**FUNDING OPPORTUNITY**

**ANNOUNCEMENT**

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

**High Temperature Electrochemistry Center (HiTEC) Advanced Research
Program**

**DE-PS26-05NT42470**

**CFDA Number:** **81.089 Fossil Energy Research and Development**

**CONTACT: Brittley Robbins, Contract Specialist**

**TELEPHONE NO.: 412.386.5430**

**FAX NO.:** **412.386.6137**

**E-MAIL: brittley.robbins@netl.doe.gov**

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

**National Energy Technology Laboratory**

**ISSUE DATE: April 7, 2005**

**DUE DATE: May 19, 2005**

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

> **NOTE: NEW REQUIREMENTS FOR GRANTS.GOV**

**Registration Requirements:** As part of the Department's
implementation of e-Government, we are encouraging the submission of
applications through Grants.gov. There are several one-time actions you
must complete in order to submit an application through Grants.gov
(e.g., obtain a Dun and Bradstreet Data Universal Numbering System
(DUNS) number, register with the Central Contract Registry (CCR),
register with the credential provider and register with Grants.gov). You
must complete all the one-time actions in "Get Started" at
[www.Grants.gov](http://www.Grants.gov/) prior to submitting your
initial application. Applicants, who are not registered with CCR and
Grants.gov, should allow at least 14 days to complete these
requirements. It is suggested that the process be started as soon as
possible. (See PART IV.H OTHER SUBMISSION AND REGISTRATION REQUIREMENTS)

**VERY IMPORTANT -- Download PureEdge Viewer:** In order to download the
application package, you will need to install PureEdge Viewer. This
small, free program will allow you to access, complete, and submit
applications electronically and securely. For a free version of the
software, visit the following Web site:
<http://www.grants.gov/DownloadViewer>.

  ---------------------------------------------------------------------- --
  **Training Demonstration On How To Complete An Application Package** - 
  Grants.gov has a multi-media presentation that guides you through the  
  process of completing an application package. It is recommended that   
  you view this training demonstration prior to submitting your          
  application. This demonstration can be found at:                       
  <http://www.grants.gov/CompleteApplication#demo>.                      

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

**TABLE OF CONTENTS**

PART I - FUNDING OPPORTUNITY DESCRIPTION
[5](#__RefHeading___Toc100054022)

A. SUMMARY [6](#__RefHeading___Toc100054023)

B. BACKGROUND INFORMATION [6](#__RefHeading___Toc100054024)

C. FUNDING OPPORTUNITY OBJECTIVES [7](#__RefHeading___Toc100054025)

D. PROGRAM AREAS OF INTEREST [7](#__RefHeading___Toc100054026)

PART II - AWARD INFORMATION [14](#__RefHeading___Toc100054027)

A. TYPE OF AWARD INSTRUMENT (NOV 2004)
[14](#__RefHeading___Toc100054028)

B. ESTIMATED FUNDING (ALTERNATE 1) (NOV 2004)
[14](#__RefHeading___Toc100054029)

C. MAXIMUM AND MINIMUM AWARD SIZE (NOV 2004)
[14](#__RefHeading___Toc100054030)

D. EXPECTED NUMBER OF AWARDS (NOV 2004)
[14](#__RefHeading___Toc100054031)

E. ANTICIPATED AWARD SIZE (NOV 2004) [14](#__RefHeading___Toc100054032)

F. PERIOD OF PERFORMANCE (NOV 2004) [15](#__RefHeading___Toc100054033)

**G. TYPE OF APPLICATION (NOV 2004)
\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....15**

**H. RESTRICTIONS ON TRANSFER OF FUEL CELL TECHNOLOGY TO FOREIGN
ENTITIES \....15**

PART III - ELIGIBILITY INFORMATION [17](#__RefHeading___Toc100054034)

A. ELIGIBLE APPLICANTS - DOMESTIC (NOV 2004)
[17](#__RefHeading___Toc100054035)

B. COST SHARING - EPACT (NOV 2004) [17](#__RefHeading___Toc100054036)

C. OTHER ELIGIBILITY REQUIREMENTS (NOV 2004)
[17](#__RefHeading___Toc100054037)

PART IV - APPLICATION AND SUBMISSION INFORMATION
[19](#__RefHeading___Toc100054038)

A. ADDRESS TO REQUEST APPLICATION PACKAGE (NOV 2004)
[19](#__RefHeading___Toc100054039)

B. LETTER OF INTENT AND PREAPPLICATION (NOV 2004)
[19](#__RefHeading___Toc100054040)

C. CONTENT AND FORM OF APPLICATION -- 424 (NOV 2004)
[19](#__RefHeading___Toc100054041)

C1. CONTENT AND FORM OF APPLICATION -- GRANTS.GOV (NOV
2004)\...\...\...\...\...\...\...\...\... 19

C2. CONTENT AND FORM OF APPLICATION -- IIPS (NOV 2004)
[29](#__RefHeading___Toc100054042)

D. SUBMISSION DATES AND TIMES (NOV 2004)
[30](#__RefHeading___Toc100054043)

E. SUBMISSIONS FROM SUCCESSFUL APPLICANTS (NOV 2004)
[30](#__RefHeading___Toc100054044)

F. INTERGOVERNMENTAL REVIEW - NONE (NOV 2004)
[30](#__RefHeading___Toc100054045)

G. FUNDING RESTRICTIONS (NOV 2004) [30](#__RefHeading___Toc100054046)

H. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS (NOV 2004)
[31](#__RefHeading___Toc100054047)

PART V - APPLICATION REVIEW INFORMATION
[32](#__RefHeading___Toc100054048)

A. CRITERIA (NOV 2004) [32](#__RefHeading___Toc100054049)

B. REVIEW AND SELECTION PROCESS (NOV 2004)
[34](#__RefHeading___Toc100054050)

C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES (NOV 2004)
[34](#__RefHeading___Toc100054051)

PART VI - AWARD ADMINISTRATION INFORMATION
[35](#__RefHeading___Toc100054052)

A. AWARD NOTICES (NOV 2004) [35](#__RefHeading___Toc100054053)

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS (NOV 2004)
[35](#__RefHeading___Toc100054054)

C. REPORTING [35](#__RefHeading___Toc100054055)

PART VII - AGENCY CONTACTS [36](#__RefHeading___Toc100054056)

A. CONTACTS (NOV 2004) [36](#__RefHeading___Toc100054057)

B. ELECTRONIC QUESTIONS (NOV 2004) [36](#__RefHeading___Toc100054058)

PART VIII - OTHER INFORMATION [37](#__RefHeading___Toc100054059)

A. MODIFICATIONS (NOV 2004) [37](#__RefHeading___Toc100054060)

B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE (NOV 2004)
[37](#__RefHeading___Toc100054061)

C. COMMITMENT OF PUBLIC FUNDS (NOV 2004)
[37](#__RefHeading___Toc100054062)

D. EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL (NOV 2004)
[37](#__RefHeading___Toc100054063)

E. INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM (NOV 2004)
[37](#__RefHeading___Toc100054064)

F. NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES (NOV 2004)
[38](#__RefHeading___Toc100054065)

G. PARTICIPATION BY FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTER
(FFRDC) CONTRACTORS (NOV 2004) [38](#__RefHeading___Toc100054066)

H. PROPRIETARY APPLICATION INFORMATION (NOV 2004)
[39](#__RefHeading___Toc100054067)

ATTACHMENT A - FEDERAL ASSISTANCE REPORTING CHECKLIST
[40](#__RefHeading___Toc100054068)

**PART I - FUNDING OPPORTUNITY DESCRIPTION**

**Public Law 95-91 DOE Organization Act, as amended by PL 102-486 Energy
Policy Act**

[]{#__RefHeading___Toc100054022 .anchor}

**A. SUMMARY**

> The Department of Energy (DOE), National Energy Technology Laboratory
> (NETL) is seeking applications to aid in the development of High
> Temperature Electrochemical Power Generation & Energy Storage
> Technology and Advanced Fuel Feedstock under the High Temperature
> Electrochemical Center (HiTEC) Advanced Research Program. This funding
> opportunity will provide financial assistance to organizations capable
> of performing basic, fundamental and applied research to advance
> scientific understanding of and to devise concepts that apply new
> scientific insights toward advancement of novel electrochemical based
> power generation and energy storage technologies for use at large
> central coal power plants.
>
> There is need and value for providing energy storage technologies at
> central power plants; especially coal-based plants. One significant
> benefit involves enabling central coal plants with load leveling and
> peak load electricity supply capabilities. This will enable large
> central power plants to utilize energy storage to satisfy daily and
> seasonal peak load periods between 3 - 10 hours in duration.
>
> This investment in large energy storage technologies for central coal
> power plants is anticipated to result in spin-off products for smaller
> scale power generation systems. For example, high temperature energy
> storage technology developed could serve regional and local needs when
> integrated with high temperature power generation units, such as
> molten carbonate and solid oxide fuel cells as well as waste heat from
> microturbines.
>
> This funding opportunity seeks novel concepts to develop new, highly
> innovative electrochemical technology concepts. Results are
> anticipated to benefit other DOE Programs such as FutureGen and the
> Solid State Energy Conversion Alliance (SECA). Results will be made
> available to industry through publications and presentations at HiTEC
> workshops. The HiTEC workshops will include an annual peer review
> element.
>
> NETL anticipates the award of cooperative agreements under the HiTEC
> Advanced Research Program, with an estimated period of performance of
> three to four years. Phase I will be twenty-four (24) months and will
> consist of two one-year budget periods. Phase II will generally be
> twelve (12) months with possibility for up to twenty-four (24) months
> if determined necessary to fully address the remaining research and
> development objectives. Only Phase I award Recipients will be eligible
> to submit a Phase II renewal application to receive funds for Phase II
> research.
>
> Universities and small business research entities are considered well
> suited for this role of generating new knowledge and creating
> scientific breakthroughs. Universities are therefore highly encouraged
> to participate; however, the funding opportunity is open to any
> nonprofit or for-profit organization, university or other institution
> of higher education, or non-federal agency, unless otherwise
> restricted by the eligibility requirements found in Part III A and C.
> It is NETL's goal to conduct the HiTEC program in such a manner that
> it includes a variety of organizational types. This goal is reflected
> in the program policy factors contained in Part V.
>
> Applications will only be entertained for the specific sub-areas of
> interest advertised in this announcement. Applications submitted that
> do not address a specific sub-area of interest of this announcement
> will be considered non-responsive.
>
> All participants will be required to satisfy identified cost and
> performance targets before proceeding to the next Phase. The DOE will
> require that all participants demonstrate how end-of-phase cost and/or
> performance targets will be met throughout the duration of this
> program.

