[Federal Register: June 11, 2007 (Volume 72, Number 111)]
[Notices]               
[Page 32058-32070]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr11jn07-29]                         

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DEPARTMENT OF AGRICULTURE

Rural Development

 
Notice Inviting Applications for Biomass Research and Development

AGENCY: Rural Development, USDA.

ACTION: Notice.

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SUMMARY: The U.S. Department of Energy (DOE) and the U.S. Department of 
Agriculture (USDA) jointly solicit applications for financial 
assistance addressing research and development of biomass based 
products, bioenergy, biofuels and related processes. This Notice herein 
referred to as the ``Solicitation'' is intended to promote greater 
innovation and development related to biomass, and to support the 
Biomass Research Development Act of 2000, the Healthy Forest 
Restoration Act of 2003, the Energy Policy Act of 2005, and Federal 
policy calling for greater use of biomass-based products, feedstock 
production, and processing and conversion.
    This joint USDA/DOE solicitation for FY07 reflects the technical 
areas identified in the Biomass Research and Development Act of 2000 as 
amended by the Energy Policy Act of 2005. These technical areas will 
assist DOE and USDA in developing and maintaining a balanced portfolio 
of activities under the Federal Government's Biomass program to 
effectively advance cost effective utilization of biomass for the 
production of biobased fuels and products. DOE and USDA will have 
separate funding allocations and make separate awards under this 
Notice.

DATES: Pre-applications must be submitted no later than July 11, 2007, 
not later than 8 p.m. Eastern Time. The closing date for applications 
(only for those pre-applications which have been selected for further 
processing) will be 45 calendar days following notice of invitation by 
Agency, not later than 8 p.m. 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 an 
award. The comment period for the information collection under the 
Paperwork Reduction Act of 1995 continues through August 10, 2007.

ADDRESSES: For further information contact Lisa Siesennop, Business 
Loan and Grant Analyst, USDA Rural Development, 1400 Independence Ave, 
SW., 6870, Stop 3225, Washington, DC 20250-3225, Telephone: (202) 690-
3810, Fax: (202) 720-6561, E-mail: lisa.siesennop@wdc.usda.gov.

SUPPLEMENTARY INFORMATION:

Programs Affected

    This program is listed in the Catalog of Federal Domestic 
Assistance under Number 81.087. This program is subject to Executive 
Order 12372, which requires Intergovernmental consultation with State 
and local officials. Intergovernmental consultation will occur in 
accordance with the process and procedures outlined in 7 CFR part 3015 
subpart V.

Paperwork Reduction Act

    The collection of information requirements contained in this Notice 
has been submitted to the Office of Management and Budget (OMB) for 
temporary emergency clearance. However, in accordance with the 
Paperwork Reduction Act of 1995, USDA Rural Development will seek 
standard OMB approval of the reporting requirements contained in this 
Notice and hereby opens a 60-day public comment period.
    Title: Biomass Research and Development Initiative.
    Type of Request: New collection.
    Abstract: Rural Development needs to receive the information 
contained in this collection of information to select the projects that 
demonstrate the greatest potential for success. The selection process 
is competitive. Rural Development will ensure that the funds are used 
for the intended purpose.
    Estimate of Burden: Public reporting burden for this collection of 
information is estimated to average 11 hours per response.
    Respondents: Institutions of higher education; National 
laboratories; Federal research agencies; State research agencies; 
private sector entities to include companies, corporations, 
cooperatives, and other entities that compete in the marketplace; 
nonprofit organizations, other than 501(c)(4) organizations that engage 
in lobbying, and a consortium of two or more of these entities.
    Estimated Number of Respondents: 466.
    Estimated Number of Responses per Respondent: 2.
    Estimated Total Annual Responses: 871.
    Estimated Total Annual Burden on Respondents: 9,252 hours.
    Copies of this information collection can be obtained from Cheryl 
Thompson, Regulations and Paperwork Management Branch, at (202) 692-
0043.
    Comments: Comments are invited on: (a) The accuracy of Rural 
Development's estimate of the burden of the proposed collection of 
information including the validity of the methodology and assumptions 
used; (b) ways to enhance the quality, utility and clarity of the 
information to be collected; and (c) ways to minimize the burden of the 
collection information on those who are to respond, including through 
the use of appropriate automated, electronic, mechanical, or other 
technological collection techniques or other forms of information 
technology. Comments may be sent to Cheryl Thompson, Regulations and 
Management Branch, Support Services Division, U.S. Department of 
Agriculture, Rural Development, STOP 0742, 1400 Independence Ave., SW., 
Washington, DC 20250. All responses to this Notice will be summarized 
and included in the request for OMB approval. All comments will also be 
a matter of public record.

E-Government Act Compliance

    The Department of Agriculture is committed to complying with the E-
Government Act of 2002 (Pub. L. 103-347, December 17, 2002), to promote 
the use of the Internet and other information technologies to provide 
increased opportunities for citizen access to Government information 
and services, and for other purposes. To demonstrate commitment for the 
E-Government Act, USDA is requiring that all applicants intending to 
submit pre-applications or applications in response to this 
solicitation use Grants.gov in the submission process.

I. Funding Opportunity Description

Authority

    The authority for the Biomass Research and Development Initiative 
(Initiative) is 7 U.S.C. 8606.

Objectives

    The objectives of the Initiative as set out in 7 U.S.C. 8606(b) are 
to develop:
    (1) Technologies and processes necessary for abundant commercial 
production of biobased fuels at prices competitive with fossil fuels;
    (2) High-value biobased products;
    (A) To enhance the economic viability of biobased fuels and power; 
and
    (B) As substitutes for petroleum-based feedstocks and products; and
    (3) A diversity of sustainable domestic sources of biomass for 
conversion to biobased fuels and biobased products.

[[Page 32059]]

Purposes

    The purposes of the Initiative as set out in 7 U.S.C. 8606(c) are:
    (1) To increase the energy security of the United States;
    (2) To create jobs and enhance the economic development of the 
rural economy;
    (3) To enhance the environment and public health; and
    (4) To diversify markets for raw agricultural and forestry 
products.
    DOE and USDA are, therefore, seeking applications to address the 
Technical Areas set out in 7 U.S.C. 8606(d) and listed here as the only 
eligible topic areas under this Solicitation. Each individual 
application must address only one Technical Area. However, an applicant 
may submit multiple, unique applications in order to respond to 
multiple topics or may submit multiple unique applications to a single 
topic area. If invited to submit an application, the application must 
address only the specific pre-application subject matter and technical 
area as identified in the invitation letter sent from the Agency to the 
applicant.

Technical Topic Areas

    The Technical Areas as set out in 7 U.S.C. 8606(d) are described 
below and in more detail in Appendix A.
    (1) Feedstock production through the development of crops and 
cropping systems relevant to production of raw materials for conversion 
to biobased fuels and biobased products. (USDA Topic)
    (2) Overcoming recalcitrance of cellulosic biomass through 
developing technologies for converting cellulosic biomass into 
intermediates that can subsequently be converted into biobased fuels 
and biobased products. (USDA and DOE Topic)
    (3) Product diversification through technologies relevant to 
production of a range of biobased products (including chemicals, animal 
feeds, and cogenerated power) that eventually can increase the 
feasibility of fuel production in a biorefinery. (USDA Topic)
    (4) Analysis that provides strategic guidance for the application 
of biomass technologies in accordance with realization of improved 
sustainability and environmental quality, cost effectiveness, security, 
and rural economic development, usually featuring system-wide 
approaches. (USDA Topic)

Definitions Applicable to This Notice

    Agency. The United States Department of Agriculture, Rural 
Development, or the United States Department of Energy, either or both 
acting on behalf of the Federal government.
    Applicant. The legal entity submitting the pre-application or 
application. This entity may be one eligible organization or a 
consortium of eligible organizations that has chosen to submit a single 
application in response to a solicitation.
    Application. The documentation submitted at the Agency's invitation 
after submitting a pre-application NOTE: Application is referred to as 
``proposal'' in the DOE Industry Interactive Procurement System (IIPS).
    Award. The written documentation executed by DOE or USDA 
Contracting Officer, after an applicant is selected, which contains the 
negotiated terms and conditions for providing financial assistance to 
the applicant. A Financial Assistance Award may be either a grant or 
(for DOE) a cooperative agreement.
    Biobased Fuel. Any transportation fuel produced from biomass.
    Biobased Product. An industrial product (including chemicals, 
materials, and polymers) produced from biomass, or a commercial or 
industrial product (such as animal feed and electric power) derived in 
connection with the conversion of biomass to fuel.
    Biomass. Any organic matter that is available on a renewable or 
recurring basis, including agricultural crops and trees, wood and wood 
wastes and residues, plants (including aquatic plants), grasses, 
residue fibers, animal wastes, municipal wastes, and other waste 
materials.
    Budget. The cost expenditure plan submitted in the application, 
including both the Federal Government contribution and the applicant 
Cost Share.
    Consortium (plural consortia). The group of eligible organizations 
that have chosen to submit a single pre-application or application in 
response to this Solicitation.
    Contracting Officer. The Agency official authorized to execute 
awards on behalf of DOE or USDA who is responsible for the business 
management and non-program aspects of the Financial Assistance process.
    Cooperative Agreement. A Financial Assistance instrument used by 
DOE to transfer money or property when the principal purpose of the 
transaction is to accomplish a public purpose of support or stimulation 
authorized by Federal statute, and Substantial Involvement (see 
definition below) is anticipated by DOE during the performance of the 
contemplated activity.
    Cost Sharing. The respective share of Total Project Costs to be 
contributed by the Applicant and by the Federal Government. The 
percentage of Applicant Cost Share is to be applied to the Total 
Project Cost (i.e., the sum of Applicant plus Federal Government Cost 
Shares) rather than to the DOE or the USDA contribution alone.
    Data Universal Numbering System (DUNS) Number. A unique nine-
character identification number issued by Dun and Bradstreet (D&B). 
Organizations must obtain a DUNS number, free of charge, prior to 
registering in the CCR by contacting D&B at 1-866-705-5711 or via the 
internet at http://www.grants.gov/RequestaDUNS.

