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RESEARCH AND DEVELOPMENT

REQUEST FOR PROPOSALS

RFP2014

Issued by the

Illinois Department of Commerce and Economic Opportunity’s

Office of Coal Development

through the

Illinois Clean Coal Institute

Date Issued: Thursday, April 25, 2013

Date Due: Tuesday, June 25, 2013

TABLE OF CONTENTSANNOUNCEMENT OF REQUEST FOR PROPOSALS....................................................................... 1LEGAL.................................................................................................................................................. 2IMPORTANT INFORMATION SIGN..................................................................................................... 2

RFP2014 FUNDING AREAS................................................................................................................ 31. Program Area - Carbon Management........................................................................................... 52. Program Area - Coal Gasification.................................................................................................. 63. Program Area - Coal Mining Technology...................................................................................... 84. Program Area - Coal Preparation................................................................................................. 105. Program Area - Coal-Fired Power Generation and Emissions Control..........................................116. Program Area - Materials Research............................................................................................ 147. Program Area - Coal Chemistry and Syngas Reactions............................................................... 15

PROPOSAL FORMAT......................................................................................................................... 17PROPOSAL PACKET.......................................................................................................................... 18DEADLINE........................................................................................................................................... 18SUBMISSION INFORMATION............................................................................................................ 18PROPOSAL RESPONSIVENESS....................................................................................................... 19PROPOSAL REVIEW PROCESS....................................................................................................... 19

DETAILED INSTRUCTIONS FOR COMPLETING RFP2014............................................................. 20Principal Investigator Diversity Form................................................................................................... 20Section 1. Instructions for the Application Form................................................................................ 22

Application Form..................................................................................................... 25Section 2. Abstract Page................................................................................................................... 26Section 3. Executive Summary.......................................................................................................... 26Section 4. Description of Technology................................................................................................ 26Section 5. Market for the Proposed Technology................................................................................ 26Section 6. Proposed R&D and Statement of Work............................................................................ 27Section 7. Project Management and Schedule................................................................................. 30Section 8. Project Cost Proposal....................................................................................................... 32

8.1 Instructions for Form 8.1.......................................................................................... 33Form 8.1 Direct Labor and Benefits...................................................................... 34

8.2 Instructions for Form 8.2.......................................................................................... 35Form 8.2 Project Travel........................................................................................ 36

8.3 Instructions for Form 8.3.......................................................................................... 37Form 8.3 Major Equipment................................................................................... 38

8.4 Instructions for Form 8.4.......................................................................................... 39Form 8.4 Additional Project Costs........................................................................ 40

8.5 Instructions for Form 8.5.......................................................................................... 41Form 8.5 Contract Pricing by Task....................................................................... 42

8.6 Instructions for Form 8.6.......................................................................................... 43Form 8.6 Budget Summary.................................................................................. 44

Section 9. Subgrant Review Certification.......................................................................................... 45

Appendix A. Resumes....................................................................................................................... 46

Appendix B. Detailed Subcontracts................................................................................................... 46

ANNOUNCEMENT OF REQUEST FOR PROPOSALSEnclosed is information pertaining to the Request for Proposals (RFP) number RFP2014, issued through the Illinois Department of Commerce and Economic Opportunity’s (DCEO) Office of Coal Development (OCD) by the Illinois Clean Coal Institute (ICCI).

WHO MAY APPLY

This RFP is intended for qualified research organizations from anywhere in the United States, including but not limited to universities, colleges, laboratories, research centers, and private businesses. Proposals must address specific research areas identified in this document and support the overall goals of the ICCI as defined in its Mission Statement available at http://icci.org/mission.php. Proposals that include collaboration and monetary and/or in-kind contributions to the project from other research organizations and/or industry are particularly desired and will be viewed favorably.

PREVIOUSLY SUBMITTED PROPOSALS TO ICCI

A proposal that has been previously submitted to the ICCI, but was not selected for funding may not be eligible for submission again. Please refer to Section 6.1 for more details.

FUNDING AVAILABILITY

This solicitation will be funded with money released by the state of Illinois for FY14. At the time of this writing, the state budget has not been finalized, nor has funding been authorized and/or allocated to this program. Project funds will be dependent on appropriation and allocation of state funds to the ICCI for FY14. It is anticipated that such funds will not be granted to the ICCI until January 2014.

AWARD FUNDING

All projects under this solicitation are capped at a maximum of $200,000. Historically, the ICCI R&D award range has been $50,000 - $200,000, with the average award ranging between $120,000 and $150,000. The award amount is dependent on the research scope, time allocated for successful completion, and availability of facilities and equipment. Project funds requested near the upper range should involve pilot-scale work or other commercial demonstrations, with extensive cost sharing by industrial entities and research partners. ICCI funds may also be requested as a cost-sharing contribution for larger-scale demonstration projects with an Illinois coal emphasis. Allocation of ICCI funds to such projects is of special interest. Smaller projects with a funding request at or below $50,000 are especially welcomed, and those projects do not necessarily have to be submitted under the RFP-ER solicitation (see the section below).

FUNDING FOR NOVEL CONCEPTS AND/OR JUNIOR RESEARCHERS

Junior researchers and/or proposers interested in obtaining funding for research on novel concepts in areas discussed in this document should also refer to the concurrent RFP2014-ER, a separate document available on the ICCI website as listed in the following section.

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ELECTRONIC COPIES OF SOLICITATIONS

Both RFP2014 and RFP2014-ER are available for viewing and/or downloading athttp://icci.org/rfppage.php.

LEGALNeither receipt of this RFP from the ICCI nor the submission of a proposal in response to this RFP confers any rights upon the applicant. The issuance of this RFP does not obligate the ICCI to award a contract or to pay costs incurred by the applicant in preparation and submission of a proposal.

Contractual terms of awards resulting from this RFP will include requirements of the ICCI and the DCEO. Funding in any research area is subject to receipt of suitable proposals and formal release of appropriated funds.

The ICCI reserves the right to reject proposals not complying with requirements of this RFP, and also reserves the right to waive non-material irregularities in a proposal if it determines that such waiver is in the best interest of the ICCI.

Late proposals may be accepted at the discretion of the ICCI, only if tardiness is due to uncontrollable shipping problems and the proposal was scheduled to arrive by the deadline. Documentation of such scheduling will be required.

CONFIDENTIAL AND PROPRIETARY INFORMATION

Proposals should not include trade secrets and/or confidential, proprietary, or privileged information. The ICCI can only make a best-effort attempt to protect such information. Consequently, the proposing individual and/or organization acknowledges by submission of a proposal in response to this RFP that the proposal will be subjected to peer review during which disclosures may be possible and neither the ICCI nor the DCEO will be held responsible.

However, this should not deter an applicant from explaining the technology or process in detail. For example, a catalytic process can be described without mentioning the specific composition of the catalyst or how it is manufactured.

IMPORTANT INFORMATION SIGNThroughout this RFP, the preceding sign will be used to identify important information. This sign will highlight areas important to proposal responsiveness, and will also draw attention to requirements of the RFP that may have changed from previous solicitations. Special attention is drawn to the requirements of Section 6. Proposals must adhere to the format outlined in this RFP.

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RFP2014 FUNDING AREASThe ICCI encourages interaction between small businesses, universities, business schools, research centers, industry, the U.S. Department of Energy (DOE), and/or other state and federal agencies to provide the multi-disciplinary expertise necessary to develop a successful research program. Although this RFP has a coal research emphasis, there are numerous opportunities that do not require experience in hands-on coal research, such as carbon management, materials, catalysis, fundamental and applied chemistry, business practices, mining, and engineering studies. For this solicitation, these research interests are grouped into seven main areas listed below, but not in any order of priority.

1. Carbon Management2. Coal Gasification3. Coal Mining 4. Coal Preparation5. Coal-Fired Power Generation and Emissions Control6. Materials Research 7. Coal Chemistry and Syngas Reactions

Interested parties are encouraged to refer to the table below which will assist them in finding suitable research areas in this RFP. The list includes most areas (listed alphabetically) of interest covered by this solicitation, but is by no means exclusive.