[]{#__RefHeading___Toc100054023 .anchor}

**B. BACKGROUND INFORMATION**[]{#__RefHeading___Toc100054024 .anchor}

> High temperature electrochemical technologies represent an important
> opportunity to utilize fossil fuels in an efficient and
> environmentally friendly manner. Simple cycle solid oxide fuel cells
> have obtained efficiencies for AC power as high as forty-five to fifty
> percent (45-50%) with NOx production less than 0.5 parts-per-million
> (ppm). Coal-based power producing systems in combination with other
> high temperature electrochemical power producing components have the
> potential for even higher efficiencies in converting fossil fuels to
> AC electricity. High temperature energy storage technologies can
> enhance energy efficiency of central coal power plants while adding
> load leveling and peak load following capabilities.
>
> The goals of the HiTEC program are consistent with the 2001 National
> Energy Policy and DOE's implementation strategy.

-   Increasing America's domestic energy supplies

-   Protecting America's environment

-   Ensuring a comprehensive delivery system

-   Enhancing national energy security

> The High Temperature Electrochemistry Center Advanced Research program
> is important to achieving these goals. Furthermore, HiTEC addresses
> Presidential Initiatives including FutureGen, Climate Change and Clear
> Skies.

-   Developments in solid-oxide materials enable high temperature energy
    conversion processes resulting in highly efficient energy
    technologies. For example, even without cogeneration a solid-oxide
    fuel cell system can be twice as efficient as competing technologies
    due to the direct conversion of fuel to electrical power. With
    thermal recovery, system efficiency could reach 85%.

-   Solid-oxide material based power generation and energy storage
    technologies facilitate achieving low to zero pollution emissions.
    They generate no solid wastes, and due to the higher efficiency and
    the replacement of fossil fuel combustion with high temperature
    electrochemical energy conversion, HiTEC technologies can
    significantly lower emissions of nitrogen compounds and greenhouse
    gases.

-   High temperature electrochemical processes expand energy choices.
    They can be applied to numerous systems and products for the
    production of electrical power from fossil fuels in a very efficient
    manner. As environmental requirements become more stringent,
    virtually pollution free electrochemical processes are an important
    option in producing and storing electrical energy.

-   In general, high temperature electrochemical process materials and
    systems are amenable to manufacture as small scalable modules
    produced cheaply by taking advantage of economies of production.
    Such attributes are well suited for developing countries without an
    existing energy infrastructure, and can help meet a growing
    worldwide demand for energy. Therefore, such HiTEC technologies
    should not require large one-time investments of capital that have
    previously characterized large central generation plant costs. The
    modules produced will be scalable allowing application of capital in
    smaller incremental amounts to enable shorter investment planning
    horizon thereby lowering risks associated capital equipment
    investment versus future load growth predictions.

**C. FUNDING OPPORTUNITY OBJECTIVES**[]{#__RefHeading___Toc100054025
.anchor}

> Awards under the HiTEC Advanced Research Program will include two
> phases. The selection for each phase will be based on a competitive
> process.
>
> The objective of Phase I is to investigate the feasibility of the
> proposed concept/approach. Only Phase I recipients will have the
> opportunity to submit a renewal application to receive funds for Phase
> II research. If the Phase I work demonstrates feasibility, the
> technology has commercialization merit, and adequate program funds are
> available, the recipient may be awarded a Phase II renewal award. The
> objective of the Phase II work is to advance the science and
> technology to a sufficient maturity level that it can be integrated
> into large coal-based power generation systems. Phase I will be for a
> period of 24 months and will consist of two one-year budget periods.
> Phase II will be 12 -- 24 months in duration and will consist of
> one-year budget periods. Additionally, Decision Points may be
> negotiated into the Statement of Project Objectives (SOPO) at time of
> award if applicable to an individual project.
>
> To ensure that HiTEC Program funds are best applied, projects must be
> re**-**evaluated at the completion of Phase I, based on the strength
> of the technical idea and approach, Phase I progress and
> reasonableness of cost.
>
> To accomplish these objectives and comply with the DOE\'s financial
> assistance regulations, the Phase I funding opportunity announcement
> is being issued on an unrestricted basis while eligibility for Phase
> II renewal awards is restricted to Phase I award recipients.

**D. PROGRAM AREAS OF INTEREST** []{#__RefHeading___Toc100054026
.anchor}

> This funding opportunity notice contains multiple program areas of
> interest identified in the funding opportunity description. Applicants
> are cautioned that this funding opportunity announcement is a master
> announcement and that each program area of interest has its own
> program-specific number for submission of applications. For example,
> Program Area of Interest 1A, "Energy Storage Utilizing High
> Temperature Electrochemical Processes" has a funding opportunity
> number of DE-PS26-05NT42470-1A. Applications cannot be submitted under
> the master announcement.
>
> Applicants should submit their application under the program area
> which best fits the majority of the effort to be performed. If an
> application is submitted under a program area of interest in which the
> DOE believes fits more appropriately in another program area of
> interest, the applicant will be directed to resubmit under the
> appropriate area of interest. Do not submit an identical application
> under more than one area of interest.
>
> You may submit more than one application. Each application must have
> its own unique title on the subject line (i.e., project title and
> principal investigator/project director, if any).
>
> **Area of Interest 1 -- High Temperature Electrochemical Power
> Generation &**
>
> **Energy Storage Technology**
>
> **Area of Interest 1A -- Energy Storage Utilizing High Temperature
> Electrochemical**
>
> **Processes**
>
> In addition to power generation, electrochemical principles embodied
> in fuel cell architectures are applicable to energy storage
> technologies. Fuel cell architectures enable larger scale and longer
> term energy storage than achievable using existing technologies.
> Availability of such energy storage technology would permit central
> peaking and load leveling using abundant and inexpensive coal without
> the need to consume more expensive fuels during peak periods. This
> should also avoid/reduce the need for central generation power plants
> to consume fuels such as natural gas during periods of high fossil
> fuel usage during cold winter periods when residential demand is
> highest for such fuels.
>
> Applications are solicited for research and development of innovative
> concepts that substantially improve the energy storage capabilities
> and cost of high temperature energy storage systems based on fuel cell
> architectures. High temperature electrochemical base energy storage
> concepts are sought that enable utilities to use coal-based power
> plants to meet variable daily peak load demands at a cost of
> electricity (COE) 25% lower than current alternatives for satisfying
> peak power and load leveling requirements. Energy storage and
> conversion roundtrip efficiencies of at least 60% are expected for
> stand alone systems, with greater overall efficiency attained through
> integration with other high temperature power generation systems.
> Concepts developed at lab-scale must be scalable for use in large
> central power or distributed generation. Proposed concepts and
> technologies must be consistent with the zero to near-zero pollution
> emission and environmental hazard goals of the FutureGen, Climate
> Change and Clear Skies programs, including end-of-life disposal.
>
> Viable high temperature storage technologies, when integrated with
> other high temperature power generation systems, must be capable of
> achieving a commercially viable cost at annual production quantities
> of at least 250MW of capacity. The cost per kilowatt capacity at such
> production volumes and considering viable technical performance
> targets must be capable of achieving a capital cost of \$350/kW.
>
> **Area of Interest 1B -- Revolutionary High Temperature
> Electrochemical Power Technology**
>
> Applications are solicited for novel/revolutionary concepts to produce
> power by high temperature electrochemical processes as stand-alone
> products and for products integrated with other high temperature power
> generation systems to utilize currently rejected waste thermal energy.
> Applications for work on fuel cell types such as solid oxide fuel
> cells (SOFC), molten carbonate fuel cells (MCFC), phosphoric acid,
> alkaline or polymer electrolyte membrane (PEM) will not be accepted.
> Applications will not be accepted for work on other non-revolutionary
> electrochemical means of power production such as batteries.
> Applications may be considered if a concept includes elements of these
> technologies and a strong case can be made that the concept is
> revolutionary in nature and not evolutionary work on existing
> concepts. Very high power density and micro power devices will be
> considered. Reversible fuel cells and open system fuel
> cell/electrolyzer hybrids are two possibilities. Concepts must be
> capable of achieving a capital cost of \$400/kW or less for annual
> production quantities of approximately 50,000. Proposed concepts and
> technologies must be consistent with the zero to near-zero pollution
> emission and environmental hazard goals of the FutureGen, Climate
> Change and Clear Skies programs, including end-of-life disposal.
>
> **Area of Interest 1C -- Thermoelectric-SOFC Hybrid Energy
> Conversion**
>
> Higher energy conversion efficiency of fossil fuels in excess of 65%
> can be achieved through integration of thermoelectric conversion
> devices with waste heat exhaust streams from high temperature fossil
> fuel power systems. Possible application of thermoelectric materials
> in fossil fuel feed power generation systems is recovery of waste heat
> from high temperature fuel cell power systems. In addition, such
> integration enables leveraging balance-of-plant subsystems and
> components to improve the integrated cost per kilowatt of electricity
> generation capacity. For example, significant cost savings can be
> realized by combining power management into the power conditioning
> subsystem already available with an SOFC power plant.
>
> SOFCs being developed under the Solid State Energy Conversion Alliance
> (SECA) are expected to operate at 700 to 900 ^o^C, with molten
> carbonate fuel cells operating at 600 to 800 ^o^C. The quality thermal
> energy discharged from these fuel cells is at relatively high
> temperature (200 -- 300 ^o^C for SOFCs) and is amenable to
> co-generation of electricity with thermoelectric power generating
> devices. The resulting temperature differential with ambient air is
> \~100-200 ^o^C in hot climates and \~200-300 ^o^C in cold climates.
> Therefore, more electrical energy would be available to satisfy
> heating needs during winter months, thereby reducing consumption of
> fossil fuels, such as natural gas and liquefied natural gas during the
> heating season.
>
> Applying thermoelectric devices to SOFC plant exhaust can enable
> generation of additional electricity when thermal energy is not
> demanded. Conversely, the thermoelectric generation of electricity can
> be scaled back to enable extraction of thermal energy when required.
> On the other hand, maximizing electricity generation via hybridization
> of thermoelectric and SOFC technologies enables utilization of
> electric-to-thermal energy conversion technologies at the thermal
> energy point-of-use. The latter can provide greater flexibility in the
> relative placement between the SOFC plant and the thermal load due to
> the ease of routing electrical cabling to the thermal energy
> point-of-use. For these reasons it can be more attractive to use
> solid-state thermoelectric devices than the thermo-mechanical methods
> to recover the waste heat in small and medium sized high temperature
> fuel cells such as systems used for distributed power generation.
>
> Applications are sought to investigate concepts that integrate
> thermoelectric devices into SOFC power systems and to analyze the
> technical and cost trade-offs associated with integrating the
> thermoelectric devices. The analysis should explore a range of SOFC
> power plant sizes and define the technical performance and cost
> targets required of thermoelectric devices that must be met to produce
> integrated thermoelectric-SOFC products that achieve the SECA cost
> goal of \$400/kW or less at approximately 50,000 units per year
> production volume.
>
> **Area of Interest 2 -- Advanced Fuel Feedstock**
>
> **Area of Interest 2A -- Effect of Coal Contaminants on Solid Oxide
> Fuel Cell System Performance and Service Life**
>
> Applications are sought to investigate the degradation mechanisms and
> effects of coal contaminants on solid oxide fuel cells. SOFCs being
> developed under the Solid State Energy Conversion Alliance (SECA) are
> expected to operate at 700 to 900 ^o^C on coal-derived hydrogen-rich
> synthesis fuel. Contaminants in gasified coal vary considerably with
> the gasification technology used and the coal feedstock. Previous DOE
> funded studies have identified likely chemical species and
> concentration levels. Chemical species of initial interest are
> identified in the table below. It is necessary to understand the
> sensitivity of solid oxide fuel cells (SOFCs) to coal contaminants to
> enable assessing the catastrophic damage risk and mechanisms if higher
> than planned levels of contaminants slip past coal clean-up systems.
> An additional objective is to understand the impact of long-term
> cumulative degradation to SOFC performance and service life for
> low-level exposure to coal synthesis gas stream contaminants. The SOFC
> electrochemical reaction environment may or may not exacerbate the
> impact of coal contaminants on the anode processes and hence
> performance. The anode presents a reducing environment with increasing
> steam content from inlet to outlet that can enhance contamination and
> corrosion mechanisms. It is anticipated that investigation findings
> will be critical in establishing failure mode and effect criteria for
> coal gasification clean-up systems that supply SECA-based SOFC
> generation plants.