    Demonstration. Demonstration of technology in a pilot plant or 
semi-works scale facility.
    Financial Assistance. The transfer of money to an applicant to 
accomplish a public purpose under this Solicitation through Grants or 
(for DOE) Cooperative Agreements.
    Federally Funded Research and Development Center (FFRDC). A 
research laboratory as defined by Federal Acquisition Regulation 
35.017.
    Grant. A Financial Assistance instrument used by DOE or USDA to 
transfer money when the principal purpose of the transaction is to 
accomplish a public purpose of support or stimulation under this 
Solicitation and no Substantial Involvement is anticipated by DOE or 
USDA during the performance of the contemplated activity.
    Grants.gov. The ``storefront'' web portal which allows 
organizations to electronically find and apply for competitive grant 
opportunities from all Federal grant-making agencies. Grants.gov is the 
single access point for over 900 grant programs offered by the 26 
Federal grant-making agencies. http://www.grants.gov
    Key Personnel. The individuals who will have significant roles in 

planning and implementing the proposed Project on the part of the 
Applicant, including FFRDCs.
    Pre-application. The documentation submitted in response to this 
Notice. NOTE: Application is referred to as ``proposal'' in the DOE 
Industry Interactive Procurement System (IIPS).
    Project. The set of activities described in an Application that is 
approved by DOE or USDA for Financial Assistance (whether such 
Financial Assistance represents all or only a portion of the support 
necessary to carry out those activities).
    Proposal. The term used in IIPS meaning the documentation submitted

[[Page 32060]]

in response to a solicitation. Also see definition for Application.
    Recipient. The organization that receives a Financial Assistance 
Award from the Agency, is financially accountable for the use of any 
Agency funds or property provided for the performance of the Project, 
and is legally responsible for carrying out the terms and condition of 
the award.
    Selection Official. The Agency official designated to select 
Applications for negotiation toward award under a solicitation. Each 
Agency will have its own Selection Official.
    Substantial Involvement. Significant involvement by the Government 
which may include shared responsibility for the performance of the 
Project; providing technical assistance or guidance which the Applicant 
is to follow; and the right to intervene in the conduct or performance 
of the Project. Such involvement will be negotiated with each Applicant 
prior to signing any agreement.
    Total Project Cost. The Agency approved expenses for completing the 
Project.

II. Award Information

Grant Amounts

    Up to $4 million in DOE funding and up to $12 million in USDA 
funding is available for new awards under this Solicitation. The 
maximum amount for an individual award made under this Solicitation is 
$1 million. DOE and USDA anticipate making a total of 16-30 awards 
under this Solicitation, depending on the size of the awards.

Funding Distribution

    As directed by 7 U.S.C. 8606(g)(2), the distribution of funding by 
technical area shall be distributed to achieve an approximate award 
distribution as follows:
    (1) Feedstock Production: 20 percent.
    (2) Overcoming Recalcitrance of Cellulosic Biomass: 45 percent.
    (3) Product Diversification: 30 percent.
    (4) Analysis for Strategic Guidance: 5 percent.
    As directed by 7 8606(g)(3), the funding distribution areas within 
the first three technical areas shall be distributed to achieve an 
approximate award distribution as follows:
    (1) Applied fundamentals: 15 percent.
    (2) Innovation: 35 percent.
    (3) Demonstration: 50 percent.

III. Eligibility Information

Applicant Eligibility

    All entities listed under 7 U.S.C. 8606(f) are eligible to apply, 
except nonprofit organizations described in section 501(c)(4) of the 
Internal Revenue Code of 1986 that engaged in lobbying activities after 
December 31, 1995. Eligible entities are:
    (a) Institutions of higher education (as defined in 20 U.S.C. 
1002(a)). Institutions of higher education include colleges and 
universities beyond the secondary education level;
    (b) National Laboratories (as defined in 42 U.S.C. 15801);
    (c) Federal research agencies;
    (d) State research agencies;
    (e) Private sector entities. Private sector entities include 
companies, corporations, cooperatives, and other entities that compete 
in the marketplace;
    (f) Nonprofit organizations, other than 501(c)(4) organizations 
that engage in lobbying; or
    (g) Consortia of 2 of more entities described in paragraphs (a) 
through (f) above. Consortia are encouraged in order to bring important 
capabilities together to best achieve the desired innovation on biomass 
projects.
    Eligible FFRDC applicants may apply for an award under this 
Solicitation, or they may be proposed as a team member in both cases 
subject to the following guidelines:
    (a) The Federal agency sponsoring the FFRDC must authorize in 
writing the participation of the FFRDC in the proposed project and this 
authorization must be submitted with the application. The use of a 
FFRDC must be consistent with its authority under its award. The 
following language 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 and will not adversely impact execution of the 
assigned programs at the Laboratory.

    (b) The value of, and funding for, the FFRDC portion of the work, 
when the FFDRC is not the prime recipient, will not be included in the 
award to a successful applicant. DOE will fund a DOE/National Nuclear 
Security Administration FFRDC through the DOE field work proposal 
system and other FFRDC's will be funded by the Agency through an 
interagency agreement with the sponsoring FFRDC agency.
    (c) 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, intellectual 
property agreement among the parties, disputes and claims arising out 
of any agreement between the applicant and the FFRDC.

Project Eligibility

    The technical areas defined in 7 U.S.C. 8606(d) and listed here, 
are the only eligible topic areas under this Solicitation.
    The technical areas are described below and in more detail in 
Appendix A.
    (1) Feedstock production through the development of crops and 
cropping systems relevant to production of raw materials for conversion 
to biobased fuels and biobased products. (USDA Topic)
    (2) Overcoming recalcitrance of cellulosic biomass through 
developing technologies for converting cellulosic biomass into 
intermediates that can subsequently be converted into biobased fuels 
and biobased products. (USDA and DOE Topic)
    (3) Product diversification through technologies relevant to 
production of a range of biobased products (including chemicals, animal 
feeds, and cogenerated power) that eventually can increase the 
feasibility of fuel production in a biorefinery. (USDA Topic)
    (4) Analysis that provides strategic guidance for the application 
of biomass technologies in accordance with realization of improved 
sustainability and environmental quality, cost effectiveness, security, 
and rural economic development, usually featuring system-wide 
approaches. (USDA Topic)
    The term ``demonstration'' as defined in 7 U.S.C. 8602 means 
``demonstration of technology in a pilot plant or semi-works scale 
facility.''

Grant Funding

    (a) Costs must be allowable in accordance with the applicable 
Federal cost principles (see 10 CFR part 600 and 7 CFR part 3015 
subpart T, as applicable).
    (b) The applicant's cost share requirement will be based on the 
total project cost, including the applicant's and the FFRDC 
contractor's portions of the effort if any. If an FFRDC is the 
applicant, they are responsible for fulfilling the cost share 
requirement with non-Federal funds.
    (c) As directed under 7 U.S.C. 8606(g)(4), the cost share borne by 
the applicant must be at least 20 percent of the total project costs 
for research and development and projects and 50 percent of the total 
project costs for projects designed to demonstrate the feasibility of 
commercial application and must come from non-Federal

[[Page 32061]]

sources. The sum of the Government share, including FFRDC contractor 
costs if applicable, and the recipient share of total project costs 
equals the total project cost. (For DOE see 10 CFR part 600 for the 
applicable cost sharing requirements.)
    (d) For institutions of higher education, hospitals, for profit 
organizations, and non-profit organizations, costs incurred for a 
selected project may be charged to an award provided they were incurred 
within the ninety (90) calendar day period immediately preceding the 
execution of the grant agreement, if such costs are allowable in 
accordance with the applicable Federal cost principles (see 10 CFR part 
600 and 7 CFR part 3015 subpart T). Recipients must obtain the prior 
approval of the Agency for any pre-award costs that are for periods 
greater than this 90 day calendar period.
    (e) Pre-award costs are incurred at the recipient's risk. DOE and 
USDA are 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.

