for an advance
waiver of patent rights for each award. Since the work under Topic 9 is
not expected to involve research, development or demonstration work, and
since the awardees under that topic will not be providing any cost
sharing, the class waiver will not extend to awards under Topic 9.

The terms of the advance waiver of patent rights are at Federal
Acquisition Regulation (FAR) 52.227-12, as supplemented by 10 CFR 784,
DOE patent waiver regulations, and are subject to such mutually
acceptable modifications as may be appropriate considering the nature of
the technology, the U.S. manufacturing base, and the relevant markets.

**5.3 Proprietary Data/Information**

If proprietary information is provided in an application that
constitutes a trade secret or confidential commercial or financial
information, it will be treated in confidence, to the extent permitted
by law. The applicant should clearly mark each page that contains such
information with the term "Proprietary Information." The Government will
limit dissemination of such information to individuals within official
channels who have a need to know.

The Department's policy is to use data included in applications for
evaluation purposes only and to protect such information from
unauthorized use or disclosure. Applications containing proprietary data
should be clearly marked as such on the Cover Page and should include,
in the Table of Contents, the legend found at 10 CFR 600.15, below.

"*Notice of Restriction on Disclosure and Use of Data*

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 or 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."

Each page in the application, which contains proprietary data, should
also be clearly marked. The Section entitled "Rights in Proposal Data"
found in the "Financial Assistance Pre-Award Information Sheet" (AA-47),
Appendix I, should be consistent with the proprietary markings, if any,
in the application.

> Unless a written request is received by the Panel Chairperson, copies
> of unsuccessful applications will not be returned to the applicant.
> Public release of information in any application submitted will be
> subject to the statutory requirements of the Freedom of Information
> Act.
>
> In addition to Government personnel, outside evaluators may be used in
> the application evaluation process. In designating outside evaluators,
> DOE will take into consideration requirements for avoidance of
> organizational and personal conflicts of interest and the competitive
> relationship, if any, between the applicant and the prospective
> outside evaluator. The evaluation will be performed under a
> confidentiality agreement with the evaluator, stipulating that the
> data contained in the application will be used only for evaluation
> purposes and will not be further disclosed. Applicants are advised
> that submission of an application constitutes consent for review of
> its application by outside evaluators. In addition, DOE expects that
> independent testing and evaluation of deliverables under Topics 2 and
> 7, will be performed at sites to be designated by DOE. Submission of
> an application also constitutes the applicant's consent to independent
> testing and evaluation.

**5.4 Patent Rights**

> For large businesses, the government normally takes title to all
> inventions conceived or first actually reduced to practice under a DOE
> agreement. In this case, because of the anticipated cost sharing, DOE
> expects to waive title to such inventions to the recipient subject to
> the Government\'s usual license, march-in, and U.S. preference
> provisions at 35 USC 203 and 204. Additionally, DOE\'s patent waivers
> will include a U.S. competitiveness provision reflecting the
> programmatic objectives of the program, i.e. improving the U.S.
> competitive position and employment opportunities.
>
> Domestic and small businesses and non-profit and educational
> organizations will have the right to elect to retain title pursuant to
> 35 USC 200 et seq.

**5.5 Rights in Technical Data**

> The Government has unlimited rights in technical data created under
> the agreement. Delivery or licensing of technical data developed
> solely at private expense will not normally be required except as
> specifically negotiated in a particular agreement or as may be
> negotiated as a condition of a patent waiver to insure continued
> development toward commercialization of an invention arising under a
> DOE agreement.
>
> Under the Energy Policy Act it is anticipated that DOE will be able to
> withhold technical data created under this program for up to five (5)
> years from the time it is created. This will be addressed on a
> case-by-case basis for each agreement considering the technology
> involved, as well as other factors. After the five year time period
> expires, such data is subject to release if it is a Government record.