  ----------------- ----------------- -------------------------- ---------------
  **Contaminant**   **Concentration   **Comments**               **Reference**
                    (ppmv)**                                     

  Arsenic, as       \<0.04            Kingsport gasification     2
  AsH~3~                              stream                     

                    0.150-0.578       Kingsport gasification     3
                                      feed conc.                 

                    0.2               UND-EERC highest           1
                                      vaporization               

  Halogens {Cl & F} \~0               Kingsport gasification     2
                                      stream                     

  Chlorine          120               UND-EERC highest           1
                                      vaporization               

  CH~3~F            2.55              Kingsport gasification     3
                                      feed conc.                 

  CH~3~Cl           2.01              Kingsport gasification     3
                                      feed conc.                 

  HCl               \<1               Kingsport gasification     2
                                      stream                     

  Fe(CO)~5~         0.05-0.01         Kingsport gasification     2
                                      stream                     

                    5.63              Kingsport gasification     3
                                      feed conc.                 

  Ni(CO)~4~         0.025-0.001       Kingsport gasification     2
                                      stream                     

  HCN               \<1               Kingsport gasification     2
                                      stream                     

  CH~3~SCN          2.14              Kingsport gasification     3
                                      feed conc.                 

  Acetonitrile      \<0.5             Kingsport gasification     2
                                      stream                     

  PH~3~             1.91              Kingsport gasification     3
                                      feed conc.                 

  Antimony          \<0.025           Kingsport gasification     2
                                      stream                     

                    0.07              UND-EERC highest           1
                                      vaporization               

  Cadmium           0.011             UND-EERC highest           1
                                      vaporization               

  Beryllium         \<0.025           Kingsport gasification     2
                                      stream                     

  Chromium          \<0.025           Kingsport gasification     2
                                      stream                     

                    6.0               UND-EERC highest           1
                                      vaporization               

  Mercury           \<0.025           Kingsport gasification     2
                                      stream                     

                    0.0015            UND-EERC highest           1
                                      vaporization               

  Nickel            3.0               UND-EERC highest           1
                                      vaporization               

  Potassium         512               UND-EERC highest           1
                                      vaporization               

  Selenium          \<0.15            Kingsport gasification     2
                                      stream                     

                    0.17              UND-EERC highest           1
                                      vaporization               

  Sodium            320               UND-EERC highest           1
                                      vaporization               

  Thiophene         1.61              Kingsport gasification     3
                                      stream                     

  Vanadium          \<0.025           Kingsport gasification     2
                                      stream                     

  Lead              0.26              UND-EERC highest           1
                                      vaporization               

  Zinc              9.0               UND-EERC highest           1
                                      vaporization               
  ----------------- ----------------- -------------------------- ---------------

> **References**
>
> Some of the following references are available on the HiTEC Website at
> [http://www.netl.doe.gov/coal/Distributed%20Generation/hitec.html]{.underline}
>
> **[Area of Interest 1A -- Energy Storage Utilizing High Temperature
> Electrochemical Processes]{.underline}**
>
> 1\. FutureGen Website,
> <http://www.netl.doe.gov/coal/futuregen/index.html>
>
> 2\. Solid State Energy Conversion Alliance Website,
> [www.http://seca.doe.gov](http://www.http://seca.doe.gov)
>
> 3\. 2004 Office of Fossil Energy Fuel Cell Program Annual Report
>
> 4\. Nourai, A., "Comparison of the Cost of Energy Storage Technologies
> for T&D Applications," American Electric Power, July, 2004, available
> at
> [www.http://electricitystorage.org](http://www.http://electricitystorage.org)
>
> 5\. "EPRI-DOE Handbook Supplement of Energy Storage for Grid Connected
> Wind Generation Applications," 1008703 - 12/15/2004 - 05T094.0
>
> 6\. "EPRI-DOE Handbook of Energy Storage for Transmission and
> Distribution Applications," 1001834 - 12/17/2003 - 05T094.0
>
> 7\. "Electrical Energy Storage Applications and Technologies,"
> <http://www.sandia.gov/eesat>
>
> **[Area of Interest 1B -- Revolutionary High Temperature
> Electrochemical Power Technology]{.underline}**
>
> 1\. Solid State Energy Conversion Alliance Website,
> [www.http://seca.doe.gov](http://www.http://seca.doe.gov)
>
> 2\. 2004 Office of Fossil Energy Fuel Cell Program Annual Report
>
> 3\. Electrochemical Science and Technology Information Resource
> (ESTIR), <http://electrochem.cwru.edu/estir/inet.htm>
>
> **[Area of Interest 1C-- Thermoelectric-SOFC Hybrid Energy
> Conversion]{.underline}**
>
> 1\. Fairbanks, J.W., "Chairman's Overview of High Efficiency
> Thermoelectrics and Potential Applications" and "Executive Summary --
> Thermoelectrics" at the DOE/EPRI High Efficiency Thermoelectric
> Workshop, February 17--20, 2004, Loews Coronado Bay Resort, San Diego,
> CA.
>
> 2\. Bhat Sameer, "Introduction to Thermoelectric Devices,"
> <http://www.me.utexas.edu/~lishi/L15-THERMOELECTRIC1.ppt>
>
> 3\. Caillat, T, J. Sakamoto, L. Lara, A. Jewell, and A. Kisor,
> "Progress Status of Skutterudite-Based Segmented Thermoelectric
> Technology Development" at the DOE/EPRI High Efficiency Thermoelectric
> Workshop, February 17--20, 2004, Loews Coronado Bay Resort, San Diego,
> CA.
>
> 4\. Browing, V. M. "Thermoelectric Power Generation," DARPA Palm Power
> Workshop, November 14-15, 2000, Fort Lauderdale, FL.
>
> 5\. Prater, J., "DoD Interests in High Efficiency Thermoelectrics", at
> the DOE/EPRI High Efficiency Thermoelectric Workshop, February 17--20,
> 2004, Loews Coronado Bay Resort, San Diego, CA.
>
> 6\. Bell, L. BSST "Thermoelectric Technology Readiness for Large-Scale
> Commercialization" at the DOE/EPRI High Efficiency Thermoelectric
> Workshop, February 17--20, 2004, Loews Coronado Bay Resort, San Diego,
> CA.
>
> 7\. Global Thermoelectric Inc, "Perspectives from 29 years of
> Thermoelectric Power Generation" at the DOE/EPRI High Efficiency
> Thermoelectric Workshop, February 17--20, 2004, Loews Coronado Bay
> Resort, San Diego, CA.
>
> 8\. Bell, L. BSST "Technology Requirements for Solid State Power
> Conversion" at the DOE/EPRI High Efficiency Thermoelectric Workshop,
> February 17 --20, 2004, Loews Coronado Bay Resort, San Diego, CA.
>
> 9\. Dresselhaus, M. "New Directions for Low Dimensional
> Thermoelectricity" at the DOE/EPRI High Efficiency Thermoelectric
> Workshop, February 17--20, 2004, Loews Coronado Bay Resort, San Diego,
> CA.
>
> 10\. Solid State Energy Conversion Alliance Website,
> [www.http://seca.doe.gov](http://www.http://seca.doe.gov)
>
> 11\. 2004 Office of Fossil Energy Fuel Cell Program Annual Report
>
> **[Area of Interest 2A -- Effect of Coal Contaminants on Solid Oxide
> Fuel Cell System Performance and Service Life]{.underline}**
>
> 1\. Pigeaud, A.E., and Helble, J.J., "Trace Species Emissions for
> IGFC," presented at Coal-Fired Power Systems 94 -- Advances in IGCC,
> Morgantown, WV, and PFBC Review Meeting, June 21--23, 1994
>
> 2\. A. W. Wang, "Task 3.5: Poison Resistant Catalyst Development and
> Testing, Design and Construction of the Alternative Fuels Field Test
> Unit and Liquid Phase Methanol Feedstock and Catalyst Life Testing at
> Eastman Chemical Company (Kingsport, TN)," March 1997, Air Products
> and Chemicals, Inc. DOE Contract DE-FC22-95PC93052 Topical Report
>
> 3\. "Removal of Trace Contaminants from Coal-Derived Synthesis Gas,"
> March 2003, Air Products and Chemicals, Inc. and Eastman Chemical
> Company DOE Contract DE-FC22-92PC90543 Topical Report
>
> 4\. Solid State Energy Conversion Alliance Website,
> [www.http://seca.doe.gov](http://www.http://seca.doe.gov)
>
> 5\. 2004 Office of Fossil Energy Fuel Cell Program Annual Report
>
> 6\. FutureGen Website,
> <http://www.netl.doe.gov/coal/futuregen/index.html>
>
> **PART II - AWARD INFORMATION** []{#__RefHeading___Toc100054027
> .anchor}

**A. TYPE OF AWARD INSTRUMENT (NOV 2004)**
[]{#__RefHeading___Toc100054028 .anchor}

> DOE anticipates awarding cooperative agreements under this Program
> Announcement.
>
> DOE will negotiate a Statement of Substantial Involvement prior to the
> award of any cooperative agreement. This statement will describe the
> Government\'s substantial involvement.