IV. Application and Submission Information

Application and Documentation

    (a) Grants.gov. Applicants must submit pre-applications and, if 
selected, applications to the Agency in electronic format. The 
electronic format deadline will be based on Washington DC time.
    Users of Grants.gov will be able to download a copy of the pre-
application and application package, complete it off line, and then 
upload and submit the application via the Grants.gov site. You may not 
e-mail an electronic copy of a pre-application or application to USDA.
    When you enter the Grants.gov site, you will find information about 
submitting an application electronically through the site as well as 
the hours of operation. USDA and DOE strongly recommend that you do not 
wait until the deadline date to begin the application process through 
Grants.gov. To use Grants.gov, applicants must have a Dun and 
Bradstreet Data Universal Numbering System (DUNS) number which can be 
obtained at no cost via a toll-free request line at 1-866-705-5711.
    You must submit all documents electronically through the Grants.gov 
Web site including all necessary assurances and certifications.
    After electronically submitting an application through the Web 
site, the applicant will receive an automatic acknowledgement from 
Grants.gov that contains a Grants.gov tracking number.
    USDA or DOE may request that the applicant provide original 
signatures on forms at a later date.
    If applicants experience technical difficulties with the Grants.gov 
system on the closing date and are unable to meet the 8 p.m. 
(Washington, DC time) deadline, print out your pre-application or 
application and submit it to the National Office using the contact 
information provided in the Addresses section of this Solicitation. The 
Agency will verify the occurrence of technical difficulties with 
Grants.gov. If applicants submit a pre-application or application to 
the National Office, the pre-application or application must be 
postmarked by the closing date. Additionally, applicants are requested 
to use an express mail service (e.g., FedEx, USPS, UPS, DHL) to submit 
their pre-application or application. No hand-delivered, e-mail, or Fax 
pre-applications or applications will be accepted.
    Applicants may access the electronic grant application for the 
Biomass Research and Development Initiative at http://www.grants.gov.

    Please note that applicants must locate the downloadable pre-
application package for this program by the CFDA Number or FedGrants 
Funding Opportunity Number, which can be found at http://www.grants.gov
.

    (b) Pre-applications. Pre-applications are required and must be 
submitted electronically through Grants.gov at http://www.Grants.gov. You must 

complete the mandatory forms in accordance with the instructions on the 
forms and the additional instructions below. Files that are attached to 
the forms must be in Adobe Portable Document Format (PDF) unless 
otherwise specified in this Solicitation.
    (1) The pre-application shall consist of a SF 424 ``Application for 
Federal Assistance,'' form and the pre-application narrative, limited 
to no more than three additional pages when printed single-sided, plus 
cover sheet. The SF-424, the cover sheet, and the three-page project 
summary, as described herein, are required for a pre-application.
    (i) SF-424--Complete this form first to populate data in other 
forms. Complete all required fields in accordance with the pop-up 
instructions on the form. To activate the instructions, turn on the 
``Help Mode'' (Icon with the pointer and question mark at the top of 
the form). On the SF 424, applicants must complete Boxes 1, 2 and 5-18, 
checking ``Non-construction'' under ``Pre-application'' section of Box 
1. Applicants must also indicate in Box 11, ``Descriptive Title of 
Applicant's Project,'' their project's technical area from the Project 
Eligibility section of this Solicitation and described in more detail 
in Appendix A.
    (ii) Pre-application Narrative File--Mandatory Other Attachment. 
Submit the following file with your pre-application and attach it to 
the Other Attachments Form. Click on ``Add Mandatory Other Attachment'' 
to attach the pre-application narrative file. This narrative must 
adhere to the following guidelines:
    (A) The cover page should include the name and type of 
organization, the solicitation title, the project title, the project's 
technical area, the project's funding distribution area, a statement as 
to whether the project addresses cellulosic biomass, and both the 
technical and business points of contact for the applicant, showing the 
names, titles, addresses, telephone and facsimile numbers, and 
electronic mail addresses. (Note this page does not count against the 
narrative's specified page limit.)
    (B) The project narrative must not exceed 3 pages, including 
charts, graphs, maps, photographs, and other pictorial presentations, 
when printed using standard 8.5'' by 11'' paper with 1 inch margins 
(top, bottom, left, and right). Evaluators will only review the number 
of pages specified in the preceding sentence.
    (C) The font must not be smaller than 11 point.
    (D) Do not include any Internet addresses (URLs) that provide 
information necessary to review the application.
    (E) See Appendix B for instructions on how to mark proprietary 
application information.
    (F) Save the information in a single file named ``Project.pdf,'' 
and click on ``Add Mandatory Other Attachment'' to attach.
    (G) The pre-application narrative should address the major aspects 
of the four technical evaluation criteria given below. The pre-
application shall be organized into the following sections:
    (1) Technical Relevance and Merit.
    (2) Technical Approach/Work Plan.
    (3) Fossil Fuel Displacement, Energy Efficiency, Rural Economic 
Development, and Environmental Benefits. Describe the benefits if the 
research is successful and in particular any potential fossil fuel 
displacement, energy efficiency, rural economic development, and 
environmental improvements. The framework of the

[[Page 32062]]

benefits can be at the local, state, or, if appropriate, national 
level.
    (4) Technical, Management, and Facility Capabilities (include 
intellectual property, if appropriate).
    Applicants are encouraged to read and understand the intent of each 
criterion before preparing their pre-application. It is the applicant's 
responsibility to address each criterion as fully as possible within 
the 3-page limit of the pre-application.
    (iii) Pre-application Review Process. DOE and USDA will jointly 
perform the technical evaluation of all pre-applications, based on the 
criteria listed above. As a result of this pre-application review, each 
applicant will either be requested to submit an application package or 
be removed from consideration for funding under this Solicitation. In 
either case, a letter of explanation will be provided to each 
applicant. In addition all unsuccessful applicants will be provided 
appeal rights pursuant to 7 CFR part 11.
    (c) Application (By Invitation Only). Following the pre-application 
review, selected applicants will be invited to submit an application 
package. Only applicants invited to submit an application may apply for 
an award. There is no commitment by DOE or USDA to fund a specific 
number of applications. All technical information provided in the 
application package must follow the format specified in the application 
and documentation section of this Solicitation. A discussion of each 
evaluation criteria is required. You must complete the mandatory forms 
and any applicable optional forms (e.g., SF-LLL ``Disclosure of 
Lobbying Activities'') in accordance with the instructions on the forms 
and the additional instructions below. Files that are attached to the 
forms must be in Adobe Portable Document Format (PDF) unless otherwise 
specified in this Solicitation.
    (1) SF-424. Complete this form first to populate data in other 
forms. Complete all required fields in accordance with the pop-up 
instructions on the form. To activate the instructions, turn on the 
``Help Mode'' (Icon with the pointer and question mark at the top of 
the form). On the SF 424, applicants must complete Boxes 1, 2 and 5-18, 
checking ``Non-construction'' under ``Pre-application'' section of Box 
1. Applicants must also indicate in Box 11, ``Descriptive Title of 
Applicant's Project,'' their project's technical area from the Project 
Eligibility section of this Solicitation and described in more detail 
in Appendix A.
    (2) Other Attachments Form. Submit the following files with your 
application and attach them to the Other Attachments Form. Click on 
``Add Mandatory Other Attachment'' to attach the Project Narrative. 
Click on ``Add Optional Other Attachment,'' to attach the other files.
    (3) Project Narrative--Mandatory Other Attachment.
    (i) The project narrative must not exceed 20 pages, including 
charts, graphs, maps, photographs, and other pictorial presentations, 
when printed using standard 8.5'' by 11'' paper with 1 inch margins 
(top, bottom, left, and right). The Review Committee will review only 
the number of pages specified in the preceding sentence.
    (ii) The font must not be smaller than 11 point.
    (iii) Do not include any Internet addresses (URLs) that provide 
information necessary to review the application.
    (iv) See Appendix B for instructions on how to mark proprietary 
application information.
    (v) Save the information in a single file named ``Project.pdf,'' 
and click on ``Add Mandatory Other Attachment'' to attach.
    (vii) The project narrative must include:
    (A) Cover Page. Cover page should include the name and type of 
organization, the solicitation title, the project title, the technical 
area which the project addresses, the funding distribution area which 
the project addresses, a statement as to whether the project addresses 
cellulosic biomass, and both the technical and business points of 
contact for the applicant, showing the names, titles, addresses, 
telephone and facsimile numbers, and electronic mail addresses. (Note 
this page does not count against the narrative's specified page limit.)
    (B) Table of Contents. Table of contents should include page 
numbers corresponding to the elements outlined in these guidelines. 
(Note the table of contents does not count against the narrative's 
specified page limit.)
    (C) Project Objectives. This section should provide a clear, 
concise statement of the specific objectives/aims of the proposed 
project.
    (D) Merit Review Criterion Discussion. This section should be 
formatted to address each of the merit review criterion and sub-
criterion listed in criterion 1 through 4 below. Provide sufficient 
information so that reviewers will be able to evaluate the application 
in accordance with these merit review criteria. DOE and USDA will 
evaluate and consider only those applications that address separately 
each of the merit review criterion and sub-criterion. The merit 
criterion are:
    (1) Criterion 1: Technical Relevance and Merit. The purpose of this 
section is to demonstrate the technical relevance and merit of the 
proposed work. The application will be evaluated based on the extent to 
which the project, if successfully carried out, will address research, 
development, and demonstration activities for the biomass Technical 
Topic Areas as described in this Solicitation. The applicant must 
address the following topics:
    (i) Clearly describe the project objectives and their relevance to 
the objectives outlined in 7 U.S.C. 8606(b) of the Biomass Research and 
Development Initiative. Explain how the project objectives serve the 
needs of the eligible technical areas outlined in the project 
eligibility section of this Solicitation.
    (ii) Specifically address the novelty, innovation, uniqueness, and 
originality of the proposed work.
    (iii) Describe the technical merit of the proposed research, 
development, or demonstration.
    (iv) Address the extent to which the proposed work will demonstrate 
the current state of knowledge or technology and the extent to which 
the proposed work will complement or advance the current knowledge or 
technology for the stated objectives.
    (2) Criterion 2: Technical Approach/Work Plan. The purpose of this 
section is to illustrate the technical approach to the proposed work. 
This section will be evaluated based on the clarity and technical 
strength of the approach and scientific methodology used to achieve the 
project objectives, including the plan for each task and subtask, 
milestones and deliverables. The applicant must address the following 
topics:
    (i) Describe the technical feasibility of the proposed work.
    (ii) Describe each activity necessary to complete the project. 
Address the adequacy and completeness of the proposed tasks. Provide a 
project schedule in an appropriate level of detail that will 
demonstrate that the project can be adequately managed. Describe the 
reasonableness of the schedule. Include a discussion of the likelihood 
of achieving project objectives through realistic milestones and 
logical task structure.
    (iii) Describe the process for monitoring and evaluating the 
project's progress and performance. Include a list of quantifiable 
measures of success and milestones for evaluating progress with regard 
to key subtasks and deliverables. Identify and discuss the 
appropriateness of key decision points for mitigating potential 
problems. Include a discussion