**6. [Submission of Applications]{.underline}**

**6.1 Electronic Submission**

> All applications must be submitted through the DOE Industry
> Interactive Procurement System (IIPS) at
> [http://e-center.doe.gov]{.underline} in accordance with the
> instructions in this solicitation. ONLY APPLICATIONS SUBMITTED THROUGH
> IIPS WILL BE CONSIDERED FOR AWARD.
>
> **The only acceptable mode of application transmission is through
> IIPS. Applications submitted through the U.S. Postal Service,
> facsimile, telegraphically, courier companies, or hand-delivered hard
> copies will be considered non-responsive.**

**6.2 Time, Date and Place Applications Are Due**

> **APPLICATIONS AND AMENDMENTS OF APPLICATIONS MUST BE RECEIVED BY
> MARCH 27, 2003, NOT LATER THAN 8:00 P.M. EST. YOU ARE ENCOURAGED TO
> TRANSMIT YOUR APPLICATION WELL BEFORE THE DEADLINE. APPLICATIONS, OR
> APPLICATION FILES, THAT HAVE AN IIPS DATE/TIME STAMP LATER THAN THE
> DEADLINE WILL NOT BE REVIEWED OR CONSIDERED FOR AWARD.**

**6.3 Questions Regarding Solicitation**

> All requests for explanation or interpretation of any part of the
> solicitation must be submitted through the "Submit Question" feature
> in IIPS. Questions regarding the solicitation should be submitted
> within twenty days after the solicitation is issued in order to allow
> sufficient
>
> time to provide a reply. Once a question is submitted, it cannot be
> edited. Questions submitted as well as the government's response to
> these questions may be viewed by using the "View Questions" feature in
> IIPS. The Government reserves the right not to respond to questions
> submitted by telephone, e-mail, facsimile or in person.
>
> To receive an email notification when a solicitation message is
> posted, enter the required information using the "Join Solicitation
> Mailing List" feature of IIPS. Even though you have joined the mailing
> list, you should visit the solicitation page periodically to ensure
> that you have the latest information.

**6.4 Amendments to Solicitation**

> The only method by which any term of this solicitation may be amended
> is by an express, formal amendment generated by the issuing office and
> disseminated through IIPS. No other communication, whether written or
> oral will amend or supersede the terms of this solicitation.
>
> Applicants are encouraged to periodically check IIPS to ascertain the
> status of any amendments and review the answers to questions as hard
> copies will not be distributed.

**6.5 Late Applications, Amendments and Withdrawals of Applications**

> An application or amendment of an application shall be timely if it is
> transmitted through IIPS, and the date/time of the transmission
> indicated by IIPS is on or before the closing date(s) indicated in
> Section 6.2, [Time, Date and Place Applications Are Due]{.underline}.
> Applications or amendments of applications may be withdrawn by
> contacting the IIPS HELP Desk. A second application or amendment may
> then be submitted. The second or subsequent application must be
> submitted before the closing date to be considered. For additional
> details, see Section 6.10, [Revisions, Deletions, and Withdrawal of
> Applications]{.underline}.
>
> In the event that two or more applications are received for the same
> project with the same file name, the application with the latest
> transmission time stamp will be considered for review. Therefore, it
> is important that you not merely make page changes and resubmit
> portions of the application that are amended. A complete amended
> application must be sent. Contact the IIPS HELP Desk at (800) 683-0751
> for assistance.

**6.6 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. A scanned copy of the
> signed document is not required.

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

-   Click on the "Register" button on the left.

-   Click on the box that says, "Check this box for Acquisitions greater
    than Simplified Acquisitions threshold or financial assistance" and
    then click on the radio button next to the "Register only" option.

-   Click on "Proceed to Form."

-   Read the "Security Alert" and click on "Yes" to proceed.

-   Read the "Notice of Disclaimer" and click on "I Accept."

-   Complete the Registration Form.

-   Click on "Submit Registration." You will receive an acknowledgement
    confirming receipt of your registration.