**B. ESTIMATED FUNDING (ALTERNATE 1) (NOV 2004)**
[]{#__RefHeading___Toc100054029 .anchor}

> Approximately \$1,750,000 is expected to be available in Fiscal Year
> 2005 for new awards under this Announcement for Phase I. The actual
> level of funding for Fiscal Year 2005 and all subsequent years depends
> on the appropriations for this program.

**C. MAXIMUM AND MINIMUM AWARD SIZE (NOV 2004)**
[]{#__RefHeading___Toc100054030 .anchor}

> Ceiling (i.e., the maximum amount for an individual award made under
> this announcement): NONE
>
> Floor (i.e., the minimum amount for an individual award made under
> this announcement): NONE
>
> See Anticipated Award Size---Clause E. below

**D. EXPECTED NUMBER OF AWARDS (NOV 2004)**
[]{#__RefHeading___Toc100054031 .anchor}

> DOE anticipates making five (5) to seven (7) awards under this
> Announcement. However, the Government reserves the right to fund, in
> whole or in part, any, all, or none of the applications submitted in
> response to this announcement and will award that number of financial
> assistance instruments which serves the public purpose and is in the
> best interest of the Government.

**E. ANTICIPATED AWARD SIZE (NOV 2004)** []{#__RefHeading___Toc100054032
.anchor}

> Approximate Award Size (i.e., the nominal amount for an individual
> award made under this Funding Opportunity Announcement):
>
> Phase I awards will be nominally valued at \$350,000 (\$280,000 DOE
> 80% share and \$70,000 Recipient 20% cost share). Phase II, 12 month
> awards will nominally be valued at \$200,000 (\$160,000 DOE 80% share
> and \$40,000 Recipient 20% cost share) and will be funded in one-year
> budget periods. Phase I awards under sub-topic 1A (*High Temperature
> Electrochemistry Conversion and Energy Storage Systems*) will be
> accepted at \$500,000 (\$400,000 DOE 80% share and at least \$100,000
> Recipient 20% cost share) given the need to fund fabrication of
> proof-of-concept system hardware. Likewise, Phase II awards under
> sub-topic 1A (*High Temperature Electrochemistry Conversion and Energy
> Storage Systems*) will be accepted at \$500,000 (\$400,000 DOE 80%
> share and at least \$100,000 Recipient 20% cost share).

**F. PERIOD OF PERFORMANCE (NOV 2004)** []{#__RefHeading___Toc100054033
.anchor}

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

+-----------------------+-----------------------+---------------------+
|                       | **Phase I**           | **Phase II**        |
+-----------------------+-----------------------+---------------------+
| Est. No. of Awards    | 5-7                   | 5-7                 |
+-----------------------+-----------------------+---------------------+
| Period of Performance | 24 months             | 12-24 months        |
+-----------------------+-----------------------+---------------------+
| [M                    | 20%                   | 20%                 |
| andatory]{.underline} |                       |                     |
|                       |                       |                     |
| Non-Federal Cost      |                       |                     |
| Share                 |                       |                     |
+-----------------------+-----------------------+---------------------+

**G. TYPE OF APPLICATION (NOV 2004)**

> DOE will initially make Phase I awards. Phase I awardees wishing to
> continue their projects into the aforementioned Phase II will have the
> opportunity to submit a renewal application.

**[Renewal Application]{.underline}**

> DOE will award Phase I of the projects initially. Phase I awardees
> wishing to continue their projects into Phase II will have the
> opportunity to submit a renewal application to received funds for
> Phase II work. Applicants for Phase II will be restricted to Phase I
> recipients. Selection of Phase II projects will be based on strength
> of the technical idea and approach, Phase I progress, availability of
> funds and application of the program policy factors contained in the
> subject announcement. Phase II projects will be awarded for a period
> of 12-24 months and will consist of one-year budget periods.
> Additional Decision Point(s) may be negotiated into a Phase II
> Statement of Project Objectives at the time of any renewal award, as
> applicable.
>
> Successful applicants will be required to prepare a comprehensive
> renewal application to include a detailed discussion of Phase I
> accomplishments, plans/approaches for completing Phase II.
> Specifically, the renewal application will be due no later than 90
> days prior to the end of Phase I and will include:
>
> \(1\) Phase I Topical Report. The report shall detail and discuss
> Phase I accomplishments;
>
> \(2\) Phase II Technical Application. This application shall include a
> detailed discussion of the plans and technical approach for completing
> Phase II;
>
> \(3\) Updated Certifications and Assurances;
>
> \(4\) Phase II Budget (SF 424A).
>
> Forms for submission of renewal applications can be found at the
> following websites:
>
> Certifications and Assurances
>
> [http://grants.pr.doe.gov](http://grants.pr.doe.gov/)
>
> Budget Pages (SF 424A) & Application for Federal Assistance (SF 424)
>
> <http://e-center.doe.gov/iips/faopor.nsf/Forms?OpenForm>
>
> The cost application will include an SF 424 (Application for Federal
> Assistance) and an SF 424A (Budget Information) along with
> accompanying supporting cost detail (for Phase II) in accordance with
> 10 CFR 600.26. Additional detailed information will be provided in the
> Award document regarding the renewal application.

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

> NOTE: This clause shall be relevant only to Area of Interest 1, "High
> Temperature Electrochemical Power Generation & Energy Storage
> Technology". Any subsequent award(s) made under Area of Interest 1
> will include the following clause unless the Recipient is exempt under
> the Bayh-Dole Act.
>
> It is agreed that the Recipient shall obtain adequate recognition of
> the United States support for the technology \-- patented or
> unpatented \-- developed \-- or utilized \-- under this Cooperative
> Agreement in any contracts, licenses, or other agreements which
> involve the transfer to foreign entities of the fuel cell technology
> developed in whole or in part at Government expense. The Recipient
> agrees to notify the Assistant Secretary for Fossil Energy in writing
> of the adequate recognition obtained prior to entering into any such
> contracts, licenses, or other agreements. The Recipient shall not
> enter into any such contracts, licenses, or other agreements without
> the concurrence of the Assistant Secretary for Fossil Energy or
> designee. The determination of whether to grant such concurrence shall
> be at the sole discretion of the Assistant Secretary for Fossil Energy
> or designee and is not subject to litigation under the Financial
> Assistance Appeals Board (10 CFR Part 1024). The determination shall
> be in writing and shall be furnished to the Recipient by the
> Contracting Officer.

**PART III - ELIGIBILITY INFORMATION** []{#__RefHeading___Toc100054034
.anchor}

**A. ELIGIBLE APPLICANTS - DOMESTIC (NOV 2004)**
[]{#__RefHeading___Toc100054035 .anchor}

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

**B. COST SHARING - EPACT (NOV 2004)** []{#__RefHeading___Toc100054036
.anchor}

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

**C. OTHER ELIGIBILITY REQUIREMENTS (NOV 2004)**
[]{#__RefHeading___Toc100054037 .anchor}

> [Energy Policy Act Eligibility Requirements]{.underline}.
>
> Section 2306 of the Energy Policy Act of 1992 (EPACT) \[42 U.S.C.
> 13525\] imposes certain eligibility requirements on awards made under
> this program. In order to make an award to an applicant that is a
> business entity, other than a non-profit organization of the type
> described in section 501(c)(3) of the Internal Revenue Code of 1954,
> DOE must determine that the applicant's participation will be in the
> economic interest of the United States and that the applicant is
> either a U.S. owned company or is incorporated or organized under the
> laws of any State and that its parent company is incorporated or
> organized under the laws of a country that affords: (1) to U.S. owned
> companies opportunities comparable to those afforded to any other
> company to participate in government-supported joint ventures in
> energy research and development and in local investment opportunities;
> and (2) adequate and effective protection for intellectual property
> rights of the U. S. owned companies. Eligible applicants must be able
> to meet these two tests. (See Part C.1 Attachment 5 for submission of
> EPACT Representation.)
>
> [Federally Funded Research and Development Center (FFRDC)
> Contractors]{.underline}.
>
> FFRDC applicants are not eligible for an award. A list of the FFRDC
> contractors is available at
> [http://www.nsf.gov/sbe/srs/ffrdc/start.htm](http://www.nsf.gov/)[.]{.underline}
> However, an application that includes performance of a portion of the
> work by a FFRDC contractor will be evaluated and considered for award.
> (See Part VIII).
>
> [Performance of Work in the United States]{.underline}
>
> As a condition of award under this solicitation, applicants must agree
> that at least 75% of the direct labor cost for the project (including
> subcontractor labor) will be incurred in the United States unless the
> applicant can demonstrate to the satisfaction of the DOE that the
> United States economic interest will be better served through a
> greater percentage of work performed outside the United States. For
> example, an Applicant may provide evidence that expertise to develop a
> technology exists only outside the United States, but that ultimate
> commercialization of the technology will result in substantial
> benefits to the United States such as improved electricity
> reliability, increased employment, increased exports of
> U.S.-manufactured products, etc.
>
> **PART IV - APPLICATION AND SUBMISSION INFORMATION**
> []{#__RefHeading___Toc100054038 .anchor}

**A. ADDRESS TO REQUEST APPLICATION PACKAGE (NOV 2004)**
[]{#__RefHeading___Toc100054039 .anchor}

> **[APPLICATIONS TO BE SUBMITTED THROUGH GRANTS.GOV.]{.underline}**
>
> Application forms and instructions are available at Grants.gov. To
> access these materials, go to
> [http://www.grants.gov](http://www.grants.gov/), select "Apply for
> Grants," and then select "Download Application Package." Enter the
> CFDA and/or the funding opportunity number located on the cover of
> this announcement. Select "Download Application Package," and then
> follow the prompts to download the application package. To download
> the instructions, go to "Download Application Package" and select
> "Instructions." [NOTE]{.underline}: You will not be able to download
> the Application Package unless you have installed PureEdge Viewer.