AREA OF INTERESTREFER TO

PROGRAM AREAAREA OF INTEREST

REFER TO PROGRAM AREA

Alloys 6 Mine Safety 3

Carbon Dioxide Capture 1 Mine Seals 3, 6

Carbon Dioxide Chemistry 1, 7 Mining Technology 3

Catalysis 7 Mine Ventilation 3

Coal Preparation 4 Noise Control 3,4

Combustion 5 Oxy-combustion 5

Dust Control 3 Syngas Cleaning 2, 7

Economics 1, 2, 3, 4, 5, 7 Syngas Utilization 2, 7

Electrochemistry 7 Transportation Fuels 2, 7

Flue Gas Desulfurization 5, 7 Power Plant Efficiencies 5

Fine Particles 3, 4, 5 Power Generation 5

Fischer Tropsch Chemistry 7 Scrubber Chemistry 5, 7

Flotation 4 Selective Catalytic Reduction 5, 7

Gasification 2 Sulfur Chemistry 5, 7

Liquefaction (Direct or Indirect) 2, 7 Trace Elements 5, 7

Materials 2, 3, 4, 5, 6 Transmission Infrastructure 5

Membranes 1, 2, 5, 7 Water Issues 2, 4, 7

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USE OF ILLINOIS COAL IN R&D

All proposed research must use Illinois coal, and/or have an Illinois coal emphasis. In gasification/combustion research and investigation of downstream related processes, a simulated syngas/flue gas may be used if the gas reflects conditions and components from the combustion or gasification of Illinois coal.

APPLICATIONS SPECIFICALLY NOT OF INTERESTProposals dealing with the following types of R&D are not of interest under this solicitation:

Any projects involving the development, use, classification, and upgrading of coal combustion residues (CCR’s).

Any projects involving plasma gasification, either as a stand-alone technology or as a supplemental technology.

Bench-scale research on CO2 capture and/or separation.

Any projects focusing on fuel cell research.

Proposals dealing with these subjects will be deemed non-responsive, and will not be reviewed or considered.

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1 - Carbon Management

1. PROGRAM AREA - CARBON MANAGEMENT

There is little doubt that carbon management will influence future coal projects, especially in gasification. Carbon is managed directly by the removal from emissions to the atmosphere, or indirectly by improving process efficiencies. The latter is often the easiest way to reduce a facility’s carbon footprint. Ongoing research aims to not only meet environmental standards, but also to reduce costs associated with removal and storage. This area focuses on direct management, while other program areas, particularly coal gasification and power generation, focus on indirect management. The ICCI’s top priority in this program area is to be a cost-sharing participant in larger-scale CO2 capture demonstrations, preferably on actual Illinois coal-burning power plant flue gas slipstreams.

Laboratory-scale and small pilot-scale research on CO2 capture and/or separation is not of interest in this solicitation. Such proposals, if submitted,

will be deemed non-responsive and will not be reviewed.

Priorities in this program area are:

1A. CO2 capture demonstrations from coal-fired power plants.

This area focuses on technology development for capturing CO2 from flue gas streams containing high SO2 levels, using either solvents or sorbents. The ICCI will consider funding to further investigate promising capture technologies.

Technologies should have a demonstrated capture efficiency of at least 10 wt% CO2

after 100 regeneration cycles. Projects should preferably be conducted on slip-streams from power plants burning

Illinois coal. Sulfur removal from these streams, and/or sulfur tolerance of the capture system, must be addressed.

Proposals should provide a target regeneration energy requirement and its impact on COE.

1B. Demonstration projects for utilization and/or storage of captured CO2 from power plant flue gas streams.

Demonstrate safe CO2 storage in any of the various geological features common to the Illinois Basin.

Demonstrate enhanced production of oil and/or natural gas resulting from CO2 injection.

1C. Methane capture and removal from mine ventilation systems. Researchers interested in this area may also refer to methane control and recovery in Section 3.

Emphasis should be on practical methodology and economic feasibility.

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2 - Coal Gasification

2. PROGRAM AREA - COAL GASIFICATION

Coal gasification includes activities related to an economic conversion of coal into gaseous products, either as an end product for sale or as an intermediate for power production or products such as Fischer-Tropsch liquids. The emphasis has been on the production of low-cost power in compliance with environmental regulations and CO2 sequestration. Interest in the generation of chemical intermediates such as hydrogen, organic chemicals, and diesel fuel, either alone or in conjunction with power generation, is increasing. The ICCI believes gasification is an environmentally acceptable use of Illinois coal and is a viable technology.

Coal gasification is a detailed and complex technology and many factors need to be investigated to estimate the economic viability of any proposed installation. The footprint of a gasification plant is an important consideration and is determined by demand for the end product (IGCC, chemical production, or polygeneration). Additionally, the extent and location of extractable coal reserves influence siting, along with operational infrastructure of the gasifier complex. Many other factors influence coal gasification economics and require investigation and definition, e.g., permitting factors and carbon management. A major factor in siting/economics of coal gasification is water usage. Several studies have been conducted defining water usage in coal gasification for both IGCC and hydrogen production. Using these as the basis (such as the DOE/NETL Report 400/2008/1339 available at www.netl.doe.gov), it would be beneficial to undertake studies in methods for lowering water usage in coal gasification. Effects of coal properties and the extent of coal cleaning on the gasification system are also of interest. This would also include an analysis of which systems would have the greatest effect on efficiency/economics. Conclusions from this study should result in recommendations of priority in research and development to yield the maximum increase in economic benefits.

Researchers should refer to Program Area 7 if interested in syngas reactions, Fischer-Tropsch reactions, and water-gas shift chemistry, and Program Area 6 if interested in materials research (development of high temperature materials for gasification systems). Priorities in this program area are:

2A. Advanced or novel technologies for syngas cleanup, focusing on the removal of H2S, NH3, and particulates.

Removing undesirable byproducts from crude syngas streams remains one of the most expensive components of a coal gasification system. Methods for purification of the syngas that will lower capital and operating costs are needed to advance the technology.

Warm-gas (>300oF) systems are preferred. Address removal of H2S, COS, mercury, and other trace metals. Define levels of impurities in inlet and outlet streams. If a sorbent is to be used, it must be in an advanced stage of development. Address capture, handling and disposal of contaminants. Investigate lower costs through integration into the existing plant.

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2 - Coal Gasification

2B. Reduction of the carbon footprint of coal gasification plants.

Of interest here is the reduction of CO2 throughout the various sections of the gasification plant by systems integration and/or efficiency improvements.

Compare effects of carbon management and plant economics on final product stream (e.g., IGCC vs. liquid fuels vs. chemicals production vs. polygeneration).

Determine effects of the end use of CO2 on process requirements and economics, including the quality of CO2 (e.g., pressure, purity, moisture, etc.).

Compare effects of individual sections for each gasification system on carbon management. Identify available sources of economic information.

Impact of process integration (such as thermal) on CO2 footprint.

2C. Reduction of capital-cost for gasification systems.

Focus on systems integration including sustainable resource utilization. Improved efficiencies in O2 membranes. Possible integration of downstream components into the gasification island.

2D. Methods for the reduction of water usage in coal gasification systems.

Based on previous studies defining water usage in coal gasification, an investigation of methods for reducing water usage is of interest. Factors to be considered will include, but not be limited to:

Compare water usage of individual sections for each gasification system. Define quality and size of water streams. Compare effects of water usage on siting and capital/operating economics. Analysis should be on a consistent basis. Identify available sources of economic information. Compare/contrast overall gasification systems for water usage.

Plasma gasification is not of interest in this solicitation. Proposals containing this topic, if submitted, will be deemed non-responsive and will not be

reviewed.

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3 - Coal Mining Technology

3. PROGRAM AREA - COAL MINING TECHNOLOGY

This program area has two core components – occupational and environmental health and safety (OEHS) and productivity. Studies by the National Institute for Occupational Safety and Health (NIOSH) and the National Safety Council (NSC) show a direct link between safety and productivity such that when safety improves, productivity increases and when safety decreases, productivity declines. Proposals in this area should identify both OEHS and productivity benefits, if possible.


3A. Occupational and environmental health and safety.

This program area focuses on improving miner safety and health and lessening environmental impacts of mining. Mine operators face significant challenges as they strive to maintain compliance with legislative and regulatory responses to mine disasters. Potential research topics for strengthening OEHS include:

Proximity detection – technology development; compliance with and enforcement of proposed “red zone” regulations.

Dust control – compliance with proposed 1 mg/m3 standard; targeting quartz; accuracy of real-time compliance monitoring; managing surface stockpiles.

Ground control – supporting roof, floor, and ribs; backfilling; managing effects of mining subsidence.

Methane control – coalbed methane (CBM) recovery in advance of mining; minimizing effects of rock dusting operations on production. (Researchers interested in methane capture and removal from mine ventilation systems should also refer to Section 1C.)

Noise control – engineered materials for noise dampening; safe operator practices; minimizing impacts of remote ventilation facilities.

Workforce education and training – assessing safety culture; behavior-based safety programs; proximity detection; emergency response coordination and rescuing; best practices in risk management; fire prevention.

Miner tracking and communication systems – developing integrated, single-line systems to monitor miners, equipment, ventilation, and the mine environment; proximity detection.

Reclamation – science-based methods for bond release determination; remote sensing; minimizing subsidence impacts to farm land.