[[Page 32063]]

on monitoring and evaluating the project's progress and performance. 
This discussion should include scientific, technical, and quantifiable 
technology transfer measures past the period of performance of the 
grant.
    (3) Criterion 3: Fossil Fuel Displacement, Energy Efficiency, Rural 
Economic Development, and Environmental Benefits. The purpose of this 
section is to explain the overall projected benefits of the proposed 
work. This section will be evaluated in terms of: Improvements in 
energy efficiency and economics of the biomass technology, oil or 
fossil fuel displacement, rural economic development, and environmental 
benefits. The applicant must address any and all of the following topic 
areas applicable to the proposed work:
    (i) Estimate the benefits of the project in comparison to existing 
technology or system (e.g., crude oil displacement or energy efficiency 
gains in product production).
    (ii) Provide a comparison of the cost to produce the targeted 
product(s), fuel(s), and power, or integrated system that includes 
several technologies versus existing best commercial technology (or 
system).
    (iii) Describe the anticipated energy or economic benefits, 
including those related to enterprise and community self-sufficiency, 
rural economic development, job creation, and reduction in imports.
    (iv) Discuss the potential for the proposed work to provide 
sufficient benefits in terms of cost reduction, risk reduction, or 
performance improvement to justify the cost of the system being 
investigated.
    (v) Discuss the potential for near-term implementation of the 
proposed system or technology.
    (vi) Describe the incorporation of activities and technologies that 
are protective of the environment.
    (vii) Describe the extent to which public safety, environmental 
concerns, and land sustainability issues in rural areas are addressed.
    (4) Criterion 4: Technical, Management, and Facility Capabilities. 
The purpose of this section is to illustrate the technical and 
management qualifications of all participating organizations and key 
personnel, including subcontractors and consultants. They will be 
evaluated with respect to their ability to carry out the proposed 
effort. The adequacy and appropriateness of the facilities planned for 
this work will also be considered. This section should address the 
following topics:
    (i) Describe the credentials, capabilities, experience (technical 
and managerial), performance record, and availability of the applicant 
to comprehensively address all aspects of the proposed project.
    (ii) Discuss the soundness of the project management concept with 
respect to proposed tasks and organizational structure to achieve 
project objectives.
    (iii) Describe the type, quality, availability, and appropriateness 
of facilities, equipment, and materials utilized to carry out the 
proposed work.
    (iv) Discuss intellectual property agreements among the project 
participants.
    (v) Explain the level of participation by project participants as 
evidenced by letter(s) of commitment.
    (vi) Describe the extent of beneficial collaboration across 
industry and academia.
    (vii) Discuss any current or recent government contracts, grants, 
cooperative agreements, or other work by the applicant or participants 
in this or related fields.
    (E) Relevance and Outcomes/Impacts. This section should explain the 
relevance of the effort to the objectives in the Solicitation (as 
outlined in the Summary) and the expected outcomes and impacts.
    (F) Project Timetable. This section should outline as a function of 
time, year by year, all the important activities or phases of the 
project, including any activities planned beyond the project period. 
Successful applicants must use this project timetable to report 
progress.
    (G) Evaluation Phase. This section must include a plan and 
quantifiable measures to be used to assess the success of the project.
    (H) SF-424A, ``Budget Information--Non-Construction Programs''. You 
must provide a separate budget for each year of support requested and a 
cumulative budget for the total project period. Use SF-424A on the 
Applicant and Recipient Page at http://grants.pr.doe.gov. Save the 

information in a single file named ``SF424A.xls,'' and click on ``Add 
Optional Other Attachment'' to attach.
    (I) Budget Justification. You must justify the costs proposed in 
each Object Class Category/Cost Classification category (e.g., identify 
key persons and personnel categories and the estimated costs for each 
person or category; provide a list of equipment and cost of each item; 
identify proposed subaward/consultant work and cost of each subaward/
consultant; describe purpose of proposed travel, number of travelers 
and number of travel days; list general categories of supplies and 
amount for each category; and provide any other information you wish to 
support your budget). Provide the name of your cognizant/oversight 
agency, if you have one, and the name and phone number of the 
individual responsible for negotiating your indirect rates. If cost 
sharing is required, provide an explanation of the source, nature, 
amount and availability of any proposed cost sharing. Save this 
information in a single file named ``Budget.pdf,'' and click on ``Add 
Optional Other Attachment'' to attach.
    (J) Subaward Budget. 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 percent of the total project cost (whichever is less). 
Use SF-424A or the SF-424C ``Budget Information for Construction 
Programs.'' These forms are found on the Applicant and Recipient Page 
at http://grants.pr.doe.gov. Save each Subaward budget in a separate 

file. Use up to 10 letters of the subawardee's name (plus.xls) as the 
file name (e.g., ucla.xls or energyres.xls), and click on ``Add 
Optional Other Attachment'' to attach.
    (K) Certifications/Assurances for use with SF-424. You must 
complete and provide the ``Certifications and Assurances'' on the 
Applicant and Recipient Page at http://grants.pr.doe.gov. Submission of 

an electronic application through Grants.gov constitutes the submission 
of a signed document. Type the name of the person responsible for 
providing the certifications and assurances and save as a pdf file. Do 
not submit a scanned copy of the form. Name the file ``Certs.pdf,'' and 
click on ``Add Optional Other Attachment'' to attach.
    (L) Commitment Letters from Third Parties Contributing to Cost 
Sharing. The applicant must have firm funding commitment letters from 
third parties expected to contribute to cost sharing. At the time the 
application is submitted, the applicant must identify for each 
participant providing cost sharing:
    (1) The name of the organization;
    (2) The proposed dollar amount to be provided;
    (3) The amount as a percentage of the total project cost; and
    (4) The proposed cost sharing--cash, services, or property. For 
projects with multiple cost sharing partners, summarize the information 
in a table format. Provide the information in a single file named 
``CLTP'' and click on ``Add Optional Other Attachment'' to attach.