**B. LETTER OF INTENT AND PREAPPLICATION (NOV 2004)**
[]{#__RefHeading___Toc100054040 .anchor}

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

**C. CONTENT AND FORM OF APPLICATION -- 424 (NOV 2004)**
[]{#__RefHeading___Toc100054041 .anchor}

**C1. CONTENT AND FORM OF APPLICATION IF SUBMITTED THROUGH**

**GRANTS.GOV (NOV 2004)**

> You must complete the mandatory forms for this Announcement which
> include the **SF 424** and **Attachments** in accordance with the
> application instructions on Grants.gov and the additional instructions
> below.
>
> **MANDATORY FILES**

1.  **SF 424 - Application for Federal Assistance**

> Applicants must complete a SF 424 application form. This form may be
> completed while on the Grants.gov website or it can be completed
> offline in its entirety. **IT IS IMPORTANT TO NOTE: Applications being
> submitted through Grants.gov must use the SF 424 provided by
> Grants.gov NOT the SF 424 provided on the NETL homepage.** The SF 424
> application form can only be viewed and downloaded once PureEdge
> Viewer has been installed. The SF 424 application form is in a
> fillable format on Grants.gov so Applicants simply need to complete
> all of the required fields which are indicated with an asterisk (\*)
> and color coded in yellow then close the document (you will then be
> prompted to save changes or not).

2.  **AttachmentS**

> The following files must be completed and attached to the
> "Attachments" form under the Mandatory Documents section of this
> Announcement.
>
> **[ATTACHMENT NAME]{.underline}** **[FILENAME]{.underline}**
>
> Attachment 1 - Budget BUDGET.\-\--
>
> Attachment 2 - Budget Justification BUDGET JUSTIFICATION.\--
>
> Attachment 3 - Project Summary/Abstract PROJECT SUMMARY.doc
>
> Attachment 4 - Project Narrative PROJECT NARRATIVE.\-\--
>
> Attachment 5 - Certifications/
>
> Assurances/Representations CERTIFICATIONS-ASSURANCES.doc
>
> Attachment 6 - Budget File for FFRDC
>
> Participant (if applicable) FFRDC ATTACHMENT.doc
>
> Attachment 7 - Commitment Letter(s) CLTP ATTACHMENT.pdf