Seals – materials research; techno-economic studies; assess impact of backfilling. Water issues – impacts of surfactant use; minimizing subsidence impacts on groundwater,

wells, and surface water systems.

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3 - Coal Mining Technology

3B. Productivity.

Demand for Illinois coal, the largest bituminous reserve in the United States, remains strong; however, for Illinois to take advantage of market conditions, lowering the delivered cost per ton of Illinois coal must be a high priority. Maximizing productivity is the key to lowering costs. Potential research topics for improving productivity are:

Automation – horizon control on continuous miners and longwall shearers; remote mining systems; automated roof bolting and longwall faces.

Efficiency improvements – optimize haulage capacity and cycle times; energy audits. Workforce education and training – minimizing out-of-seam dilution; maximizing

extraction ratios; behavior-based performance improvement. Exploration technology for defining reserve characteristics with less drilling. Mine infrastructure – engineered materials and advanced control technology for mining,

haulage, conveyor, ventilation, dewatering, and supply systems.

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4 - Coal Preparation

4. PROGRAM AREA - COAL PREPARATION

“Clean coal technology” includes pre-utilization beneficiation or coal preparation technology that efficiently removes inert material from raw (run-of-mine) coal yielding a high-value commodity requiring minimal amounts of post-utilization technology to clean up or control emissions and byproducts. The ICCI believes that the unit cost of pre-utilization clean coal technology is substantially lower than the unit cost of post-utilization clean coal technology.


4A. Product quality.

Develop or enhance technologies for the pre-combustion removal of any solid inert material from coal, including mercury and other trace elements.

Develop advanced technologies that provide optimized incremental control of various plant streams for increasing the overall quality of the preparation plant product.

Develop or enhance technologies that increase Btu levels for Illinois coal including coal drying, dewatering, and lowering inherent moisture.

4B. Preparation plant efficiencies and safety.

Develop and implement cleaning technologies that classify, recover, and dewater even the finest size fractions of run-of-mine coal.

Develop advanced technologies that provide optimized incremental control of various plant streams for increasing overall plant recovery.

Develop engineered materials that maintain their size, shape, functionality, and/or structural integrity for longer periods and evaluate the effects of such materials on efficiency and safety, including compliance with noise regulations.

Develop and implement technologies specifically designed for noise reduction. Energy consumption – energy audits to reduce costs or carbon footprints.

4C. Waste handling at coal preparation facilities.

Processing run-of-mine coal generates a waste byproduct that requires disposal. Fine waste slurry impoundments built of coarse refuse have been the norm. Increasingly strict environmental regulations have encumbered the permitting process significantly, increasing the cost of waste disposal. Coal combustion residue work is not of interest.

Water issues such as control of acid mine drainage; discharge of sulfates, chlorides, selenium, etc. and total suspended solids (TSS); preventing contaminant migration.

Placement of coal preparation waste and coal combustion byproduct materials in mined out surface pits or underground workings (backfilling).

Fine refuse dewatering, handling, and placement. Segregating “good” and “bad” components of waste and isolating the “bad” with specific

disposal techniques. Monitoring systems on impoundments or water discharges to verify compliance with

reclamation regulations and to inhibit environmental damage or failures. Reuse of material to minimize waste handling, such as recovering fly ash magnetite for

use in dense media circuits or using fine coal waste streams as gasifier or fluidized bed combustor feedstock. Combustion byproduct research focused on producing value-added products is not of interest.

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5 - Coal-Fired Power Generation and Emissions Control

5. PROGRAM AREA - COAL-FIRED POWER GENERATION AND EMISSIONS CONTROL

The majority of coal mined in Illinois and the US is combusted in pulverized coal (PC) power plants to generate electricity. Many of these plants were constructed prior to creation of the US Environmental Protection Agency (EPA) in 1970. With passage of the Clean Air Act that same year, emissions from power plants came under increasingly stringent regulation. Recognizing the need to curb emissions, the power generation industry has been diligent in implementing controls that have significantly reduced many pollutants in the atmosphere; however, there is always more that can be done. Today, global climate change, carbon dioxide as a pollutant, disposing of solid combustion residues, EPA limits on hazardous air pollutants (HAPs), and minimizing water usage are at the forefront of complexities faced by the power generation industry. As regulators continue to tighten emissions control standards, there are loud calls to revoke the grandfathering of existing plants and require them to meet current, new-source, maximum achievable control technology (MACT) performance standards. This would essentially force utilities to retrofit, repower, or close. A few of the retrofitting technologies applicable to coal-fired power generation include adding advanced flue gas cleanup systems, conversion to higher efficiency fluidized bed combustion (FBC) systems that can burn Illinois’ high sulfur coal, or conversion to oxyfuel technology.


5A. Investigate current technical issues in oxyfuel combustion technology.

Oxyfuel technology is not yet commercially available in the US, although several demonstrations are planned for the near future including some at commercial scale. The projected cost for oxyfuel technology, while higher than supercritical cycle PC technology, is lower than that of ultra-supercritical cycle PC technology. Furthermore, several technical issues still need to be resolved and evaluated to reduce future risks in the operation of oxyfuel units as well as to reduce costs. Research should focus on:

Investigate char-CO2 chemistry in terms of reactivities and minor species formation. Address sulfur chemistry and fate including interactions with chlorine. Heat transfer improvements and optimization in oxyfuel units, including effects of

modified combustion conditions and effects of flue gas recycle ratio. Study the issue of higher corrosivity in oxyfuel combustion. This has particular

implication for using Illinois coal with its high sulfur and high chlorine content in this technology.

Materials research for enhancing corrosion protection in furnace and boiler tubes. Research should also address higher temperature profiles generated in oxyfuel units.

Address impact on HAPs buildup during oxyfuel combustion. Research novel and inexpensive oxygen production technologies.

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5B. Retrofitting existing PC boilers to meet emission control requirements. ICCI cost sharing of larger-scale projects is of interest.

This program area is focused on improving the applicability and cost effectiveness of available emissions control technologies and researching new concepts and/or processes for multipollutant removal. This requires development/evaluation of new or improved concepts for flue gas scrubbing that can economically control NOx, SOx, mercury and other HAPs, and fine particulates (<2.5 µm or PM2.5) in flue gas from combustion of high-sulfur Illinois coal. Of particular interest is the removal of multiple pollutants by a single technology or via modifications to existing equipment such as advances to wet and dry scrubbers. Research should focus on:

Flue gases containing high levels of SOx and HCl. Studying the basic chemistry and efficiency of SO3 removal. Understanding and

eliminating SO3 reactions in the flue gas stream is of interest. Development of measurement technologies particularly suited for trace elements, such

as low-level detection methods of acid gases and condensable particulates. Investigation of “optimum available control technologies” for trace metal capture, above

and beyond standard SCRs, baghouses, and scrubbers, such as so-called “polishing” removal of mercury, especially when high capture efficiencies (e.g. >90%) can be attained occasionally, but not regularly. While mercury removal may be the objective, mercury sorbent work is not of interest.

Tuning of technologies such as SCRs for year-round optimization. Basic economics must be investigated. For capital expenditures, requirements should

be weighed against the age of the plant. For plants that are averse to capital expenditures, low capital retrofits with small footprints that have the ability to work with high-sulfur coal and achieve deep removal of all pollutants (SO2, SO3, NOx, Hg, PM, HCl, HF) may be ideal.

Development of scrubber materials resistant to acid gas and chlorine attacks. Sorbent development from coal combustion residues (CCR’s) is not of interest.

5C. Development/deployment of power production with inherent CO2 capture, i.e. direct chemical looping combustion (CLC) systems.

While oxy-combustion has emerged as the short-term solution for efficient CO2 capture, general scientific consensus is that CLC is a more advanced, longer-term solution to CO2

emissions reduction, with added benefits of lower NOx and the possibility of capturing SOx

as well. Research has already been conducted in the areas of oxygen carrier development, reaction kinetics, reactor design, system efficiencies, and prototype testing. However, certain key issues, such as complexity of the process, growing pains due to its early stage for development, and the current high operating costs due to the frequent need to replace the oxygen carriers, need further research to improve the performance of this technology. The following areas are of interest:

Improved oxygen carriers in terms of reactivity, stability and recyclability for a coal-based chemical looping system, specifically addressing Illinois coal.

Reactor designs for Illinois coal direct CLC. Syngas CLC is not of interest in this section.

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5D. Increasing efficiency of PC boilers while meeting emission requirements.

Coal-fired electricity generation is the largest anthropogenic source of CO2 and regulated CO2 emissions are almost certain given the current political climate. The ICCI believes this is best addressed in the short term by optimizing efficiency at existing coal-fired power plants so that less coal is burned per unit of electricity produced. In this regard, Illinois’ high-Btu coal is advantageous over sub-bituminous PRB coal. However, to make full use of efficiency improvements, retrofitting existing boilers with more efficient heat exchangers and/or enhanced coal combustion technologies that provide improved heat rates may be the quickest method for decreasing CO2 emissions. This could be done in conjunction with adding emission controls to comply with environmental standards, which may become a necessity if grandfathering of existing plants is revoked.