[[Page 32064]]

    (M) Biographical Sketch. Provide a biographical sketch for each key 
person proposed, including subawardees and consultants if they meet the 
definition of key person. A key person is any individual who 
contributes in a substantive, measurable way to the execution of the 
project. Save all biographical sketches in a single file named 
``bio.pdf'' and click on ``Add Optional Other Attachment'' to attach. 
The biographical information for each person must not exceed 2 pages 
when printed on 8.5'' by 11'' paper with 1 inch margins (top, bottom, 
left, and right) with font not smaller than 11 point and must include:
    (1) Education and Training. Undergraduate, graduate and 
postdoctoral training, provide institution, major/area, degree and 
year.
    (2) Professional Experience. Beginning with the current position 
list, in chronological order, professional and/or academic positions 
with a brief description.
    (3) Publications. Provide 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 Web site address if 
available electronically. Patents, copyrights and software systems 
developed may be provided in addition to or substituted for 
publications.
    (4) Synergistic Activities. List no more than 5 professional and 
scholarly activities related to the effort proposed.
    (N) Budget for DOE Federally Funded Research and Development Center 
(FFRDC), if applicable. If a DOE FFRDC is to perform any portion of the 
work, you must provide a DOE Field Work Proposal in accordance with the 
requirements in DOE Order 412.1 Work Authorization System. These forms 
are available at http://grants.pr.doe.gov. Use up to 10 letters of the 

FFRDC name (plus .pdf) as the file name (e.g., lanl.pdf or anl.pdf), 
and click on ``Add Attachments'' in Field 11 to attach.
    (O) Authorization for Participation of a FFRDC. If a FFRDC is to 
perform any portion of the work, you must provide an authorization 
letter as described in the Applicant Eligibility section of this 
Solicitation. Provide the information in a single file using up to 6 
letters of the FFRDC name (plus ``auth.pdf'' e.g. anlauth.pdf, 
laslauth.pdf) and click on ``Add Optional Other Attachment'' to attach.
    (P) SF-LLL, ``Disclosure of Lobbying Activities''. 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 SF-LLL, available 
at http://www.whitehouse.gov/omb/grants/grants_forms.html.


V. Application Review Information

Evaluation of Grant Applications

    (a) Initial Review Criteria. An initial review will not be 
performed for pre-applications. Prior to a comprehensive merit 
evaluation for applications, USDA will perform an initial review to 
determine that (1) The applicant is eligible for an award and meets the 
minimum cost share requirements; (2) the information required by the 
Solicitation has been submitted; (3) all mandatory requirements are 
satisfied; and (4) the proposed project is responsive to the objectives 
of the Notice.
    (b) Merit Review Criteria. All timely applications that fulfill the 
minimum application requirements, as determined by the Initial Review 
Criteria outlined in paragraph (a) of this section will be eligible for 
comprehensive evaluation and will undergo the following evaluation by 
DOE and USDA. The first evaluation includes a joint technical merit 
review using a scientific peer review process. During the technical 
merit review, each application will be rated with a numerical score 
using the technical criteria listed below. Each of the four technical 
criteria will be rated on a one hundred point numerical scale and 
weighted accordingly. The total score will be the sum of the weighted 
scores, with a maximum numerical score of 100 points (plus any policy 
factor points awarded).
    (1) Criterion 1: Technical Relevance and Merit, Weight: 40 percent.
    (2) Criterion 2: Technical Approach/Work Plan, Weight: 25 percent.
    (3) Criterion 3: Fossil Energy Displacement, Energy Efficiency, 
Rural Economic Development, and Environmental Benefits, Weight: 20 
percent.
    (4) Criterion 4: Technical, Management, and Facility Capabilities, 
Weight: 15 percent.
    Technical evaluation of applications will be performed in 
accordance with 10 CFR 600.13. Members of the Merit Review Committee 
(hereinafter referred to as ``Committee'') will be required to protect 
the confidentiality of any specifically identified trade secrets or 
privileged or confidential commercial or financial information obtained 
as a result of their participation in this evaluation. Information 
contained in the applications shall be treated in accordance with the 
policies and procedures set forth in 10 CFR 600.15.
    In addition, to meet requirements of the EPAct, each recommended 
application will receive a Program Policy Review by DOE Headquarters 
and USDA personnel. This will be performed by various Headquarters or 
USDA personnel depending on the applicable sector of the technology or 
project proposed. Each Program Policy Review will be conducted by a 
reviewer not part of the merit review process for that application. The 
Program Policy Review will be based on the policy factors listed below 
as well as the policy factors located in the Independent Program Policy 
Factors section of this Solicitation. The Committee will also 
individually rate each of the program policy factors listed below as 
high (which will result in 5 bonus points being added to the 
applicant's merit score), medium (which will result in 3 bonus points 
being added to the applicant's merit score), or low (which will result 
in no bonus points being added to the applicant's merit score) with 
respect to the extent to which the proposed activity:
    (1) Involves a consortia of experts from multiple institutions;
    (2) Encourages the integration of disciplines and application of 
the best technical resources; and
    (3) Increases the geographic diversity of demonstration projects.
    The maximum number of bonus points available to any grantee will be 
15, based on the above cited criteria, as awarded by a policy factor 
panel made up of Agency personnel. These rating scores will be added to 
the merit scores and included in the Chairperson Report to the 
Selection Official.
    (c) Evaluation guidelines. Each member of the Committee, including 
ex-officio members shall strictly adhere to the following guidelines:
    (1) Committee members shall not discuss the evaluation process with 
any unauthorized personnel.
    (2) Committee members shall not divulge their identities to any 
applicant.
    (3) Committee members shall not contact applicants.
    (4) Committee members shall not discuss the Committee proceedings 
outside of the Committee meeting, even after the selection and award.
    (5) Committee members shall not accept any invitations, gratuities 
(i.e., meals, gifts, favors, etc.), or job offers

[[Page 32065]]

from any applicant. If a Committee member is offered any invitations, 
gratuities, or job offers by or on behalf of any applicant, the member 
shall immediately report it to the Contracting Officer.
    (6) Committee members shall only evaluate information provided by 
the applicants in the pre-applications and applications and only 
evaluate against the published criteria. No additional criteria are to 
be considered by the Committee.
    (7) Committee members shall individually assess all pre-
applications and applications against the published criteria only and 
initially rate all applications independently and without consultation 
between members.
    (8) Committee members may contact the Chairperson to obtain 
clarifications regarding pre-applications and applications.
    (d) Evaluation of pre-applications.
    (1) Appointments. The Selection Officials will appoint the 
Committee of no less than three individuals to review pre-applications. 
The Committee will be composed of independent experts selected from 
outside the Departments of Agriculture and Energy as directed by 7 
U.S.C. 8606(g)(1)(B). The Committee may consist of multiple panels of 
no less than three individuals per panel to perform technical 
evaluations of the pre-applications, depending on the number of pre-
applications received. The Committee will not include anyone who, on 
behalf of the Federal government, provides assistance to the 
applicant(s); has any decision-making role regarding the 
application(s); serves as Contracting Officer or performs business 
management functions for the project; audits the recipient for the 
project; or, has any other conflict of interest.
    (2) Certification. Prior to evaluating pre-applications, each 
Committee member must read and sign a confidentiality and conflict of 
interest certification and acknowledgement, indicating an understanding 
of the evaluation and selection plan procedures and requirements. A 
signed form must be returned to the Contracting Officer prior to 
performing evaluations on any pre-application. Once signed, strict 
adherence to the agreement is required. All individuals not directly 
appointed to the Committee, but involved in the evaluation process, 
will also sign a confidentiality and conflict of interest certification 
and acknowledgement form.
    (3) Pre-application review process. During the Committee meeting, 
each member shall receive one paper copy of each pre-application to be 
reviewed by that member. Paper copies will include a control number for 
tracking purposes. Committee members shall not make copies of any pre-
application, and when the Committee's work is completed, all pre-
applications shall be returned to the Contracting Officer. A checklist 
will be used to record return of the pre-applications to the 
Contracting Officer.
    (i) Initial review. An initial review will not be performed for 
pre-applications.
    (ii) Pre-application comprehensive evaluation. The members of the 
Committee shall receive pre-applications for review at the Committee. 
Each committee member shall independently review assigned pre-
applications and identify strengths and weaknesses for each criterion. 
A pre-application must be evaluated even if it does not address the 
criteria or the order is not maintained. However, it is not the 
evaluator's responsibility to search for information which is not 
readily apparent.
    After the Committee members have independently reviewed their 
assigned pre-applications, the Committee panel will convene to discuss 
the strengths and weaknesses of each application and come to consensus 
on numerical scores and strengths and weaknesses. If the number of pre-
applications warrants the assignment of multiple panels, consensus will 
be reached and recorded within the panels. Following the panel 
discussions, the entire Committee will convene and reach consensus on 
all the pre-applications.
    Once the consensus pre-application scores have been assigned to all 
pre-applications being considered by the Committee, the Committee will 
recommend a range that establishes a pre-application selection range.
    (4) Chairperson's report--pre-applications. A Chairperson's Report 
must be prepared presenting the findings of the Committee. The Report 
shall include three sections--one to establish the purpose of the 
report, one to document the compliance review performed and record the 
merit review process used including any deviations, and one to request 
action by the selection official. In addition, relevant attachments 
shall be included, as referenced below.
    (a) Section 1 shall include the following:
    (1) A brief statement as to the purpose of the Chairperson's 
Report; and
    (2) A brief summary of the number of pre-applications received and 
the number recommended by the Committee for selection for submission of 
an application.
    (b) Section 2 shall include the following:
    (1) The number of Committee members, their names, a statement that 
all applications were independently evaluated in accordance with the 
evaluation criteria and certification that all signed confidentiality 
and acknowledgment forms were executed;
    (2) A discussion of the independent review process for all pre-
applications;
    (3) Details of the Committee and the process followed, including a 
discussion of any deviations, such as issues with conflict of interest; 
and
    (4) A discussion of the development of consensus scores for each 
pre-application, the ranking process, the number of pre-applications 
recommended, and any observations or findings that impacted the 
decision regarding the recommended selection range. Details of the 
Committee's process to set the selection range and a reference to the 
final list of recommended pre-applications should also be included.
    (c) Section 3 shall include the following:
    (1) A request for action from the Selection Official regarding 
selection of pre-applications for submission of applications; and
    (2) Instructions regarding these actions and subsequent 
communication of his/her decision to the Contracting Officer (including 
submittal of the pre-application selection statement, as defined 
below).
    The Selection Official may require the Chairperson or the Committee 
to present the report orally in addition to the written Chairperson's 
Report.
    In a separate document, the Committee shall provide any 
recommendations (lessons learned) to the Contracting Officer to improve 
the Notice or evaluation criteria and plan in the future.
    (5) Pre-application selection statement. After the Selection 
Official receives the Chairperson's report, the Selection Official will 
complete the Selection Statement, which will specify those applicants 
who will be invited to submit applications. The Selection Official 
shall then forward the signed Selection Statement to the Contracting 
Officer.
    (6) Pre-application debriefing methods. Applicants are entitled to 
a debriefing. After selections have been made for those applicants that 
are invited to submit applications, applicants will be notified of the 
method to be used for debriefings. Debriefings may be provided either 
orally or in writing and will consist of the consensus strengths and 
weaknesses