**Attachment 1 - BUDGET FILE**

> SF 424 A - Applicants must complete a budget for each budget year and
> a cumulative budget for the total project period.
>
> You may request funds under any of the categories listed as long as
> the item and amount are necessary to perform the proposed work and are
> not precluded by the cost principles or program funding restrictions
> (See Part IV).
>
> **BUDGET FILE FOR FFRDC PARTICIPANT, IF ANY**
>
> If a non-DOE FFRDC contractor is to perform a portion of the work,
> provide a separate budget for the FFRDC contractor\'s work effort.
>
> If a DOE FFRDC contractor is to perform a portion of the work, provide
> a DOE Field Work Proposal in accordance with the requirements in DOE
> Order 412.1 Work Authorization System (Attachment 3 is a Sample Format
> for the Field Work Proposal). DOE O 412.1 is available at:
>
> <http://www.directives.doe.gov/pdfs/doe/doetext/neword/412/o4121.pdf>
> .
>
> All FFRDC budgets must be saved as a Word or PDF file named **\"FFRDC
> ATTACHMENT.xxx\".**
>
> **Attachment 2 - BUDGET NARRATIVE FILE(S)**
>
> Submit the following budget narrative files with your application and
> attach them to the Budget Narrative File(s) form. Attach your Budget
> file in the Mandatory block and any subaward budgets in the Optional
> block.
>
> Budget Justification File. (Required)
>
> Justify proposed direct labor, travel, consultants, large subawards,
> large or unique "other direct costs", equipment, etc. Provide an
> explanation of the source, nature, amount and availability of any
> proposed cost sharing. Save this information in a Word or PDF file,
> named **"BUDGET JUSTIFICATION.xxx".**
>
> The following budget detail is required. Failure to provide the
> detailed cost information as described in the instructions will result
> in an incomplete application. If a minimum cost share is required by
> this funding opportunity announcement, the applicant shall stipulate
> in the application the source and amount of cost sharing and the value
> of third party in-kind contributions proposed to meet the requirement.
>
> Subaward File. (Required)
>
> You must provide a separate budget (i.e., budget for each budget year
> and a cumulative budget) for each subawardee that is expected to
> perform work estimated to be more than \$100,000 or 50% of the total
> work effort (whichever is less). The subawardee budget should include
> the same Object Class Categories/Cost Classification, if applicable,
> listed on your budget form. Save each Subaward budget in a separate
> file. Use the subawardee's organizational name (up to 10 letters) as
> the file name.
>
> [PERSONNEL]{.underline} \-- In support of the proposed personnel
> costs, provide a supplemental schedule that identifies the labor
> hours, labor rates, and cost by labor classification for each budget
> year. Also indicate the basis of the labor classification, number of
> hours, and labor rates. An example of the basis for the labor
> classification and number of hours could be past experience,
> engineering estimate, etc. An example of the basis for the labor rates
> could be actual rates for the individuals who will perform the work or
> an average labor rate for the labor classification or a departmental
> average rate.
>
> [FRINGE BENEFITS]{.underline} \-- Provide the method used to calculate
> the proposed rate amount. If a fringe benefit has been negotiated
> with, or approved by, a Federal Government agency, provide a copy of
> the agreement. If no rate agreement exists, provide a detailed list of
> the fringe benefit expenses (e.g., payroll taxes, insurances, holiday
> and vacation pay, bonuses) and their associated costs. Identify the
> base for allocating these fringe benefit expenses.
>
> [Travel]{.underline} \-- For each proposed trip, provide the purpose,
> number of travelers, travel origin and destination, number of days,
> and a breakdown of costs for airfare, lodging, meals, car rental, and
> incidentals. The basis for the airfare, lodging, meals, car rental,
> and incidentals must be provided, such as past trips, current
> quotations, Federal Travel Regulations, etc.
>
> [EQUIPMENT]{.underline} \-- Provide an itemized list of each piece of
> equipment, its unit costs, and the basis for estimating the cost, for
> example, vendor quotes, catalog prices, prior invoices, etc.
>
> [SUPPLIES]{.underline} \-- Provide an itemized list of supplies;
> identify the quantity of each item, its unit cost, and the basis for
> estimating the cost, for example, vendor quotes, catalog prices, prior
> invoices, etc.
>
> [CONTRACTUAL]{.underline} \-- Identify proposed subaward/consultant
> work and the cost of each subaward/consultant. Provide a detailed
> budget for each subawardee that is expected to perform work estimated
> to be \$100,000 or more, or 50% of the total work effort, whichever is
> less. The subawardee budget should the same level of detail as that of
> the applicant (i.e., by Object Class Category/Cost Classification). In
> addition, the following information must be provided:
>
> [Consultants]{.underline} \-- Provide the hourly or daily rate along
> with the basis for the rate. Furnish resumes or similar information
> regarding qualifications or experience. Provide a statement signed by
> the consultant certifying his or her availability and that the rate
> proposed represents its 'most favored customer' rate. If travel or
> incidental expenses are to be charged, give the basis for these costs.
>
> [Subcontractors]{.underline} \-- Identify each planned subcontractor
> and its total proposed budget. Each subcontractor\'s budget and
> supporting detail should be included as part of the Applicant\'s
> budget narrative. In addition, the Applicant shall provide the
> following information for each planned subcontract: a brief
> description of the work to be subcontracted; the number of quotes
> solicited and received; the cost or price analysis performed by the
> Applicant; names and addresses of the subcontractors tentatively
> selected and the basis for their selection; i.e. low bidder, delivery
> schedule, technical competence; type of contract and estimated cost
> and fee or profit; and, affiliation with the Applicant, if any.
>
> [CONSTRUCTION]{.underline} \-- Provide detail of construction costs,
> if applicable.
>
> [OTHER DIRECT COSTS]{.underline} \-- Provide an itemized list with
> costs for any other item proposed as a direct cost and state the basis
> for each proposed item.
>
> [INDIRECT COSTS]{.underline} \-- If indirect rates have been
> negotiated with or approved by a Federal Government agency, please
> provide a copy of the latest rate agreement. If you do not have a
> current rate agreement, submit an indirect cost rate proposal which
> includes the major base and pool expense groupings by line item and
> dollar amount. In either case, provide a breakdown of the proposed
> indirect costs for each of your accounting periods included in the
> proposal. Identify the rate and allocation base for each indirect
> cost, such as Overhead, General and Administrative, Facilities Capital
> Cost of Money, etc.
>
> [COST SHARING]{.underline} \-- Identify the percentage level and
> source of cost sharing for the proposed project. Firm funding
> commitments are expected and documentation of those commitments must
> be included in the application. Additionally, the impact of DOE\'s
> cost share to the viability of the project must be addressed, to
> include justification for the need for Federal Funds.
>
> **NOTE: The total project cost (i.e. sum of Applicant and other
> participants plus DOE cost shares) must be reflected in each budget
> form.**
>
> A detailed estimate of the cash value (basis of and the nature, e.g.,
> equipment, labor, facilities, cash, etc.) of all contributions to the
> project by each participant must be provided. Note that
> \"cost-sharing\" is not limited to cash investment. In-kind
> contributions (e.g., contribution of services or property; donated
> equipment, buildings, or land; donated supplies; or unrecovered
> indirect costs) incurred as part of the project may be considered as
> all or part of the cost share. The \"cost-sharing\" definition is
> contained in 10 CFR 600.30, 600.101, 600.123, 600.224, 600.302, 600.
> 313 and OMB Circular A-110.
>
> Fee or profit will not be paid to the recipients of financial
> assistance awards.
>
> Additionally, foregone fee or profit by the Applicant shall not be
> considered cost sharing under any resulting award.
>
> Reimbursement of actual costs will only include those costs that are
> allowable and allocable to the project as determined in accordance
> with the applicable cost principles prescribed in 10 CFR 600.127, 10
> CFR 600.312 or 10 CFR 600.318.
>
> **Attachment 3 - PROJECT SUMMARY/ABSTRACT**
>
> The project summary/abstract must contain a summary of the proposed
> activity suitable for publication. It should be a self-contained
> document that identifies the name of the applicant, the principal
> investigator/project director, the project title, the objectives of
> the project, methods to be employed, the potential impact of the
> project (i.e., benefits, out comes), and participants (for
> collaborative projects). It should be informative to other persons
> working in the same or related fields and, insofar as possible,
> understandable to a scientifically or technically literate lay reader.
> This document must not include any proprietary or sensitive business
> information as the Department may make it available to the public. The
> project summary abstract must not exceed 1 page when printed using
> standard 8.5" by 11 paper with 1" margins (top, bottom, left and
> right) with font not smaller than 11 point. Save this information in
> an MS Word file, named "**PROJECT SUMMARY.doc**".
>
> **Attachment 4 - PROJECT NARRATIVE**
>
> The project narrative file must be formatted to separately address
> each of the sections listed below. The Project Narrative file shall
> consist of one complete, integrated file containing all text, the
> Statement of Project Objectives (see merit review criterion 2 for
> guidance), enclosures, tables, diagrams, photographs, schematics,
> graphs, and charts addressed in this section. This file is to be named
> \"**PROJECT NARRATIVE.xxx**\". It is requested that the project
> narrative not exceed 15 pages, including the cover page and table of
> contents. Enclosures (listed below) must be included within the
> integrated Project Narrative File, not as separate attachments. These
> two enclosure files are not counted in the 15 page limitation:
>
> Enclosure 1 -- Bibliography/List of References
>
> Enclosure 2 -- Resumes
>
> The Project Narrative file shall include a **cover page** indicating
> the funding opportunity notice number, name and address of the
> Applicant, point of contact, telephone/FAX number/E-Mail address,
> title of project, and date of application. The application shall be
> single spaced, 1\" margins (top, bottom, left, right), and when
> printed will fit on size 8 1/2\" by 11\" paper. The type must be
> legible and not smaller than 11 point. Evaluators will review only the
> number of pages specified. Graphics and visual material, including
> charts, graphs, maps, photographs and other pictorial presentations
> will be counted in the page limitation for this section.
>
> Unnecessarily elaborate applications are not desired. Elaborate art
> work, graphics and pictures will increase the document file size. If
> the project narrative file size is over 5MB, we request that you use a
> "Zip" file compression software, such as WinZip software, to reduce
> the time needed to download the file.
>
> This file should provide a clear description of the work to be
> undertaken and how you plan to accomplish it. To help facilitate the
> review process and to insure maximum consideration of the
> application's merit, the applicant should review the following
> criteria when preparing the project narrative and must provide ALL of
> the specified information listed below. **This format relates to the
> technical evaluation criteria found in Part V**. Provide sufficient
> information so that the reviewers will be able to evaluate the
> application in accordance with these merit review criteria.
>
> DOE WILL EVALUATE AND CONSIDER ONLY THOSE APPLICATIONS THAT ADDRESS
> SEPARATELY EACH OF THE MERIT REVIEW CRITERION AND SUB-CRITERION LISTED
> BELOW.
>
> 1\. Adequacy of Technical Idea and Approach: 
>
> The Applicant shall fully describe the technology/issue/solution being
> addressed and the planned technical approach for completing the
> proposed effort. The discussion and description, including scientific
> knowledge gaps and risks, must be in sufficient detail to determine
> the potential for success and technical viability of the proposed
> effort. Present the underlying technical considerations along with a
> solid theoretical and analytical discussion for pursuing the proposed
> effort. If available include pre-existing data that supports the
> approach. Both phases of the program must be addressed with the
> aspects planned for Phase I receiving the most emphasis. The Applicant
> shall indicate the likelihood it will be able to demonstrate the
> feasibility of the planned approach by the end of Phase I. A
> bibliography/list of references (include as ENCLOSURE 1), shall be
> provided along with a detailed explanation of how the proposed work
> will extend the state-of-the-art in the defined sub-area of interest.
> ENCLOSURE 1 - BIBLIOGRAPHY IS NOT INCLUDED IN THE 15 PAGE LIMITATION.
> The Applicant shall discuss the likelihood that the research will
> solve an important problem as defined in the topic. The Applicant
> shall provide a thorough discussion of the technical uncertainties and
> risks that must be resolved to successfully develop the proposed
> technology/issue/solution. Technical goals for key uncertainties and
> risks shall be identified with quantified R&D targets, along with
> supporting rationale. Proposed solutions to all identified problem
> areas should be included in the discussion.
>
> 2\. STATEMENT OF PROJECT OBJECTIVES
>
> The Applicant shall then present a detailed Statement of Project
> Objectives (SOPO). It must clearly describe the work to be performed
> in each phase - see below for discussion on how to prepare a SOPO in
> accordance with DOE NETL standards. The SOPO for Phase I should be
> organized in a Work Breakdown Structure (WBS) format. A detailed
> description of each task or activity for the proposed Phase I shall be
> provided. The level of detail should be adequate for direct
> incorporation into a Cooperative Agreement. A general discussion of
> the work scope for Phase II shall be provided in sufficient detail to
> demonstrate that the proposed effort is reasonable and complete.
>
> The Department of Energy\'s National Energy Technology Laboratory uses
> a specific format for Statement of Project Objectives in its awards.
> In announcements such as this one, where the Government does not
> provide a Statement of Project Objectives, the Applicant is to provide
> one, which the DOE will then use to generate the Statement of Project
> Objectives to be included in the award.
>
> The Statement of Project Objectives addresses how the project
> objectives will be met. The Statement of Project Objectives must
> contain a clear, concise description of all activities to be completed
> during project performance and follow the structure discussed below.
> The Statement of Project Objectives may be released to the public by
> DOE in whole or in part at any time. It is therefore required that it
> shall not contain proprietary or confidential business information.
>
> Applicants shall prepare the "Statement of Project Objectives" in the
> following format:
>
> TITLE OF WORK TO BE PERFORMED
>
> (Insert the title of work to be performed. Be concise and
> descriptive.)
>
> A. OBJECTIVES
>
> Include one paragraph on the overall objective(s) of the work. Also,
> include objective(s) for each phase of the work.
>
> B. SCOPE OF WORK
>
> This section should not exceed one-half page and should summarize the
> effort and approach to achieve the objective(s) of the work for each
> Phase.
>
> C. TASKS TO BE PERFORMED
>
> Tasks, concisely written, should be provided in a logical sequence and
> should be divided into the phases of the project. This section
> provides a brief summary of the planned approach to this project.
>
> PHASE I
>
> Task 1.0 - (Title)
>
> (Description)
>
> Subtask 1.1 (Optional)
>
> (Description)
>
> Task 2.0 - (Title)
>
> PHASE II
>
> The Applicant shall provide a general discussion of the work to be
> completed in Phase II.
>
> D. DELIVERABLES
>
> The periodic, topical, and final reports shall be submitted in
> accordance with the attached \"Federal Assistance Reporting
> Checklist\" and the instructions accompanying the checklist.
>
> 1\. Task 1.1 - (Report Description)
>
> 2\. Task 2.2 - (Report Description)
>
> E. BRIEFINGS/TECHNICAL PRESENTATIONS (If applicable)
>
> The Recipient shall prepare a detailed briefing for presentation to
> the COR via Internet Conferencing using WebEX or at the NETL facility
> located in Pittsburgh, PA or Morgantown, WV to explain the plans,
> progress, and results of the technical effort prior to the completion
> of Phase I. Should Phase II be initiated, a minimum of two briefings
> will be required. In addition, the Recipient shall provide and present
> a technical paper(s) at the annual HiTEC Program Peer Review meetings,
> typically alternating between east and west coast locations.
>
> 3\. Recipient's Relevant Experience, Team Structure and
> Personnel/Equipment, Materials and Facilities:
>
> []{.mark}
>
> The Applicant must detail and discuss its existing participation and
> relevant experience within the sub-area of interest addressed in the
> application. It should also detail the relevant experience of all team
> members. The key personnel involved and their relationship to the
> project shall also be included. The key personnel should have a
> minimum of ten years experience directly related to the work under
> their cognizance as identified in the application. Resumes of key
> personnel shall be included as ENCLOSURE 2. NOTE: ENCLOSURE 2 --
> resumeS -- is NOT included in the 15 page limitation. The biographical
> information must not exceed 2 pages for each person when printed on
> standard 8.5" by 11" paper with 1 inch margins (top, bottom, left, and
> right) and 11 point font and must include:
>
> []{.mark}
>
> Education: Undergraduate, graduate and postdoctoral training. Provide
> institution, major/area, degree and year.
>
> Positions: Beginning with the current position list, in chronological
> order, professional/academic positions with a brief description.
>
> Publications: A list of up to 10 publications most closely related to
> the proposed project. For each publication, identify the names of all
> authors (in the same sequence in which they appear in the
> publication), the article title, book or journal title, volume number,
> page numbers, year of publication, and website address if available
> electronically. Patents, copyrights and software systems developed may
> be provided in addition to or substituted for publications.
>
> Synergistic Activities: List no more than 5 professional and scholarly
> activities related to the effort proposed.
>
> []{.mark}
>
> The Applicant shall describe its overall technical and management
> experience and experience in managing projects similar in type,
> technology, size and complexity. The Applicant shall clearly indicate
> past work that is relevant to expectations for success of the proposed
> project. The Applicant shall discuss its ability to transition science
> and technology to industry and targeted markets and/or its ability to
> commercialize developed science and technology. The Applicant shall
> discuss the team structure emphasizing how the overall program will be
> structured and managed. A description of organizational and individual
> responsibilities and activities assignments for each team member shall
> be provided. The Applicant shall also discuss the availability of key
> personnel. If applicable, a description of how non-key personnel will
> be utilized to develop scientists and engineers to further and sustain
> growth in the U.S. power generation and energy storage industry shall
> be provided. An organization chart of all entities involved in the
> project shall be included. Relationships with team members,
> consultants, and subcontractors should be defined. The Applicant shall
> discuss how all of the various entities will work together to
> accomplish the proposed work. It shall describe the method that will
> be used to maintain internal and inter-organizational control over
> budget, schedule, quality of performance, and project end products.
>
> If applicable, Field Work Proposals from Federally Funded Research
> Centers (i.e. National Labs) shall be included with your E-Application
> as an additional file, Attachment 6, entitled "**FFRDC
> ATTACHMENT.doc**". \[See clause C1 (2) 'BUDGET FILE FOR FFRDC
> PARTICIPANT, IF ANY' (above) or 'Attachment 6 - FFRDC ATTACHMENT (if
> applicable)' (below) for instructions.\]
>
> Commitment letters regarding cost share shall be included as an
> additional file, Attachment 7, entitled "**CLTP ATTACHMENT.pdf**".
> \[See clause C1 (2) 'Attachment 7 - COMMITMENT LETTERS FROM THIRD
> PARTIES CONTRIBUTING TO COST SHARING' for instructions (below).\]
>
> As part of the Project Narrative file, the Applicant shall discuss the
> equipment and facilities that will be utilized by all members of the
> proposed team. In support of the Applicant\'s technical approach, a
> discussion of the availability and commitment of the Applicant\'s (or
> team member's) facilities and equipment, testing apparatus and
> laboratories shall be provided. The Applicant shall identify specific
> facilities and laboratories that will be devoted to this work,
> including any planned equipment or facility additions over the two
> phases. In general, DOE does not anticipate funding new equipment and
> facilities, although exceptions could be made based on compelling
> arguments. The Applicant must provide a list of major materials,
> parts, and equipment required to perform the project and detail the
> availability of these items.
>
> Save this information in a Word or PDF file named \"**PROJECT
> NARRATIVE.xxx\"**.
>
> **Attachment 5 - CERTIFICATIONS/ASSURANCES/REPRESENTATIONS FILE**
>
> Applicants must complete the DOE
> certifications/assurances/representations information. Save this
> information in a single Word file named
> **"CERTIFICATIONS-ASSURANCES.doc"**.
>
> This program is covered under Title XX through XXIII of the Energy
> Policy Act (EPACT) of 1992. If an applicant is a business entity other
> than an organization of they type described in 501(c)(3) of the
> Internal Revenue Code of 1954, the applicant must complete the form
> set with the EPACT Representation and provide the appropriate EPACT
> Representation, (i.e., EPACT Representation for Awards Under \$100,000
> or EPACT Representation for Awards of \$100,000 or more). These form
> sets can be found at
> [http://grants.pr.doe.gov](http://grants.pr.doe.gov/).
>
> **Attachment 6 - FFRDC ATTACHMENT (if applicable)**
>
> FFRDC Budgets and a DOE Field Work Proposal in accordance with the
> requirements in DOE Order 412.1 Work Authorization System,
>
> (<http://www.directives.doe.gov/pdfs/doe/doetext/neword/412/o4121.pdf>)
> must be saved as a Word file and named **"FFRDC ATTACHMENT.doc"**
>
> **Attachment 7 - COMMITMENT LETTERS FROM THIRD PARTIES CONTRIBUTING TO
> COST SHARING**
>
> If a third party, (i.e., a party other than the organization
> submitting the application) proposes to provide all or part of the
> required cost sharing, the applicant must include a letter from the
> third party stating that it is committed to providing a specific
> minimum dollar amount of cost sharing. The letter should also identify
> the proposed cost sharing (e.g., cash, services, and/or property) to
> be contributed. Letters must be signed by the person authorized to
> commit the expenditure of funds by the entity and be provided in a PDF
> format. Save this information is a file named **"CLTP
> ATTACHMENT.pdf**".