Consider methods and economics of carbon management integration into existing facilities. Minimizing derate due to CO2 capture and concentration is important.

Consider incremental improvements that do not trigger new source review (NSR). Consider technology to minimize water usage in a pulverized coal plant. The complete

plant, or only sections of it, may be investigated. Of special interest will be limiting water consumption in downstream systems, such as the FGD unit.

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6 - Materials Research

6. PROGRAM AREA - MATERIALS RESEARCH

Advances in power generation place more stringent requirements on materials of construction. Included in this area are components for gasifiers, boilers, and scrubbers. Any proposed work in this area must define the advanced combustion and/or scrubber technologies involved and define requirements for new materials development. The work must discuss the advantages/disadvantages for the new materials when using Illinois coal, and their performance in high-chlorine and high sulfur environments.


6A. Materials research for coal gasification and coal combustion systems, and their downstream-related processes. Research must clearly show the benefit/relevance to Illinois coal-based systems. This work could focus on improved and/or less expensive:

Materials for high-temperature boiler tubes. Refractory materials. Materials resistant to SO3 and HCl corrosion. Materials for wet scrubbers and wet stacks containing an acid gas atmosphere.

Researchers interested in developing materials for use in mining and coal preparation applications should refer to Program Areas 3 and 4 respectively.

Value added materials, such as sorbents, cements and fills using coal combustion residues (CCR’s), such as fly ash, bottom ash or slag materials, are not of interest in this solicitation. Such proposals, if submitted, will be

deemed non-responsive and will not be reviewed.

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7 – Coal Chemistry and Syngas Reactions

7. PROGRAM AREA - COAL CHEMISTRY AND SYNGAS REACTIONS

The ICCI is interested in expanding its research funding into basic coal structure studies. To ensure the wide use of coal as a resource in a carbon-constrained world, coal should be maximized as a carbon feedstock. Valuable chemicals should be extracted from the structure instead of converting the carbon to CO2 via combustion/gasification processes. This will entail looking afresh at how the structure can be manipulated and broken up to maximize the yield of useful chemical molecules, and/or how to limit or eliminate non-pyritic sulfur and other trace elements from the structure.


7A. The production of high-value products from coal via a non-gasification (i.e., direct) route. Of interest are any high value chemicals, including coal tar pitches.

Proposed approaches must be novel and innovative and show clear economic advantages.

Investigation of new or catalyzed chemical pathways to improve yield and selectivity can be explored.

Coal upgrading, including maceral separation, before any process reactions may be considered.

7B. Advancement of the OHD process.

Oxidative Hydrothermal Dissolution (OHD) is a novel technology for the conversion of coal, biomass and other organic solids, into low molecular weight products. Products are useful for the production of synthetic polymers as well as fuel production. The technology was developed at, and patented by, Southern Illinois University Carbondale (SIUC) with support from the Illinois Clean Coal Institute. The technology has been licensed to Thermaquatica Inc. to enable the continued push toward commercialization. Research efforts should be coordinated with Thermaquatica. Areas for advancement include:

Effective separation and upgrading of products in product streams. Catalysis of the OHD process itself, and/or catalysis of products into other higher-value

chemicals.

7C. Coal structural studies.

Basic modeling and applied studies are of interest. Reactions for purification and/or upgrading of Illinois coal may be investigated.

Investigations into organic sulfur removal are a high priority. Technologies that lead to the removal of mineral matter, trace elements, and sulfur via

non-conventional coal preparation techniques are also of interest.

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7 – Coal Chemistry and Syngas Reactions

7D. Production of coal-derived chemicals and fuels from coal syngas or other processes. Both direct and indirect liquefaction are of interest. Although Fischer-Tropsch (FT) chemistry has been extensively investigated, the ICCI is interested in novel or improved technology for the production of chemicals and intermediate feedstocks from coal-derived syngas.

New chemical pathways can be explored, including investigation of fundamental reactions.

Technology should improve on capital and operating economics of existing methods. Novel and/or alternative methods of producing chemicals and liquid fuels from syngas,

including upgrading of chemical streams. Development of optimal catalysts for production of chemicals and liquid transportation

fuels. Improvement of existing FT processes, including catalyzing the water-gas shift reaction.

Research that focuses mainly on CO2 separation from syngas is not of interest in this solicitation. Such proposals, if submitted, will be deemed

non-responsive and will not be reviewed.

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GENERAL PROPOSAL INFORMATION

PROPOSAL FORMATThis section describes the required proposal format. A complete proposal must consist of the following sections and appendices in the order given, using the appropriate section number.

Section 1. Application Form.

The application form must be the first page of your proposal (but see the exception under Proposal Packet on page 18).

Do not include cover letters, cover pages, brochures, table of contents, or forms not provided in this RFP.

Section 2. Abstract Page. A maximum of 500 words.

Section 3. Executive Summary. A maximum of two pages.

Section 4. Description of Technology.

Section 5. Market for the Technology.

Section 6. Proposed R&D and Statement of Work.

Section 7. Project Management and Schedule.

The total number of pages for sections 4 through 7 should not exceed 20 pages.

Section 8. Project Cost Proposal. Consists of six (6) budget forms.

Section 9. Subgrant Review Certification.

Appendix A. Resumes.

Appendix B. Detailed Subcontracts.

Instructions for preparing each of the above sections are provided in the following pages.

New for RFP2014: The State of Illinois’ Department of Commerce and Economic Opportunity Office of Coal Development now requires the completion of a Principal Investigator Diversity Form. Only one copy is needed by the ICCI, and must be attached as the first page to an original copy of the proposal (see Proposal Packet, page 18). Including the Diversity Form with all other proposal copies is not required.

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PROPOSAL PACKETA complete proposal packet will consist of:

Two (2) single-sided proposals with original signatures. Use binder clips only; do not staple or bind the proposals in any other way.

The first original proposal should have the Diversity Form placed before the Application Form. Diversity Forms for the other proposal copies are not required.

Ten (10) double-sided copies. These copies must be stapled in the top left corner.

A CD-ROM containing the complete proposal in Microsoft Word format. PDF files will not be accepted. The Word document should contain all sections as listed under Proposal Format in one file – do not make separate files for each section. Include the Diversity Form as a separate file. The CD must be labeled with the proposal title, principal investigator’s name and organization, and RFP2014.

Do not include cover letters, cover pages, brochures, or forms not provided in this RFP.

DEADLINE The complete proposal packet as described above must be received at the location listed below no later than Tuesday, June 25, 2013, at 4:00 PM (Central Daylight Time). Early receipt will be welcomed.

SUBMISSION INFORMATIONSubmit the proposal packet via Courier or US Mail to:

Dr. Francois Botha Illinois Clean Coal Institute5776 Coal Drive, Suite 200Carterville, IL 62918-3328

Telephone: 618 985 3500

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PROPOSAL RESPONSIVENESSTo be considered responsive, the proposal must:

Not address any research area specifically prohibited in this solicitation as detailed on page 4.

Consist of all the sections and appendices in the order given as discussed under the section Proposal Format on page 17, including one copy of the Diversity Form.

Adhere to the requirements listed in the section Proposal Packet on the previous page.Adhere to all requirements listed in the Detailed Instructions for Completing RFP2014

section starting on page 20.Meet the submission deadline.

PROPOSAL REVIEW PROCESSProposals will be reviewed through a three-stage process. The complete RFP2014 review process is discussed in detail in The Proposal Review Process document, found at:http://www.icci.org/reviewprocess.pdf.

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DETAILED INSTRUCTIONS FOR COMPLETING RFP2014

PRINCIPAL INVESTIGATOR DIVERSITY FORM This form is a requirement from the State of Illinois’ Department of Commerce and Economic Opportunity Office of Coal Development. Only one copy is required, and must be placed as the first page to an original copy of the proposal (see Proposal Packet, page 18).

Providing this information is voluntary. Completing the form, or failure to provide this information, will not affect your proposal’s status, or influence your chance of being funded, in any way.

The form must be attached even if you decline to provide the diversity information.

PROJECT TITLE AND PRINCIPAL INVESTIGATOR

Please use the same values as used on the Application Form (see page 25).

DIVERSITY QUESTIONNAIRE

If you decline to provide this information, please draw a diagonal line across the requested diversity fields as indicated.

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PRINCIPAL INVESTIGATOR DIVERSITY QUESTIONNAIRERFP2014

PROJECT TITLE

PRINCIPAL INVESTIGATOR

Name: (Dr., Mr., Ms.)