[[Page 32066]]

as determined by the Committee reviews regarding the pre-applications. 
Debriefings for pre-applications will take place at the end of the 
selection process.
    (7) Appeals. Appeals will be handled in accordance with 7 CFR part 
11 of this title. Any party adversely affected by an Agency decision 
under this Solicitation may request an appeal from the Director, 
National Appeals Division, USDA, within 30 days of the adverse 
decision.
    (e) Evaluation of Application Appointments.
    (1) Appointments. The Selection Officials will appoint the 
Committee of no less than three individuals to review applications. The 
Committee will be composed of independent experts selected from outside 
the Departments of Agriculture and Energy as directed by 7 U.S.C. 
8606(g)(1)(B). The committee may consist of multiple panels of no less 
than three individuals per panel to perform technical evaluations of 
the applications, depending on the number of applications received. DOE 
and USDA may use outside assistance in accordance with applicable 
regulations including qualified personnel from other Federal agencies, 
other Government entities, academia, industry, and DOE or USDA 
contractors. The Committee may not include anyone who, on behalf of the 
Federal government, provides assistance to the applicants; has any 
decision-making role regarding the applications; serves as Contracting 
Officer or performs business management functions for any selected 
project; audits the recipient of any selected project; or has any other 
conflict of interest.
    (2) Certification. Prior to evaluating Applications, each evaluator 
must read, understand and sign a confidentiality and conflict of 
interest certification and acknowledgement, indicating an understanding 
of the Evaluation and Selection Plan procedures and requirements. A 
signed form must be returned to the Contracting Officer prior to 
performing evaluations on any Application. Once signed, strict 
adherence to the agreement is required. All individuals not directly 
appointed to the Committee, but involved in the evaluation process will 
also sign a confidentiality and conflict of interest certification and 
acknowledgement form.
    (3) Application Review Process. Each evaluator will be assigned 
Applications for independent review prior to the convening of the 
Committee. A copy of each Application shall be made available to each 
evaluator for independent review. In addition, each evaluator shall 
receive an explanation of the merit review process, a copy of the 
criteria, and an explanation of scoring. Any printed or electronic 
copies of Applications shall be returned to the Chairperson, 
Contracting Officer or destroyed following the convening of the 
Committee.
    (i) Initial Review. Prior to a comprehensive evaluation, the Agency 
will perform an initial review to determine the following:
    (1) The applicant is eligible for an award,
    (2) The information required by the Notice has been submitted, and
    (3) All mandatory requirements of the Notice have been satisfied. 
If an applicant or application fails to meet these requirements, the 
applicant will be deemed non-responsive and eliminated from further 
review.
    (ii) Comprehensive Evaluation. All timely applications that have 
been determined, through the Initial Review, to meet the minimum 
application qualifications will be eligible for comprehensive 
evaluation. A listing of the factors that are to be considered in the 
comprehensive evaluation are specified in the Merit Review Criteria 
section of this Solicitation.
    (A) Independent review. The Committee members shall be notified of 
applications assigned to them to review by the Chairperson. Each 
Committee member shall independently review each application against 
the published criteria and provide written documentation of the 
strengths and weaknesses for each criterion. With the completion of the 
independent review, each evaluator shall be prepared to discuss each 
application's strengths and weaknesses during the Committee meeting.
    An application must be evaluated even if an application does not 
address the criteria or follow the prescribed format. However, it is 
not the Committee members' responsibility to search for information 
which is not readily apparent. Committee members are expected to use 
their best judgment in evaluating the application.
    (B) Committee review. The Committee will meet and discuss in detail 
the strengths and weaknesses of each criterion within each application 
and will provide written documentation of their consensus strengths and 
weaknesses. The Committee will then develop consensus scores for each 
criterion based on their deliberations. Once the final scores have been 
assigned, the Committee will propose a range of scores that shall 
constitute applications recommended for selection for negotiation of 
award. This selection range shall determine the order in which 
applications will be recommended for selection.
    (C) Program Policy Review. See Independent Program Policy Factors 
in this section of the Solicitation for further details.
    (4) Chairperson's Report--Applications. A Chairperson's Report must 
be prepared presenting the findings of the Committee. The Report shall 
include four sections--one to establish the purpose of the report, one 
to document the compliance review performed, one to record the merit 
review process used and any deviations, and one to request action by 
the selection official. In addition, relevant attachments shall be 
included, as referenced below.
    (a) Section 1 shall include the following:
    (1) A brief statement as to the purpose of the Chairperson's 
Report; and
    (2) A brief summary of the number of applications received and the 
number recommended by the Committee for selection for negotiation of 
award.
    (b) Section 2 shall include the following:
    (1) A list of applications rejected in the initial compliance 
review, if any; and
    (2) A list of the reasons why they were rejected and not 
comprehensively reviewed.
    (c) Section 3 shall include the following:
    (1) The number of Committee members, their names, a statement that 
all applications were independently evaluated in accordance with the 
evaluation criteria; and certification that all signed Confidentiality 
and Acknowledgment Forms have been executed;
    (2) A discussion of the independent review process for all 
applications;
    (3) Details of the Committee meeting and the process followed, 
including a discussion of any deviations, such as issues with conflict 
of interest; and
    (4) A discussion of the development of consensus scores for each 
application, the ranking process, the number of applications 
recommended, and any observations or findings that impacted the 
decision regarding the recommended selection range.
    (5) Details of the Committee's process to set the selection range 
and a reference to the final list of recommended applications.
    (d) Section 4 shall include the following:
    (1) A request for action from the Selection Official regarding 
application of the program policy factors and selection of applications 
for negotiation of award; and

[[Page 32067]]