**Attachment 8 - DISCLOSURE OF LOBBYING ACTIVITIES (SF-LLL)**

> If applicable, complete SF- LLL. Applicability: If any funds other
> than Federal appropriated funds have been paid or will be paid to any
> person for influencing or attempting to influence an officer or
> employee of any agency, a Member of Congress, an officer or employee
> of Congress, or an employee of a Member of Congress in connection with
> the grant/cooperative agreement, you must complete and submit Standard
> Form - LLL, \"Disclosure Form to Report Lobbying."
>
> **C2. CONTENT AND FORM OF APPLICATION IF SUBMITTED THROUGH IIPS (NOV
> 2004)** []{#__RefHeading___Toc100054042 .anchor}
>
> If you are unable to submit your application through Grants.gov, you
> may submit your application through the DOE Industry Interactive
> Procurement System (IIPS) at
> [http://e-center.doe.gov](http://e-center.doe.gov/) . Instructions on
> how to submit an application or an application amendment and how to
> register, submit questions, and view questions and answers are located
> on the web site at
> [http://e-center.doe.gov](http://e-center.doe.gov/), click on the
> "Help" button and click on "Frequently Asked Questions".
>
> **Applicants must complete the files as identified in Article C1 above
> with the exception of the SF 424 and SF 424A which must be downloaded
> from the IIPS web site at:**
>
> [Click here for application
> form.](http://e-center.doe.gov/iips/faopor.nsf/Forms?OpenForm)
>
> Prepare all the required files in accordance with the instructions in
> C1 in this announcement prior to starting the transmission process.
> Submit the entire application package in one IIPS session (i.e., do
> not logoff before all the files are submitted).
>
> When you are ready to submit your application, go to
> [http://e-center.doe.gov](http://e-center.doe.gov/) and complete the
> IIPS cover page. Enter the project title and the principal
> investigator/project director, if any, in the "Subject" block. Then
> attach each file in the corresponding block in accordance with the
> following:

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

> Attachement 1 - Application (SF 424) APPLICATION.pdf
>
> Attachment 2 - Budget (SF 424A) BUDGET.pdf
>
> Attachment 3 - Budget Justification BUDGET JUSTIFICATION.doc
>
> Attachment 4 - Project Summary/Abstract PROJECT SUMMARY.doc
>
> Attachment 5 - Project Narrative PROJECT NARRATIVE.doc
>
> Attachment 6 - Certifications/Assurances/
>
> Representations CERTIFICATIONS-ASSURANCES.doc
>
> **[ADDITIONAL FILES]{.underline}**

Attachment 7- Budget File for

FFRDC Participant (if applicable) FFRDC ATTACHMENT A.doc

> Attachment 8 - Commitment Letter(s) CLTP ATTACHMENT B.pdf

[Electronic Signature]{.underline} - Applications submitted through IIPS
constitute submission of electronically signed applications. The name of
the authorized organizational representative (i.e., the administrative
official, who, on behalf of the proposing organization, is authorized to
make certifications and assurances or to commit the applicant to the
conduct of a project) must be typed in the signature block on the form
to be accepted as an electronic signature. Do not submit a scanned copy
of the signed document.

**D. SUBMISSION DATES AND TIMES (NOV 2004)**
[]{#__RefHeading___Toc100054043 .anchor}

> **1. Pre-application Due Date**
>
> Pre-applications are not required.
>
> **2. Application Due Date**
>
> Applications must be received by May 19, 2005 not later than 8:00 PM
> Eastern Time. You are encouraged to transmit your application well
> before the deadline. **APPLICATIONS RECEIVED AFTER THE DEADLINE WILL
> NOT BE REVIEWED OR CONSIDERED FOR AWARD.**

**E. SUBMISSIONS FROM SUCCESSFUL APPLICANTS (NOV 2004)**
[]{#__RefHeading___Toc100054044 .anchor}

> Successful applicants must submit the information listed below not
> later than 14 calendars days after notification of selection.
> Applicants who fail to provide the information within the required
> time period may be eliminated from further consideration.

+--------------------------------------+-------------------------------+
| **What to submit**                   | > **Required Form or Format** |
+--------------------------------------+-------------------------------+
| **[Environmental                     | This form is available at:    |
| Questionnaire]{.underline}**         |                               |
|                                      | <http://www.netl.doe.gov/     |
| You must complete and submit an      | business/forms/451_1-1-3.doc> |
| environmental questionnaire.         |                               |
+--------------------------------------+-------------------------------+
| **[Civil Rights                      | This required information is  |
| Compliance]{.underline}**            | available at:                 |
|                                      |                               |
| Successful applications may be       | [http://www.netl              |
| requested to submit Civil Rights     | .doe.gov/business/forms/civil |
| Compliance information.              | rights compliance             |
|                                      | documentation                 |
|                                      | .doc](http://www.netl.doe.gov |
|                                      | /business/forms/civil rights  |
|                                      | compliance documentation.doc) |
+--------------------------------------+-------------------------------+

**F. INTERGOVERNMENTAL REVIEW - NONE (NOV 2004)**
[]{#__RefHeading___Toc100054045 .anchor}

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

**G. FUNDING RESTRICTIONS (NOV 2004)** []{#__RefHeading___Toc100054046
.anchor}

> [Cost Principles]{.underline}**.** Costs must be allowable in
> accordance with the applicable cost principles referenced in 10 CFR
> Part 600.
>
> [Pre-award Costs]{.underline}**.** Recipients may charge to an award
> resulting from this announcement pre-award costs that were incurred
> within the ninety (90) calendar day period immediately preceding the
> effective date of the award, if such costs would be reimbursable under
> the agreement if incurred after the agreement is awarded. Recipients
> must obtain the prior approval of the contracting officer for any
> pre-award costs that are for periods greater than this 90 day calendar
> period.
>
> Pre-award costs are incurred at the applicant's risk. DOE is under no
> obligation to reimburse such costs if for any reason the applicant
> does not receive an award or if the award is made for a lesser amount
> than the applicant expected.

**H. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS (NOV 2004)**
[]{#__RefHeading___Toc100054047 .anchor}

1.  **Where to Submit.**

> **[APPLICATIONS MUST BE SUBMITTED THROUGH GRANTS.GOV OR IIPS TO BE
> CONSIDERED FOR AWARD.]{.underline}**
>
> **[Preferred Submission Method]{.underline}**: Submit electronic
> applications through the "Apply for Grants" function at
> [www.Grants.gov](http://www.Grants.gov/). If you have problems
> submitting your application, send an email to
> [support@grants.gov](mailto:support@gratns.gov) or call
> 1-800-518-4726. (**See Article C.1** for instructions on the required
> content and format of an application for submission through
> [www.Grants.gov](http://www.Grants.gov/)).
>
> **[Alternate Submission Method]{.underline}**: If you are unable to
> submit your electronic application through Grants.gov, you may submit
> it through the DOE Industry Interactive Procurement System (IIPS) at
> [http://e-center.doe.gov](http://e-center.doe.gov/). If you have
> problems submitting your application, send an email to
> [HelpDesk@pr.doe.gov](mailto:HelpDesk@e-center.doe.gov) or contact the
> Help Desk at 1-800-683-0751 and select option 1.
>
> **2. Grants.gov Registration Process.**
>
> You must COMPLETE the one-time registration process ([all
> steps]{.underline}) before you can submit your first application
> through Grants.gov (See
> [www.grants.gov/GetStarted](http://www.grants.gov/GetStarted)). We
> recommend that you start this process as soon as possible. It may take
> at least 14 days to complete the entire process. Use the Grants.gov
> Organization Registration Checklist at
> <http://www.grants.gov/assets/OrganizationRegCheck.doc> to guide you
> through the process. We strongly recommend that you download and
> complete the checklist for each registration step, particularly the
> Central Contractor Registry (CCR) checklist, before contacting the
> registering entity. These checklists are found at
> <http://www.grants.gov/RegistrationChecklist#ccr>.
>
> **3. IIPS Registration Process.**
>
> In order to submit an application through IIPS, you must be authorized
> by the applicant (i.e., institution or business entity) to submit an
> application on its behalf and you must register in IIPS. You are
> encouraged to register as soon as possible. You only have to register
> once to apply for any DOE award. To register go to
> [http://e-center.doe.gov](http://e-center.gov/), select the IIPS
> System, and follow the registration instructions.
>
> **PART V - APPLICATION REVIEW INFORMATION**
> []{#__RefHeading___Toc100054048 .anchor}