-   Then you will receive an email confirming successful registration.
    If you do not receive an email confirmation within one business day,
    contact the IIPS Help Desk at 1-800-683-0751 and select option 1, or
    send an email to <HelpDesk@e-center.doe.gov>.

-   Note the user name on your confirmation and your password for future
    reference. You must use this user name and password for any
    applications submitted in IIPS.

**6.8 Submitting Applications**

> You are strongly encouraged to submit your application at least 24
> hours before the deadline in order to have time to resolve any
> transmission problems. If you are registered in IIPS, you may use the
> IIPS test site at
> http://doe-iips.pr.doe.gov/iips/busopor.nsf/TestSolicitation?OpenView&login
> to practice submitting an application. You can also access the test
> site from the link provided at the top of each solicitation page.

To submit an application, complete the following steps:

> **[Step 1 \-- Prepare Application]{.underline}**
>
> Prepare all of the files in accordance with the instructions in this
> solicitation
>
> prior to starting the transmission process. You should submit the
> entire
>
> application package in one IIPS session (i.e., do not logoff before
> all the files are
>
> attached).
>
> **[Step 2 -- Locate Solicitation and Create Application]{.underline}**

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

-   Click on "Login" button on the left.

-   Click on the radio button that says, "Industry Interactive
    Procurement System."

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

-   The "View Synopses and Solicitations as Sorted by\...." screen will
    appear. Click on one of the choices and locate the solicitation.

-   Click on the solicitation number and the Synopsis & Solicitation
    Information screen will appear.

-   Click on "Create Application" (you may have to scroll to the right
    to locate the button) and complete the information on the
    Application Cover Page. Enter the project title and the principal
    investigator/project director, if any, in the "Subject" blank.

> **[Step 3 - Attach Files and Submit Application]{.underline}**

-   Click on "Submit Cover Page & Attach Files", complete information,
    and submit.

-   Click on "Attach Application" link.

-   Attach each file in the corresponding block on the page and then
    click "Submit."

-   IIPS will provide an acknowledgement.

-   Click on the link on the acknowledgement to verify submission. It
    will take you to your submission.

-   In order to verify successful transmission at a later date, click on
    the yellow folder beside the solicitation number. Your application
    should appear.

**6.9 Questions or Problems with Transmission**

> View the "IIPS Frequently Asked Questions" by clicking on the "Help"
> button. You may also call 1-800-683-0751 and select option 1, or send
> an email <IIPS_HelpDesk@e-center.doe.gov> for help with the IIPS
> system. If you have questions on the content of the solicitation,
> follow the directions for "Submit Question on the Content of the
> Solicitation." Additional instructions are available in the IIPS User
> Guide. Click on the "help" button to access the guide.

**6.10 Revisions, Deletions, and Withdrawal of Applications**

> **1. [Remove application or application file(s) from
> IIPS]{.underline}**
>
> To delete or withdraw an application or an application file(s), send
> an email to the
>
> IIPS Help Desk requesting the application or file(s), be removed. Be
> sure to
>
> identify your user name, the applicant's name, and the subject, as
> shown on the
>
> cover page of the application.
>
> **2. [Submit revised application]{.underline}**
>
> Follow the steps in "Submit Application or Pre-application" to submit
> a revised
>
> application (i.e., cover page and all required files).
>
> **3. [Submit revised file]{.underline}**
>
> After the Help Desk has removed the requested file from your
> application:

-   Locate the solicitation.

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

-   Click on the cover page of your submission, click on the "Attach
    Application" link, and attach the revised file. In the event that
    two files, with identical names, are included in an application, the
    file with the latest transmission date/time stamp will be considered
    for review, if it is received prior to the deadline.

**6.11 Administrative Issues**

> Minor administrative concerns may be addressed to the Procurement
> Member/Contract Specialist at 630-252-2508.