Organization:

The diversity information below is requested from the ICCI by the State of Illinois’ Department of Commerce and Economic Opportunity Office of Coal Development.

Providing the requested information below is voluntary. Providing this information, or failure to provide this information, will not affect your proposal’s status, or influence your

chance of being funded, in any way.

If you decline to provide this information, please draw a diagonal line across the fields below.

SEX

Male Female

ETHNIC ORIGIN

White American Indian or Alaskan Native

Black or African American Hispanic or Latino

Asian Native Hawaiian or other Pacific Islander

Other

ARE YOU A VETERAN OF THE UNITED STATES ARMED FORCES?Yes No

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SECTION 1. INSTRUCTIONS FOR THE APPLICATION FORM

Recommendation: Complete Section 8 prior to completing the Project Financials area on this form.

FONTS AND SIZE

The Diversity Form, Application Page and Budget Forms are already set up to use the Arial font in an appropriate size. For the body of the document, starting with Section 2, please use:

Arial 12 point font with single spacing for text Full justification for text paragraphs 1” margins Double spacing between paragraphs Block format for paragraphs (no indents)

PROJECT TITLE

The project title must be as short as possible with a maximum of 75 characters. Use keywords in the title that closely reflect the topic. The use of the title must be consistent throughout the proposal. If the proposed research is the next phase in a previously funded ICCI project, you must add the phase number of the proposed research after the title, e.g., Water Usage in Gasification Systems – Phase 2.

If the project is funded and the ICCI believes a more suitable title should be used, the title may be revised and the proposal may need to be resubmitted after discussion between the ICCI and the principal investigator.

PROJECT INFORMATION

Research Area to be Addressed

Select only one area from the RFP2014 Funding Areas section of the RFP that best describes your proposed research by listing its identifying number, e.g., 2C for a project in Coal Gasification on capital cost reduction (see Page 7).

Project LocationThe location of the laboratory, building, or site where the research will be conducted.

Project End DateThe starting date of the project will be January 1, 2014. Select a suitable end date for the project not to exceed September 30, 2015. Shorter project durations are encouraged; however, pay close attention to the proposed tasks (Section 6.6) and ensure that you can complete the project in the time allotted, as no project extensions will be given.

Has this work been submitted for funding elsewhere?If you have submitted, or plan to submit a proposal to perform similar work to another funding agency, please indicate “Yes” with an “X” in the space provided. Otherwise, check “No.”

If yes, name the organization(s).

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If you checked “Yes” above, name the organization(s) to whom you have applied or will be applying for funding in the space provided.

If the proposed research is the next phase in a previously funded ICCI project, you must list your previously funded ICCI project number here.

PRINCIPAL INVESTIGATOR

There can be only one principal investigator (PI) listed on the proposal. The PI must be the person who either performs the major portion of the work or the person who does the day-to-day direction of the project. Supervisors who are not performing these functions cannot be listed as the PI. Please indicate the correct title (e.g., Dr., Mr., Ms.) for the individual.

CONTRACT MANAGER

The contract manager is the person responsible for monitoring the budget and sending financial statements and invoices to the ICCI. The contract manager may be the same person as your financial officer.

PROJECT FINANCIALS

Recommendation: Complete Section 8 prior to completing the Project Financials area on this form.

The numbers listed here must be identical to the values from the last line of the table from Form 8.6.

Project Cost.Fill in the total project cost.

Funding Provided by Applicant.Fill in the corresponding contribution total provided by the applicant and/or the applicant’s organization. This may be either cash or in-kind contributions, and must be the same number as listed on Form 8.6 under the “Applicant” column in the “Other Funds Applied To This Project” section.

Funding from Other Sources.Break down contributions from other sources to the project into “monetary” and “in-kind” contributions. The total contributions from other sources must match the value from the last line of the table from Form 8.6.

Funding Requested from ICCI.The value should match "ICCI Amount Requested" from the last line of the table from Form

8.6.

Other Funds Applied to this Project.Fill in the corresponding contribution total provided by other organizations and/or companies. This may be either cash or in-kind contributions, and must be the same number(s) as listed on Form 8.6 under the “Other Company I” and/or “Other Company II” columns in the “Other Funds Applied To This Project” section.

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SIGNATURES

This form must be signed and dated by the principal investigator and the contract manager (or financial officer). Institutions that require an additional signature can add the appropriate signature here. By signing the application form, the principal investigator accepts all responsibility as to the accuracy of the document, including proposed budget figures. The principal investigator also recognizes and accepts the following statements of responsibility for this project:

As principal investigator, I understand that I, in consultation with my supervisors as necessary in the normal conduct of business and research, will be required:

To be the point of contact for the ICCI on technical and administrative matters pertaining to this project;

To be the person who will actually be performing or doing the day-to-day direction of the majority of the research proposed;

To be responsible for passing pertinent information on to other investigators; and to be responsible for submitting technical reports to the ICCI on time and in the accepted format;

To be responsible for meeting the technical objectives of the project in a timely manner;

To be responsible for maintaining the safest possible working conditions and procedures for activities relating to this research project; and

To present research results at meetings and conferences as the ICCI may request.

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RFP2014 APPLICATION FORM

PROJECT TITLE (maximum of 75 characters)

PROJECT INFORMATION

Research Area to be Addressed: Project Start Date: January 1, 2014 Project End Date:

(no later than September 30, 2015)

Project Location:

Have you submitted, or do you plan to submit this work for funding elsewhere? Yes No

If yes, name the organization(s):If the proposed research is a follow-up phase to a previously ICCI-funded

project, list the previous phase’s ICCI project number.

PRINCIPAL INVESTIGATOR CONTRACT MANAGER / FINANCIAL OFFICER

Name: (Dr., Mr., Ms.) Name: (Dr., Mr., Ms.)

Organization: Organization:

Address: Address:

E-Mail: E-Mail:

Telephone: Telephone:

PROJECT FINANCIALS

Total Project Cost: Funding Provided by Applicant:

Funding Requested from ICCI: Funding from Other Sources: (specify in table below)

OTHER FUNDS APPLIED TO THIS PROJECTSource of Funds Cash Funding In-Kind Funding Total Funding

I.

II.

Total of Funding from Other Sources:

SIGNATURES

Principal Investigator: Date:

Contract Manager: Date:

Other signature: (optional) : Date:

ICCI USE ONLY

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SECTION 2. ABSTRACT PAGE

Write an abstract of no more than 500 words describing the proposed research. Include a general description of the project, the objectives of the research, and how those objectives will be achieved. This abstract will be published on the ICCI website if your project is funded.

Starting with this section, number all pages at the bottom-center position. The Abstract Page will be the first numbered page (1). Also see the font requirements on page 22.

SECTION 3. EXECUTIVE SUMMARY

This section, which can be no longer than two pages, must briefly summarize the proposal. This must include the technology proposed and why it is superior to existing or other technologies under development, the relevance of the proposed work to creating or increasing a market for Illinois coal, the anticipated time and cost of future work to take the technology to commercialization, and major participants in the project.

SECTION 4. DESCRIPTION OF TECHNOLOGY

In this section, the theoretical basis of the technology should be given, including its basic operating principles. Also include a brief review of pertinent literature as it pertains to this technology. Finally, include only a brief, one paragraph summary of any previous work done by the proposer on this technology (a detailed discussion will be required in Section 6.3, and should not be given here).

SECTION 5. MARKET FOR THE PROPOSED TECHNOLOGY

5.1 MARKET IMPLEMENTATION AND COMMERCIALIZATION APPROACH

Discuss the market approach, and the practical implementation of this technology. Summarize the possible benefits of the project to Illinois coal. Identify any key issues that will prevent or hinder successful application/installation of your process and/or technology. For projects that may lead to commercialization, this section must also contain a plan for developing the technology to a level where the technology is ready for demonstration. Identification of partners required to commercialize the technology is crucial.

5.2 COMPETING TECHNOLOGIES

Since the ICCI R&D program is market, rather than technology driven, an important part of the review process will be the evaluation of the proposer’s knowledge of competitive technology and the presentation of a technically and economically sound case for the proposed technology.

Give an overview/comparison of your main competitors’ processes, discuss the predicted advantages of the proposed technology over competing technologies, and expand on the rationale for your decision.

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! SECTION 6. PROPOSED R&D AND STATEMENT OF WORK

Failure to include all the sub-sections required will lead to the proposal being considered as non-responsive.

6.1 PREVIOUSLY SUBMITTED UNFUNDED PROPOSALS TO ICCI

If this proposal, or the technology at the basis of this proposal, has not been submitted to the ICCI for funding consideration before, include the following statement, and continue to Section 6.2:

This proposal, and/or the core technology that is the subject of this proposal, has not been previously submitted to the ICCI for funding consideration.