**A. CRITERIA (NOV 2004)** []{#__RefHeading___Toc100054049 .anchor}

> **1. [Initial Review Criteria]{.underline}**
>
> Prior to a comprehensive merit evaluation, DOE will perform an initial
> review to determine that (1) the applicant is eligible for an award;
> (2) the information required by the announcement has been submitted;
> (3) all mandatory requirements are satisfied; and (4) the proposed
> project is responsive to the objectives of the funding opportunity
> announcement.
>
> **2. [Merit Review Criteria]{.underline}**
>
> Applications submitted in response to this funding opportunity will be
> evaluated and scored in accordance with the criteria and weights
> listed below:
>
> Technical applications submitted in response to this announcement will
> be evaluated in accordance with the three merit review criteria listed
> below. Applications shall be rated on a basis of a 1000 point scale,
> with the relative weight and maximum points attributable to each merit
> review criterion as indicated.
>
> 1\. Adequacy and Approach of the Technical Idea -- 60% (600 points
> maximum). 

a.  Thoroughness and feasibility of the proposed technical concept and
    approach to address the needs and issues identified in the sub-area
    of interest.

b.  Demonstration of knowledge gaps, technical uncertainties and risks
    that must be resolved, along with a solid theoretical and analytical
    discussion for pursuing the proposed effort to successfully develop
    the proposed technology/issue/solution.

c.  Reasonableness of specific technical goals proposed to address key
    uncertainties and risks with supporting justification.

d.  The proposed approach uses standard methodologies and techniques to
    the greatest extent possible. Methodology or technique development
    is not a focus of the proposal.

> 2\. Statement of Project Objectives -- 30% (300 points maximum)
>
> a\. Soundness and completeness of proposed Statement of Project
> Objectives.
>
> b\. Adequacy of the work breakdown structure (WBS), including coverage
> of critical activities, organizational responsibilities, and matching
> resources to requirements.
>
> c\. Appropriateness of proposed man-hours.
>
> d\. Adequacy of the sequence of activities, milestones and decision
> points.
>
> 3\. Recipient's Relevant Experience, Team Structure and
> Personnel/Equipment, Materials and Facilities -- 10% (100 points
> maximum).
>
> a\. Teams to the greatest extent possible should consist of a
> combination of experienced personnel along with experts in other
> technical fields whom are capable of addressing the issues defined in
> the project narrative.
>
> b\. Adequacy of the proposed team structure and availability of key
> personnel.
>
> c\. Type, quality, and availability of the proposed equipment,
> materials, and facilities. Limited reliance on the purchase of new
> equipment or facilities to perform the proposed work. Reasonableness
> of justification for development of new equipment, facilities and
> apparatuses (i.e., existing devices are significantly deficient or
> unavailable to perform the proposed work such that progress would be
> significantly impaired).

**3. [Budget Review Criteria]{.underline}**

> The technical evaluation represents 100% of the total evaluation
> scoring; however, the budget evaluation, which is not point scored, is
> conducted to determine the completeness of the cost estimate,
> appropriateness and reasonableness of the cost, and to assess the
> applicant\'s understanding of the Statement of Project Objectives.
>
> In the event that the consideration of the recommendations and factors
> above, in the judgment of the Selection Official, results in a tie
> between two applicants, the applicant's proposed cost share may also
> be considered in the selection decision.
>
> **4. [Environmental Review Criteria]{.underline}**
>
> The Environmental, Health, Safety, and Security (EHSS) Evaluation,
> which is not point scored, is conducted to determine the completeness
> of the Environmental Questionnaire, and to assess the applicant\'s
> awareness of EHSS requirements for mitigating project related EHSS
> risks and impacts.
>
> **5. [Other Selection Factors]{.underline}**
>
> These factors, while not indicators of the Application\'s merit, e.g.,
> technical excellence, cost, Applicant\'s ability, etc., may be
> essential to the process of selecting the application(s) that,
> individually or collectively, will best achieve the program
> objectives. Such factors are often beyond the control of the
> Applicant. Applicants should recognize that some very good
> applications may not receive an award because they do not fit within a
> mix of projects which maximizes the probability of achieving the
> DOE\'s overall research and development objectives. Therefore, the
> following Program Policy Factors may be used by the Selection Official
> to assist in determining which of the ranked application(s) shall
> receive DOE funding support.

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

2.  It may be desirable to support complementary and/or duplicative
    efforts or projects currently being performed under the HiTEC
    program by the Pacific Northwest National Laboratory, Montana State
    University, University of Florida and the University of Utah, which,
    when taken together, will best achieve the research objectives;

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

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

**B. REVIEW AND SELECTION PROCESS (NOV 2004)**
[]{#__RefHeading___Toc100054050 .anchor}

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

**C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES (NOV 2004)**
[]{#__RefHeading___Toc100054051 .anchor}

> DOE anticipates notifying applicants selected for award by July 31,
> 2005 and making awards by September 30, 2005.
>
> **PART VI - AWARD ADMINISTRATION INFORMATION**
> []{#__RefHeading___Toc100054052 .anchor}

**A. AWARD NOTICES (NOV 2004)** []{#__RefHeading___Toc100054053 .anchor}

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

**B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS (NOV 2004)**
[]{#__RefHeading___Toc100054054 .anchor}

> **1. [Administrative Requirements]{.underline}**
>
> The administrative requirements for DOE grants and cooperative
> agreements are contained in 10 CFR part 600 (See:
> [http://ecfr.gpoaccess.gov](http://ecfr.gpoaccess.gov/)), except for
> grants made to Federal Demonstration Partnership (FDP) institutions.
> The FDP terms and conditions and DOE FDP agency specific terms and
> conditions are located on the National Science Foundation web site at
> [www.nsf.gov/awards/managing/fed_dem_part.jsp](http://www.nsf.gov/awards/managing/fed_dem_part.jsp).
>
> **2. [Special Terms and Conditions and National Policy
> Requirements]{.underline}**
>
> [Special Terms and Conditions and National Policy
> Requirements]{.underline}. The DOE Special Terms and Conditions for
> Use in Most Grants and Cooperative Agreements and National Policy
> Assurances To Be Incorporated As Award Terms are located at
> [http://grants.pr.doe.gov](http://grants.pr.doe.gov/).
>
> [Intellectual Property Provisions]{.underline}. The standard DOE
> financial assistance intellectual property provisions applicable to
> the various types of recipients are located at
> <http://www.gc.doe.gov/techtrans/sipp_matrix.html>.

**C. REPORTING** []{#__RefHeading___Toc100054055 .anchor}

> The Reporting Requirements are identified on the Federal Assistance
> Reporting Checklist attached to the award agreement. See Attachment A
> to this funding opportunity for the proposed Checklist for this
> program.

**PART VII - AGENCY CONTACTS** []{#__RefHeading___Toc100054056 .anchor}

**A. CONTACTS (NOV 2004)** []{#__RefHeading___Toc100054057 .anchor}

> Questions regarding the Funding Opportunity Announcement should be
> directed to Brittley Robbins at <Brittley.Robbins@netl.doe.gov> or by
> calling 412-386-5430.
>
> Questions relating to the Grants.gov system or on how to submit an
> application should be directed to <support@grants.gov> or
> 1-800-518-4726.
>
> Questions regarding how to submit an application through IIPS can be
> e-mailed to the IIPS HELP Desk at <helpdesk@pr.doe.gov> or by calling
> 1-800-683-0751.

**B. ELECTRONIC QUESTIONS (NOV 2004)** []{#__RefHeading___Toc100054058
.anchor}

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

**PART VIII - OTHER INFORMATION** []{#__RefHeading___Toc100054059
.anchor}

**A. MODIFICATIONS (NOV 2004)** []{#__RefHeading___Toc100054060 .anchor}

> Notices of any modifications to this announcement will be posted on
> Grants.gov and the DOE Industry Interactive Procurement System (IIPS).
> You can receive an email when a modification or an announcement
> message is posted by joining the mailing list for this announcement
> through the link in IIPS. When you download the application at
> Grants.gov, you can also register to receive notifications of changes
> through Grants.gov.

**B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE (NOV 2004)**
[]{#__RefHeading___Toc100054061 .anchor}

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

**C. COMMITMENT OF PUBLIC FUNDS (NOV 2004)**
[]{#__RefHeading___Toc100054062 .anchor}

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

**D. EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL (NOV 2004)**
[]{#__RefHeading___Toc100054063 .anchor}

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

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

[]{#__RefHeading___Toc100054064 .anchor}

> [Patent Rights]{.underline}. The government will have certain
> statutory rights in an invention that is conceived or first actually
> reduced to practice under a DOE award. 42 U.S.C. 5908 provides that
> title to such inventions vests in the United States, except where 35
> U.S.C. 202 provides otherwise for nonprofit organizations or small
> business firms. However, the Secretary of Energy may waive all or any
> part of the rights of the United States subject to certain conditions.
> (See "Notice of Right to Request Patent Waiver" in paragraph F below,
> if applicable.)
>
> [Rights in Technical Data]{.underline}. Normally, the government has
> unlimited rights in technical data created under a DOE agreement.
> Delivery or third party licensing of proprietary software or data
> developed solely at private expense will not normally be required
> except as specifically negotiated in a particular agreement to satisfy
> DOE's own needs or to insure the commercialization of technology
> developed under a DOE agreement.
>
> [Intellectual Property Provisions]{.underline} The standard DOE
> financial assistance intellectual property provisions applicable to
> the various types of recipients are located at
> <http://www.gc.doe.gov/gcmain.html>.

**F. NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES (NOV 2004)**
[]{#__RefHeading___Toc100054065 .anchor}

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

**G. PARTICIPATION BY FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTER
(FFRDC) CONTRACTORS (NOV 2004)** []{#__RefHeading___Toc100054066
.anchor}

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

**H. PROPRIETARY APPLICATION INFORMATION (NOV 2004)**
[]{#__RefHeading___Toc100054067 .anchor}

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

DOE F 4600.2 **[ATTACHMENT
A]{.underline}**[]{#__RefHeading___Toc100054068 .anchor}

(12/2004)

(All Other Editions are Obsolete)Number range CHAPTER

**U.S. Department of Energy**

**FEDERAL ASSISTANCE REPORTING CHECKLIST**

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