**7. [Regulatory Information ]{.underline}**

**7.1 DOE Minority Economic Impact Program**

> No funding is available under the Department of Energy (DOE) Minority
> Economic Impact (MEI) Program, 10 CFR Part 800, to finance the cost of
> preparing a financial assistance application under this solicitation.

**7.2 Catalog of Federal Domestic Assistance**

> The Catalog of Federal Domestic Assistance (CFDA) number for this
> solicitation is 81.086.

**7.3 Intergovernmental Review**

> Pre-submission reviews and clearances under E.O. 12372
> "Intergovernmental Review of Federal Programs" are not required under
> this solicitation.

**7.4 Applicable Regulations**

> The regulation applicable to this solicitation and its resultant
> awards is 10 CFR Part 600. These regulations can be found on the DOE
> Financial Assistance Home Page at: <http://www.access.gpo.gov/ecfr/>

**7.5 Statutory Authority**

> The statutory authority for this program is the U.S. Department of
> Energy Organization Act (Public Law 95-91) and the Energy Policy Act
> of 1992 (Public Law 102-486).

**7.6 Simpson-Craig Amendment**

> Applicant organizations which are described in Section 501(c)(4) of
> the Internal Revenue Code of 1986 and engage in lobbying activities
> after December 31, 1995 shall not be eligible for the receipt of
> Federal funds constituting an award, grant, or loan. Section 501(c)(4)
> of the Internal Revenue Code covers:
>
> "Civic leagues or organizations not organized for profit but operated
> exclusively for the promotion of social welfare, or local associations
> of employees, the membership of which is limited to the employees of a
> designated person or persons in a particular municipality, and the net
> earnings of which are devoted exclusively to charitable, educational,
> or recreational purposes."
>
> 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. Applicants qualifying as described in Section 501(c)(4) of
> the Internal Revenue Code of 1986 must fill out the representation
> included in Appendix K of this solicitation.

7.7 Nondiscrimination in Federally Assisted Programs

> In accordance with Title VI of the Civil Rights Act of 1964, P.L.
> 88-352, the applicant organization responding to this solicitation
> must agree to ensure that no person in the United States shall, on the
> grounds of race, color, national origin, sex, age, or handicap, be
> excluded from participation in, be denied the benefits of, or be
> otherwise subjected to discrimination under any program or activity in
> which the applicant receives federal assistance from the Department of
> Energy.

**7.8 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.

**7.9 Lobbying Restrictions (Energy & Water Act)**

> The awardee 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 statue and regulation.

**7.10 Lobbying Restriction (Interior Act)**

> The awardee 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.

**7.11 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.

**7.12 Compliance with Buy American Act**

In accepting this award, the Recipient agrees to comply with Sections 2
through 4 of the Act of March 3, 1993 (41 U.S.C. 10a-10c, popularly
known as the "Buy American Act"). The Recipient should review the
provisions of the Act to ensure that expenditures made under this award
are in accordance with it.

LIST OF

#### APPENDICES

Appendix Title

A Sample Cooperative Agreement

B Federal Assistance Reporting Checklist (DOE F 4600.2)

C Application for Federal Assistance (Standard Form 424)

D Assurance of Compliance (DOE F 1600.5)

E Certification Regarding Lobbying; Debarment, Suspension and Other
Responsibility Matters; and Drug-Free Workplace (FA-CERTS)

F National Environmental Policy Act (NEPA) Environmental Evaluation

> Notification Form

G Energy Policy Act (EPAct) Representation

H Representation Concerning Financial Management System

I Financial Assistance Pre-Award Information Sheet (AA-47)

J Automated Clearing House (ACH) Vendor/Miscellaneous Payment

> Enrollment Form

K Simpson-Craig Amendment Representation

L Disclosure of Lobbying Activities (SF-LLL)

M Financial Assistance Budget Information (DOE F 4600.4)

N Budget Explanation Page (AA-86-3-Modified)

O Model Indirect Cost Rate Proposal

P Representation Regarding Proposed Cost Sharing

Q Topic Requirements Matrix