Proposals previously submitted to the ICCI and not selected for funding may, in some circumstances, not be eligible for submission again. Unfunded proposals may not be submitted to the ICCI again if any one of the following criteria apply:

The unfunded proposal has been submitted twice to the ICCI in the last three years.

The technology at the core of the unfunded proposal(s) has been submitted twice to the ICCI in the last three years, either under the Exploratory Research RFP and/or the main R&D RFP.

If the proposing organization or the principal investigator has unsuccessfully applied to the ICCI for RFP funding based upon a core technology or idea, and would like to submit a similar proposal again, they may do so only if both of the following criteria are met:

The unfunded proposal, and/or the technology at the core of the unfunded proposal, has been submitted once to the ICCI in the last three years.

Reviewer comments were received by the principal investigator for the unfunded proposal, and the reviewers’ concerns are addressed in the new proposal. If the previous proposal was submitted under the ER solicitation (for which reviewer comments were not received), only the first criterion has to be met.

If the proposing organization or the principal investigator meet the requirements above, and would like to submit a similar proposal again for funding consideration, this section should start with the following statement:

This proposal, and/or the core technology that is the subject of this proposal, was submitted to the ICCI for funding consideration in __ (include year of submittal and the RFP or RFP-ER solicitation number), and was not selected for funding. The following points address the main concerns of the peer reviewers as communicated for the previously submitted proposal:

Include in bullet form, the top three criticisms/issues as communicated by the reviewers’ comments, and how this proposal addresses those concerns. For example, if a major concern was reactor design, explain how this design issue has been addressed in this proposal. A regular occurring issue is the lack of data to substantiate claims; if a reviewer

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commented on unproven reaction conditions, include experimental results that you have conducted subsequently that proves your research hypothesis. If no comments were received for an ER proposal, please include a sentence to that effect, but expand on any subsequent R&D activity conducted by either the principal investigator or others in the proposing organization.

The ICCI keeps a large database of submitted proposals and reviewer comments, and will refer to those documents if a proposal is submitted again for funding consideration. Failure to complete this section accurately, or dismissal of reviewer concerns, will lead to the proposal being deemed as non-responsive.

6.2 ICCI-FUNDED PROJECTS ON SIMILAR TECHNOLOGIES

Search the projects database on the ICCI website (http://www.icci.org/reports.php) for a list of previous projects that the ICCI may have funded that are similar, or affect your process/technology. Discuss how the proposed project will differ from these projects, and/or will contribute to the results already available. This section should include a discussion of previous phases of your technology if funded by the ICCI, or any work done in a similar area by other researchers. These projects may have been conducted by organizations other than your own. Limit this section to a maximum of two pages.

Failure to discuss projects previously funded by the ICCI in the area of the applicant’s research will lead to the proposal being deemed as non-responsive.

6.3 RESEARCH COMPLETED TO DATE

In this section, present and discuss in detail R&D completed to date by you and/or your organization on the proposed technology. List any milestones met so far, and identify unresolved issues that will be addressed by the proposed research. Describe any external funding received (federal/state and private) towards the technology, and list any reports or publications that are available for review.

Failure to complete this section in detail, including the disclosure of external funding, or published reports, will lead to the proposal being deemed as non-responsive.

6.4 SPECIFIC TECHNICAL TARGET(S)

List an achievable project objective(s) for this research project. Project targets must be a specific value and measurable. State the basis for selection of this performance parameter and its value, and how the selected value compares to current available technology. (For example, the target of a coal preparation project could state “to achieve 90% pyrite/ash rejection and a Btu value of 12,000 for the product.”) Also discuss other parameters you will be targeting, and the values of these parameters that must be achieved to satisfy project objectives.

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6.5 KEY TECHNOLOGY HURDLE

List the proposed project/technology’s key technology shortcoming and/or limitation. Elaborate on how these key technical risks/issues will be addressed.

6.6 STATEMENT OF WORK (SOW)

This section must specifically define the work that will be done under the proposed contract. The work should be broken into tasks. (The ICCI recommends a minimum of three tasks, but no more than eight.) Tasks that involve modeling without experimental validation are not acceptable. For each task, include:

A complete description of the project task to be conducted, including operating parameters to be investigated, and

Key personnel responsible for the task.

Specify what existing experimental facilities, instrumentation, and analytical equipment are available for each task. The purchase of new equipment must be specified and justified. Suppliers of equipment to be acquired must be specified and the delivery time must be indicated. New equipment will be listed specifically on Form 8.3, and must include a recent quote.

The following two items cannot be included as tasks:

Report Writing. The ICCI views reporting as an integrated essential to the project and as such, no aspects of report writing can be included as a separate task.

Literature Surveys. Literature surveys should be conducted before submission of the proposal.

If the project is funded, the ICCI may request that the SOW be revised depending on whether all issues are adequately addressed

Project extensions will not be allowed, so pay close attention to the proposed tasks and ensure that you can complete the project within the timeframe indicated on the Application Form.

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SECTION 7. PROJECT MANAGEMENT AND SCHEDULE

7.1 PERSONNEL

Include a list, by name and title, of the top three key personnel involved in the project, and what their roles will be in the project. Roles must be defined in terms of experience in pertinent areas of project responsibility. The time commitment of key project staff must be provided.

Brief resumes of the key project personnel must be included as Appendix A (see page 46). Also, identify other workforce requirements and the projected source of personnel, i.e., graduate students, technicians, etc. If names are available, list them here.

7.2 SAFETY

Outline any procedures, situations, or materials that could be hazardous to personnel, and describe the precautions that will be exercised. State whether your company has a written safety plan in place, and how your company ensures employees’ compliance with this plan.

7.3 PROJECT SCHEDULE

Based upon the tasks outlined in the SOW, a project timeline chart or schedule showing milestones and decision points for every task must be completed. This milestone/decision point chart will be an important project management tool and it must therefore be carefully prepared. Milestones are measurable events such as completing installation of equipment, initiating testing, completion of a particular test campaign, etc. A decision point is a milestone upon which a significant project decision is dependent. For example, achieving a required sorbent capacity or some other performance parameter that influences the project viability would be considered a decision point. A sample schedule is shown in Figure 1.

Month 1 2 3 4 5 6 7 8 9 10 11

12Task 1 - Cold Tests a b

Task 2 - Hot Tests a c

A

Task 3 – Physical Analysis d

B C

Task 4 – Chemical Analysis e

Milestones Decision Pointsa Equipment assembled A Acceptable attrition resistanceb Cold Tests completed B Achieve objective sulfur capacityc Hot Tests completed C Compare to existing sorbentsd Density analysis completede Mercury analysis completed

Figure 1. Example of a Schedule of Projected Milestones and Decision Points for a 12-month project.

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7.4 PROJECT DELIVERABLES

Projects funded under this solicitation will require quarterly progress reports and a final technical report. Additional short summaries of your project for ICCI use may also be required throughout the project period.

7.5 PROJECT PRESENTATIONS

The PI of each project selected for funding will be required to travel to Carterville, Illinois, twice during the project period to give a presentation to ICCI staff on research progress. Dates will be set in advance to the mutual satisfaction of the PI and the ICCI. The first presentation will be at the mid-point of the project, and will update the ICCI on research progress to date. The second presentation will be during the last month of the project period and will be a summary of the project outcome. Costs related to this travel should be requested on Form 8.2. Additional meetings between the ICCI and the PI will be at the project location. Please refer to Section 8.2 for further information.

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SECTION 8. PROJECT COST PROPOSAL

Section 8 consists of six sub-sections, each with a corresponding form that must be completed.

Section 8.1 Direct Labor and Benefits

Section 8.2 Project Travel

Section 8.3 Major Equipment

Section 8.4 Additional Project Costs

Section 8.5 Contract Pricing By Task

Section 8.6 Budget Summary

VALUES

Round all numbers to the nearest dollar. Do not include cents in any budget form.

All values are for the funding requested from ICCI only. The only exceptions are the penultimate column in Form 8.3 (cost sharing provided towards equipment purchase by parties other than ICCI), and the columns provided in Form 8.6 for funds provided by cost-sharing organizations. Please contact the ICCI if clarification is needed on completing any form.

FORM MODIFICATION

IMPORTANT: DO NOT MODIFY THE FOLLOWING FORMS IN ANY WAY.

Do not alter the sequence and/or orientation of the following forms, or change the font sizes or outlays of these forms. Also, do not include additional text providing explanations between the budget fields. Such modifications will cause the proposal to be deemed non-responsive to this solicitation, and such

proposals will not be reviewed.

ADDITIONAL MATERIALS

You must complete the budget forms requested by the ICCI in this document. Do not substitute your organization’s forms or other computer printouts instead of the ICCI forms. Do not add any supplemental explanatory material to this section, or to the back of the proposal.