    (2) Instructions regarding these actions and subsequent 
communication of his/her decision to the Contracting Officer.
    The Selection Official may require the Chairperson or the Committee 
to present the report orally in addition to the written Chairperson's 
Report.
    In a separate document, the Committee shall provide any 
recommendations (lessons learned) to the Contracting Officer to improve 
the Notice, or Evaluation and Selection Plan in the future.
    (5) Independent Program Policy Factors. These policy factors are in 
addition to the policy factors listed in Merit Review Criteria section 
of this Solicitation and are unique to each Agency.
    For the DOE award selection process, an independent program policy 
factor review will occur. After the DOE Selection Official receives the 
Chairperson's report, the DOE Selection Official shall consider program 
policy factors for the purpose of maximizing the effectiveness of 
available government funding. The program policy factors will not be 
point scored, but the DOE Selection Official will consider them in 
making the selections for negotiation of award. USDA award selections 
will be based solely on the rank and recommendations provided by the 
Committee with the exception that two or more applicants achieve the 
same merit score in any given technical topic area and the level of 
funding is not sufficient to fund all such like scored applications
    For proposals selected for award by DOE, program policy factors 
will include:
    (a) Balance of the overall portfolio of DOE investments in biomass 
research and development.
    (b) Level of cost sharing above the minimum requirement.
    For proposals selected for award by USDA, additional program policy 
factors will include:
    (c) Level of cost sharing above the minimum requirement.
    (6) Application Selection Statement. The Selection Official will 
complete the Selection Statement. The Selection Statement shall specify 
a ranked order of applications recommended by the Committee for 
negotiation of award and applications not selected. For purposes of 
DOE, selections of any applications not in the Committee's selection 
range will require written approval from the Assistant Secretary of 
Energy Efficiency and Renewable Energy.
    (7) Debriefing of Unsuccessful Applicants. Unsuccessful applicants 
are entitled to a debriefing. After selections for negotiation for 
award have been made, those applicants not selected will be advised, in 
writing, that they were not selected. Debriefings will consist of 
either the findings of the Initial Review as determined by USDA or the 
consensus strengths and weaknesses as determined by the Committee. The 
debrief letters will not include the consensus score of the application 
or the relative standing of the application in comparison to all other 
applications. The letters forwarding this information will be signed by 
the Committee Chairperson.
    (8) Appeals. Appeals will be handled in accordance with 7 CFR part 
11 of this title. Any party adversely affected by an Agency decision 
under this Solicitation may request an appeal determination from the 
Director, National Appeals Division, USDA, within 30 days of the 
adverse decision.
    (9) Additional Information. Committee members may contact the 
Chairperson to obtain clarification regarding a pre-application or 
application. Committee members shall not contact the applicant.
    (10) Non-Discrimination Statement. USDA prohibits discrimination in 
all its programs and activities on the basis of race, color, national 
origin, age, disability, and where applicable, sex, marital status, 
familial status, parental status, religion, sexual orientation, genetic 
information, political beliefs, reprisal, or because all or part of an 
individual's income is derived from any public assistance program. (Not 
all prohibited bases apply to all programs.) Persons with disabilities 
who require alternative means for communication of program information 
(braille, large print, audiotape, etc.) should contact USDA's TARGET 
Center at (202) 720-2600 (voice and TDD). To file a complaint of 
discrimination, write to USDA, Director, Office of Civil Rights, 1400 
Independence Avenue, SW., Washington, DC 20250-9410, or call (866) 632-
9992 (voice), or (202) 401-0216 (TDD). ``USDA is an equal opportunity 
provider, employer, and lender.''

VI. Award Administration

    (a) Award Notices.
    (1) Notice of selection. DOE and USDA will notify applicants 
selected for award. This notice of selection is not an authorization to 
begin performance. 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. A notice of financial assistance award issued 
by the Contracting Officer is the authorizing award document.
    (b) Administrative and national policy requirements.
    (1) Administrative requirements. The administrative requirements 
and national policy requirements (e.g., ``generally applicable 
requirements'') for Federal agency grants and cooperative agreements 
are governed by the awarding agency's regulations (10 CFR part 600 for 
DOE (See: http://ecfr.gpoaccess.gov); 7 CFR parts 3015, 3016, and 3019 

for USDA), except for DOE grants made to 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 http://www.nsf.gov/awards/managing/fed_dem_part.jsp
.

    (2) Special terms and conditions and national policy requirements. 
For DOE, the special terms and conditions for use in most grants and 
cooperative agreements are located at http://grants.pr.doe.gov. The 

national policy assurances to be incorporated as award terms are 
located at http://grants.pr.doe.gov.

    (i) Intellectual Property Provisions. Financial assistance 
intellectual property provisions for USDA and DOE will be specified in 
the award documents for each project. 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
.

    (ii) Statement of Substantial Involvement. Either a grant or, for 
DOE, cooperative agreement may be awarded under this program 
Solicitation. If the award is a cooperative agreement, the DOE will 
negotiate a Statement of Substantial Involvement prior to award.

Grantee Reporting Requirements

    All award recipients are required to provide a concise narrative 
report to the Agency describing the status of work on each Project on a 
semi-annual basis, or more frequently for cause. It is estimated 
complete reports will be 2-3 pages. The information included should 
reflect quantifiable results that can be used to evaluate and measure 
progress towards Project success, based on the objectives, timeline, 
and Project scope of the Agency approved application provided by the 
Grantee.
    These reports must include the following information:
    (a) Statement of quantifiable progress toward Project objective(s) 
achieved to date,

[[Page 32068]]

    (b) Problems, obstacles, new developments or market/industry/
research changes that effected or may affect the expected outcomes, 
completion date, cost or scope of the Project,
    (c) Recommended changes to the work plan.
    All award recipients are required to provide a concise final 
narrative report to the Agency. It is estimated complete final reports 
will be at least five pages. The information included should reflect 
quantifiable results that can be used to evaluate and measure Project 
success, based on the objectives and Project scope of the Agency 
approved application provided by the Grantee.
    This final report must include the following information:
    (a) Statement of quantifiable progress toward Project objective(s),
    (b) Problems, obstacles, new developments or market/industry/
research changes that had an effect on the expected outcomes, 
completion date, cost or scope of the Project,
    (c) Description of the estimated impact of the Project,
    (d) Description of the estimated impact on the development of the 
principal discipline(s) of the Project,
    (e) Description of the estimated impact on other disciplines,
    (f) Description of the estimated impact on human resource,
    (g) Description of the estimated impact on physical, institutional, 
and information resources that form infrastructure,
    (h) Description of the estimated impact on society,
    (i) Description of the estimated impact on technology transfer,
    (j) Estimate of the economic impact of the Project following 
commercialization, and
    (k) Estimate of the need and cost to retire existing infrastructure 
upon commercialization.

Appendix A--Detailed Descriptions of Technical Areas

    1. Feedstock Production through the development of crops and 
cropping systems relevant to production of raw materials for 
conversion to biobased fuels and biobased products, including:
     Development of advanced and dedicated crops with 
desired features, including enhanced productivity, broader site 
range, low requirements for chemical inputs, and enhanced 
processing;
     Advanced crop production methods to achieve the 
features described in paragraph 1 above;
     Feedstock harvest, handling, transport, and storage; 
and
     Strategies for integrating feedstock production into 
existing managed land.

Discussion and Program Relevance

    Proposals are invited for research, development, and 
demonstration projects that promote feedstock production through the 
development of crops and cropping systems relevant to production of 
raw materials for conversion to biobased fuels and biobased 
products. Biomass feedstocks of interest include agricultural and 
forest resources. Biomass feedstock development and production 
efforts should focus on improving quality, reducing raw material 
costs, enhancing the productivity, and ensuring agronomic and 
silvicultural methods for sustainable production. This may include 
development of advanced and dedicated crops with desired features, 
including enhanced productivity, broader site range, low chemical 
input requirements and enhanced processing.
    Projects of interest include, but are not limited to, those that 
develop appropriate agriculture and forest production/management 
technologies and systems; identify and evaluate innovative equipment 
designs and systems to produce, harvest, recover, and transport 
biomass; or develop tools which land managers and community 
developers can use to evaluate the technical and economic viability 
of biomass production systems or to manage these systems more 
efficiently. Tools should integrate management, harvesting, and 
processing technologies and methods with economic analyses of 
utilization options for bioenergy, biofuels, and biobased products.
    Desired outcomes:
     Scientific and technological breakthroughs to overcome 
production barriers and enhance economic viability.
     Substantive development and demonstration of known and 
adapted technologies for effective and economical biomass feedstock 
production and use.
     Comprehensive descriptive and analytical understanding 
of methods and costs of management, collection, handling, primary 
processing, and transportation of primary feedstocks.
     Sustainable production and harvesting systems and 
methods that protect or enhance the site and surrounding landscape, 
including the long-term soil productivity, water, and other 
ecological and environmental resources.
     Guidelines, tools, and management systems that provide 
a basis for decisions on land use, production, and technology 
application for integrated resource management and biomass use.
     Tools that aid land managers and community developers 
in evaluating the technical and economic viability of biomass 
production, markets, and revenue streams for local areas.
    2. Overcoming Recalcitrance of Cellulosic Biomass through 
developing technologies for converting cellulosic biomass into 
intermediates that can subsequently be converted into biobased fuels 
and biobased products, including:
     Enzyme-based or other novel hydrolytic approaches that 
improve the yields of hemicellulose (e.g. xylan) to sugars compared 
to pretreatment methods alone, or
     Conditioning methods that improve the quality of sugar 
streams from pretreated materials for fermentation to ethanol; and
     Thermochemical approaches, including gasification and 
pyrolysis.