Note: Financial Statement: Organizations may need to submit a financial statement to the ICCI if requested, showing proof that the applicant can cover any cost overruns that the project may incur.

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8.1 Instructions for Form 8.1 Direct Labor and Benefits

On this form, only technical personnel who will work on this project together with their respective work titles should be listed. Do not include any support staff, such as secretarial, accounting, or janitorial services; these persons should be covered by your indirect cost.

The first person listed must be the principal investigator. At a minimum, all key personnel identified in Section 7.1 must be listed here. When names are not available, list “Person A”, “Person B”, etc., with appropriate work titles.

In Column A, list time to be spent on the project by each person; use units commensurate with the salary or wage rate to be quoted (months or hours). In Column B, give the full gross wage (indicating 9-month or 12-month) or salary rate for each listed person; quote salary or wage rates for all personnel according to standards for your institution and clearly show units ($/month or $/hr). Do not convert monthly salaries to hourly wages, or vice versa. Calculate the total labor cost for each person and enter this value as an estimated cost in Column C. Wage and salary figures should not include the cost of employee benefits. Benefits should be listed separately as a percentage of wages or salary. The percentage that will be added to personnel costs for employee benefits is listed in Column D. This percentage should cover retirement, health and life insurance, workmen’s compensation, unemployment, and any other employee benefits. Calculate the total benefit cost for each person and enter this value as an estimated cost in Column E.

The total direct labor cost and the total benefits amount on this form must agree with the amounts shown for “Direct Labor” and “Labor Benefits” on Forms 8.5 and 8.6 respectively. Only labor and benefit costs being requested from ICCI funding should be included on this form. Ensure that the numbers in the totals columns for C and E are the true sum of the values listed above each number.

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FORM 8.1 DIRECT LABOR AND BENEFITS

A B C D E

Name Work Title Hoursor Months

Rate($/hr or $/mo)

Direct Labor Cost(A*B)

Benefits%

Benefits Amount(C*D)

Principal Investigator

TOTALS

TOTAL LABOR AND BENEFITS (COLUMN C + E)

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8.2 Instructions for Form 8.2 Project Travel

PROJECT TRAVEL

List only project-related travel costs to be billed to the ICCI here. If any travel costs will be contributed by your organization, list those costs as cost sharing in the “Applicant” column on Form 8.6.

In general, justified travel is related to carrying out the objectives of the project, e.g., collaborating with other investigators, meetings with sponsors, obtaining samples, conducting field trials, etc. Excessive travel costs will significantly weaken the proposal, thus the ICCI encourages applicants to cost share travel costs wherever possible. Travel outside the continental United States is not allowed. All air travel, if applicable, must be in coach class.

ConferencesDo not include any conference requests in this section. While the ICCI encourages publishing and presenting results of ICCI-funded work even after a project is completed, attending professional conferences and meetings is funded directly by the ICCI with non-project funds. The procedure for applying for such funding is contained in the Principal Investigator Guidelines that will be distributed to PIs of projects selected for funding.

MeetingsTravel for project meetings or meetings with project sponsors is acceptable.

Provision should also be made for two trips by the principal investigator to the ICCI office in Carterville, Illinois, to report on research progress. These meetings are already noted on the form. As discussed in Section 7.5, the PI of each project selected for funding will be required to travel to Carterville, Illinois, twice during the project period to give a presentation to ICCI staff on research progress. Dates will be set in advance to the mutual satisfaction of the PI and the ICCI. The first presentation will be at the mid-point of the project, and will update the ICCI on research progress to date. The second presentation will be during the last month of the project period and will be a summary of the project outcome.

Do not include travel costs to the ICCI for researchers other than the PI on this form. Researchers working on the project are welcome to accompany the PI to Carterville for the project presentations, but their travel costs should be paid by the proposing organization and the value included as cost sharing on Form 8.6. Additional meetings between the ICCI and the PI will be at the project location, and no additional travel cost towards this purpose should be added in this section. List each trip with all pertinent details and corresponding costs. If you enter a value in the “Other Costs” column, explain those costs in the space provided below the table. Additional lines may be added if needed. Finally, add all total estimated costs and enter the total in the appropriate box.

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FORM 8.2 PROJECT TRAVEL

PROJECT TRAVEL

Destination Purpose of Trip Number of People Airfare Car Rental

or Mileage Lodging* Other Costs or Per Diem

(explain below)

Total Cost

Carterville, Illinois ICCI Mid-Point Project Presentation by PI 1

Carterville, Illinois ICCI Final Project Presentation by PI 1

TOTAL TRAVEL

* EXPLANATION OF OTHER COSTS

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8.3 Instructions for Form 8.3Major Equipment

MAJOR EQUIPMENT

Major Equipment for this solicitation is defined as equipment that:

Has a unit value of $500 or more,

Is not permanently attached to the organization’s buildings or grounds, and

Has a life expectancy of one year or more.

The following electronics cannot be considered equipment under this solicitation:

Personal electronic devices, including cell phones, tablets, digital cameras, etc.

Standalone personal computers (both desktops and laptops/notebooks) and computer peripheral equipment. Purchase of computers must be associated with equipment being acquired and must be operated as a dedicated data collection device.

List each piece of major equipment separately including brand name, model number, and the vendor from whom you expect to buy this equipment. You must indicate whether this equipment will be a new resource or if it will replace an existing item.

For every item listed in this table, you must include a recently-quoted purchase price for the equipment as well as quoted costs for freight and installation. Increase the cost for inflation depending on when the equipment will be purchased. List the cost-sharing amount to be contributed for the equipment from all organizations, and name the organizations and the amounts they will contribute in the space below the table. Finally, add all estimated costs and enter the total in the appropriate box.

Each piece of equipment to be acquired must have a short justification statement typed in the space below the table. Finally, a recently-dated price quote sheet from the manufacturer or distributor of the equipment must be attached immediately behind this form.

NOTICE: The ICCI requires cost-sharing on major equipment purchases.

Equipment purchases are not allowed in the last 30 days of a project.

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FORM 8.3 MAJOR EQUIPMENT

The ICCI requires cost-sharing on major equipment purchases, and equipment purchases are not allowed in the last 30 days of a project.

MAJOR EQUIPMENT TO BE ACQUIRED (JUSTIFY BELOW)

Equipment Description & Model Number Proposed Vendor New or Replacement?

Total Item Cost ($)

$ Cost Sharing Amount for Item (explain

below) *

$ Amount Requested from ICCI

TOTAL EQUIPMENT

* IDENTIFICATION OF COST SHARING ORGANIZATION(S) FOR EQUIPMENT PURCHASES

(the ICCI requires cost-sharing on major equipment purchases)

JUSTIFICATION FOR MAJOR EQUIPMENT PURCHASE

(also attach equipment quote)

REMINDER: Attach all your equipment quotes immediately behind this page. 38

8.4 Instructions for Form 8.4Additional Project Costs

MATERIALS & SUPPLIES

Materials and supplies include laboratory and other R&D supplies specific to the completion of the proposed work. This section usually includes items such as glassware, compressed gases, chemicals, fabrication materials (steel, aluminum), etc. Standard office supplies will not be accepted as a “Materials and Supplies” cost. These costs are covered via the indirect cost line.

List similar items together with the corresponding cost. Additional lines may be added if needed. Finally, add all materials and supplies costs and enter the total in the appropriate box.

OTHER DIRECT COSTS

This element includes costs such as physical plant services, rentals/leases, utility services, repair and maintenance, and other professional services as needed. For the most part, single-amount laboratory analyses should be listed as an Other Direct Cost instead of a subcontract. The following costs are not allowed in this area:

General office costs, such as shipping, duplicating or copying, postage, telecommunication services, etc. These costs are covered via the indirect cost line.

Salaries or wages of any kind. List these on Form 8.1.

Consultants. List these services under the Subcontracts and/or Consultants Summary section below.

Please list each item separately and in detail. Additional lines may be added if needed. Finally, add all costs and enter the total in the appropriate box.

SUBCONTRACTS AND/OR CONSULTANTS SUMMARY

This section is to only give a one line summary of the services of consultants and other subcontracted portions of the proposed project. Each entry listed here must be specified in detail in Appendix B (see page 46). Please refer to Appendix B for distinctions between a consultant and a subcontractor. For the most part, single-amount laboratory analyses or sample preparation should be listed as an Other Direct Cost instead of a subcontract.

List each entry separately in this section with a total estimated cost. Additional lines may be added if needed. Finally, add all costs and enter the total in the appropriate box.

INDIRECT COST

Specify how indirect cost is determined for your organization. List all components of this determination separately. Additional lines may be added if needed. Finally, add all costs and enter the total in the appropriate box. Ensure that the total is the true sum of the values listed if more than one entry is listed here. The DCEO-determined indirect cost rate for Illinois state-supported institutions is 10% of the total direct cost (Form 8.6.)