Discussion and Program Relevance

    Proposals are invited that address overcoming the recalcitrance 
of biomass by developing enzyme-based (non-cellulase) or other 
fractionation approaches to improve hemicellulose to sugar yields, 
or conditioning methods to improve the quality of pretreated 
streams, that will move the program toward meeting its sugar cost 
target goal delineated in the ``Desired outcome'' section below. 
Ultimately, the DOE program wishes to identify the pretreatment, 
hydrolysis and conditioning combinations that will lead to high 
yield, high quality hemicellulose sugars (i.e. xylose) while 
maintaining (or improving) the cellulose derived sugar (glucose) 
yield and quality in the stream going to a fermentation process.
    Cellulose is the primary carbohydrate in biomass; however 
cellulose conversion alone is not sufficient to provide an economic 
return--hemicellulose, primarily xylan, must be converted at high 
yields as well. It is likely that a combination of pretreatment and 
enzymatic (non-cellulase) hydrolysis is the most economical method 
of converting the hemicellulose, and processes that combine these in 
a feasible and economical way to produce high yields of xylose are 
sought.
    There are a number of pretreatment methods being developed and 
evaluated including dilute acid, ammonia fiber explosion (AFEX), 
ammonia percolation, lime, hot water (as is, or with pH control to 
maintain neutral pH), and organosolv-based processes. These 
pretreatments each produce substrates that differ in composition and 
in the levels of conditioning or detoxification required to make the 
sugars derived from these materials fermentable by microorganisms. 
Proposals should identify the basic mechanisms behind conditioning 
processes and from that knowledge, the methods that result in 
minimal sugar degradation while removing known inhibitors to 
ethanologens such as acetic acid and phenolic compounds.
    Proposals are also invited that will address the recalcitrance 
of lignocellulosic biomass and develop conversion techniques and 
processes for thermochemical approaches, including gasification and 
pyrolysis, which move the program toward meeting its syngas quality 
and cost target goal delineated in the ``Desired outcome'' section 
below. Proposals should address cost-competitive, consolidated 
cleanup and conditioning processes for a stand-alone biomass 
gasification-mixed alcohol process to: minimize the number of unit 
operations: achieve syngas quality required for fuel synthesis; 
reduce syngas impurities; and optimize performance and lifetime of 
synthesis catalysts for fuels conversion. Gas cleanup is a general 
term for removing the unwanted impurities from biomass gasification 
product gas and generally involves an integrated, multi-step 
approach to remove or eliminate tars, acid gases, ammonia, alkali 
metals, and particulates.

[[Page 32069]]

Proposals should identify or develop catalyst systems that reform 
tars with greater tolerance to sulfur gases to achieve synthesis 
yields of ~90 gal fuel/ton biomass. Comparable R&D plans and 
technical targets are being developed for biofuels production from 
pyrolysis processes. Pyrolysis efforts should focus on improving 
stability and long-term storability and reducing the Total Acid 
Number (TAN) of bio-oils. Improving the yields of converting bio-
oils to fungible fuels is another R&D area of importance.
    Desired outcome: Development of process(es) or process 
combinations that improve the efficiency of biomass conversion by 
improving the xylose yield or overall quality of the sugar 
intermediate in order to achieve the cost of a mixed, dilute sugars 
stream suitable for fermentation to ethanol in a mature biochemical 
plant of $0.06-0.07/lb sugars by the year 2012 and to $0.03-$0.04/lb 
by the year 2030.
    Identification or development of process(es) or process 
combinations that overcome the recalcitrance of cellulosic biomass 
by developing conversion techniques and processes for thermochemical 
approaches, including gasification and pyrolysis, that produce a 
syngas with a quality of 3 volume percent or less methane, 10 ppm or 
less benzene, 1 ppm or less hydrogen sulfide, 10 ppm or less 
ammonia, 10 ppb or less hydrogen chloride and 0.1 grams or less of 
heavy tars per Normal cubic meter and at a cost of $5.25 per million 
BTU or less.
    3. Product Diversification through technologies relevant to 
production of a range of biobased products (including chemicals, 
animal feeds, and co-generated power) that eventually can increase 
the feasibility of fuel production in a biorefinery, including:
     Catalytic processing, including thermochemical fuel 
production;
     Metabolic engineering, enzyme engineering, and 
fermentation systems for biological production of desired products 
or cogeneration of power;
     Product recovery;
     Power production technologies; and
     Integration into existing biomass processing 
facilities, including starch ethanol plants, paper mills, and power 
plants.

Discussion and Program Relevance

    Proposals are invited for research, development, and 
demonstrations of technologies that would result in product 
diversification through technologies relevant to production of a 
range of biobased products (including chemicals, animal feeds and 
co-generated power) that eventually can increase the feasibility of 
fuel production in a biorefinery, including those that also:
     Enable the conversion, via biological, thermal, 
catalytic or chemical means, of agricultural and forest biomass 
feedstocks into biobased products.
     Improve the performance or commercial viability of 
biobased products and co-products.
     Improve the potential for developing rural based 
processing and manufacturing of biobased products.
     Demonstrate commercial relevance of the technology, its 
expected marketability, and its potential commercial viability for 
processing and manufacturing biobased products.
    Desired outcomes:
     Develop new technologies that would significantly 
decrease the cost and improve the energy efficiency of converting 
biomass into sugars for subsequent conversion to marketable fuels, 
chemicals or polymers.
     Develop new technologies that would significantly 
decrease the cost and improve the energy efficiency of converting 
lignocellulosic biomass into syngas.
     Develop new technologies that would significantly 
decrease the cost and improve the energy efficiency of converting 
syngas into marketable fuels or chemicals.
     Develop new technologies that would significantly 
decrease the cost and improve the energy efficiency of pyrolyzing 
biomass into oils that could be used for (or converted into) 
marketable fuels or chemicals.
     Develop new technologies that would significantly 
decrease the cost and improve the energy efficiency of producing 
methane or hydrogen from biomass.
     Develop new technologies that would significantly 
improve the performance or decrease the cost and improve the energy 
efficiency of producing new, marketable products from biomass.
     Develop new technologies that would significantly 
improve the performance or decrease the cost and improve the energy 
efficiency of producing products from the hemicellulose or lignin 
fractions of biomass.
     Develop new technologies for converting bio-based fats 
and oils to marketable fuels, chemicals or polymers.
    4. Analysis that Provides Strategic Guidance for the application 
of biomass technologies in accordance with realization of improved 
sustainability and environmental quality, cost effectiveness, 
security, and rural economic development, usually featuring system-
wide approaches.

Appendix B--Proprietary and Intellectual Property Information

Proprietary Application Information

    Patentable ideas, trade secrets, proprietary or confidential 
commercial or financial information, disclosure of which may harm 
the applicant, should be included in an application only when such 
information is necessary to convey an understanding of the proposed 
project. The use and disclosure of such data may be restricted, 
provided the applicant includes the following legend on the first 
page of the project narrative 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 or USDA 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:
    The following contains proprietary information that (name of 
applicant) requests not be released to persons outside the 
Government, except for purposes of review and evaluation.

Intellectual Property Developed Under this Program

    Patent rights. The government will have certain statutory rights 
in an invention that is conceived or first actually reduced to 
practice under a DOE or USDA award. Specific regulations of each 
agency will be identified in the award documents for each project.
    For DOE awards, 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'' below.)
    Rights in technical data. Normally, the government has unlimited 
rights in technical data created under a Federal Agency 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 the Government's own needs or to insure the 
commercialization of technology developed under a Government 
agreement. The rights in data applicable to the various types of DOE 
financial assistance recipients are contained in 10 CFR part 600 and 
for USDA in 7 CFR parts 3015, 3016, and 3019.
    Special protected data statutes. For DOE, this program is 
covered by a special protected data statute. The provisions of the 
statute provide for the protection from public disclosure, for a 
period of up to five (5) years from the development of the 
information, of data that would be trade secret, or commercial or 
financial information that is privileged or confidential, if the 
information had been obtained from a non-Federal party. Generally, 
the provision entitled, Rights in Data--Programs Covered Under 
Special Protected Data Statutes, (10 CFR 600, Appendix A to Subpart 
D), would apply to an award made under this announcement. This 
provision will identify data or categories of data first produced in 
the performance of the award that will be made available to the 
public, notwithstanding the statutory authority to withhold data 
from public dissemination, and will also identify data that will be 
recognized by the parties as protected data.
    Notice of right to request patent waiver. For DOE, applicants 
may request a waiver of all or any part of the rights of the United 
States in inventions conceived or first actually reduced to practice 
in performance of an agreement as a result of this announcement, in 
advance of or within 30 days after the effective date of the award. 
Even if such advance waiver is not requested or the

[[Page 32070]]

request is denied, the recipient will have a continuing right under 
the award to request a waiver of the rights of the United States in 
identified inventions, i.e., individual inventions conceived or 
first actually reduced to practice in performance of the award. Any 
patent waiver that may be granted is subject to certain terms and 
conditions in 10 CFR part 784.
    Domestic small businesses and domestic nonprofit organizations 
will receive the patent rights clause at 37 CFR 401.14, i.e., the 
implementation of the Bayh-Dole Act. This clause permits domestic 
small business and domestic nonprofit organizations to retain title 
to subject inventions. Therefore, small businesses and nonprofit 
organizations do not need to request a waiver.

    Dated: June 5, 2007.
Jackie J. Gleason,
Administrator, Rural Business-Cooperative Service.

[FR Doc. 07-2865 Filed 6-8-07; 8:45 am]
BILLING CODE 3410-XY-P