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FORM 8.4 ADDITIONAL PROJECT COSTS

MATERIALS & SUPPLIESDescription No. of Items Cost/Item Total Cost

TOTAL MATERIALS & SUPPLIES

OTHER DIRECT COSTSDescription Total Cost

TOTAL OTHER DIRECT COSTS

SUBCONTRACTS AND/OR CONSULTANTS SUMMARYSubcontractor / Consultant Total Cost

TOTAL SUBCONTRACTS/CONSULTANTS

INDIRECT COSTSpecify how Indirect Cost is calculated Total Cost

TOTAL INDIRECT COST

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8.5 Instructions for Form 8.5Contract Pricing by Task

PROJECT INFORMATION

The project title, principal investigator, organization, and contract manager should be exactly as shown on previous forms.

ELEMENTS OF COST

This form must be completed with the estimated costs for each task as proposed in the Statement of Work, Section 6.6. This form is frequently used by the ICCI to modify or eliminate tasks from a project, so it is crucial to accurately capture the true cost of a task.

Do not prorate the total ICCI amount requested over the number of tasks proposed in the Statement of Work, Section 6.6. You must indicate the estimated cost of each task. If you use a spreadsheet to calculate these values, ensure that the totals are the true sum of the numbers listed for each total. Rounding errors occur frequently in this table and may cause conflicting values on other forms, causing your proposal to be non-responsive.

The total value in the far right column, found by combining the various tasks, should match the total amounts as shown on the respective forms for each cost element. These amounts should only be funds requested from ICCI, and should not include any contributions from other sources.

If contributions from other sources are available, they should only be listed on Form 8.6 - Budget Summary.

SIGNATURES

This form must be signed by the principal investigator and the contract manager.

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FORM 8.5 CONTRACT PRICING BY TASKPROJECT INFORMATION

Project Title:

Principal Investigator: Organization:

Complete with the estimated costs for each task. ICCI requested amounts only. Do not simply prorate the project cost over the proposed number of tasks.

ELEMENTS OF COST Task 1 Task 2 Task 3 Task 4 Task 5 Task 6 Task 7 Task 8 TOTAL

Direct Labor 1

Labor Benefits 1

Travel 2

Major Equipment 3

Materials & Supplies 4

Other Direct Costs 4

Subcontracts/Consultants 4

Total Direct Cost 5

Indirect Cost 4

TOTALS1. Form 8.1 2. Form 8.2 3. Form 8.3 4. Form 8.4 5. Sum of all above categories

SIGNATURES

Principal Investigator: Date:


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8.6 Instructions for Form 8.6Budget Summary

PROJECT INFORMATION

The project title, principal investigator, organization, and contract manager should be exactly as shown on previous forms.

ICCI AMOUNT REQUESTED

Complete this section using totals from corresponding forms for each element. The “Totals From Form” column gives an indication as to where totals for each cost element may be found. The total value in the far right column should include any cost-sharing contributions.

TOTAL DIRECT COST

This amount is the sum of all direct-cost elements. Ensure that the number is the true sum of the values listed above and that it matches the value where used on other forms.

INDIRECT COST

This amount must match the total value from Form 8.4.

OTHER FUNDS APPLIED TO THIS PROJECT

The ICCI encourages cash and in-kind contributions to the project by the proposing organization and/or by other sponsors. Add any such funds, whether cash or in-kind, from external organizations, including your own, and identify the organization(s) in the space shown. Use the first column for contributions by your organization. The next two columns can be used for other contributing organizations. Identify these organizations in the Source of Other Contributions space below the table. The totals given here must match amounts on the application form.

Illinois supported institutions: Please note that indirect costs in excess of the 10% allowed for Illinois supported institutions may not be included as a cost-sharing contribution.

You must attach a letter from each organization who will contribute to the project, stating their willingness to contribute the amount specified, either monetary or in-kind. Do not attach letters of support from organizations that will not be making monetary or material contributions to the project.

SIGNATURES

This form must be signed by the contract manager.

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Form 8.6 BUDGET SUMMARY

Project Title:

Principal Investigator: Organization:

DIRECT COSTSTOTALS

FROM FORM

ICCI AMOUNT

REQUESTED

OTHER FUNDS APPLIEDTO THIS PROJECT **

(SPECIFY SOURCES I AND II BELOW)TOTAL

PROJECT COSTAPPLICANT’S

ORGANIZATIONOTHER

COMPANY IOTHER

COMPANY IIDirect Labor 8.1

Labor Benefits 8.1

Materials & Supplies 8.4

Travel 8.2

Other Direct Costs 8.4

Subcontracts/Consultants 8.4

Major Equipment 8.3

TOTAL DIRECT COST

INDIRECT COST 8.4

PROJECT TOTALS

** SOURCE OF OTHER FUNDS (Totals must match amounts on the Application Form)

NAME OF OTHER COMPANY I.

NAME OF OTHER COMPANY II.

SIGNATURE


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SECTION 9. SUBGRANT REVIEW CERTIFICATION

Your institution’s contract manager must sign and date this form after reading its contents.

If a project from your organization is selected for funding, your organization will be required to sign a subgrant agreement. The subgrant is executed through Southern Illinois University Carbondale and is based on the Illinois Department of Commerce and Economic Opportunity (DCEO) prime grant and State of Illinois and/or Southern Illinois University regulations. Please note that all awards are on a cost reimbursement basis. There are no exceptions to this provision.

The ICCI requires that the contract manager for each organization submitting a proposal, review the ICCI subgrant language and associated documents required by the ICCI and the state of Illinois with their legal counsel. The documents used for the previous year’s RFP are posted online at http: // www.icci.org/subgrantreview.php . While the subgrant and DCEO prime grant language may change slightly as laws and regulations change, the majority of the clauses stay the same from year to year. If your organization is unable or unwilling to sign a subgrant or adhere to its requirements based on the language within, funding cannot be awarded to your institution. By signing this certification document, you indicate that you understand that while minor changes may be made to accommodate your organization, substantial changes, including the deletion of whole sections of the subgrant, and/or modifications to the prime grant language, are not allowed. Please note that use of the ICCI invoice form, referenced in the body of the subgrant and available on the webpage as referenced above, is required and is not negotiable.

Since some subgrant clauses may change to some degree from year to year, signing this certification form does not guarantee you will be able to execute the subgrant nor does it obligate you to do so. However, it does indicate that you are aware of the requirement and understand the document must be executed before funding will be provided for any proposal submitted by your organization.

CERTIFICATION

My organization’s legal counsel and myself, as contract manager, have reviewed the requirements posted at http: // www.icci.org/subgrantreview.php . I understand similar documents will be required if a project from my organization is selected for funding. I understand that while minor changes may be made to accommodate my organization, substantial changes, including the deletion of whole sections of the subgrant, and modification of the prime grant language, will not be allowed.

SIGNATURE

Contract Manager Signature:

Contract Manager Name:

Organization:

Date:

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http://www.icci.org/subgrantreview.php

http://www.icci.org/subgrantreview.php

APPENDIX A. RESUMES

Include brief resumes of the main scientific personnel (maximum three) participating in the proposed work. Do not include resumes for technicians and students. Resumes, including a few recent publications, are limited to one double-sided page in length for each individual.

APPENDIX B. DETAILED SUBCONTRACTS

Subcontracts/consultants may be arranged for consulting, field testing, operating equipment, and any other appropriately specified tasks that cannot be executed by the proposing organization.

A consultant for this solicitation is defined as a person or organization whose charges to the project will be requested in a single category as listed in Form 8.6 (i.e. labor, materials, travel, etc.). If the charges are for laboratory work, such as analytical services or sample preparation, please list those costs in the Other Direct Costs section of Form 8.4 instead. A contractor for this solicitation is defined as a person or organization whose charges to the project will be requested over multiple categories as listed in Form 8.6. For example, if Company ABC will provide services to the project and will request reimbursement from the proposing organization in labor, travel, and materials, Company ABC must be listed as a subcontractor. All subcontractors must be directly subcontracted by the proposing organization. Subcontractors are not allowed to subcontract portions of their work under this solicitation.

The following information must be submitted for each subcontract and/or consultant:

B1. Qualifications of the subcontractor and/or consultant.

B2. A description and schedule of the work to be performed by the subcontractor and/or consultant.

B3. A cost summary for the work to be done, including cost-sharing contributions from the subcontractor and/or consultant, if any. The ICCI highly recommends cash and/or in-kind contributions from subcontractors and consultants.

B4. A signed letter of intent from each subcontractor and/or consultant indicating acceptance of their scope of work and budget as suggested in your proposal.

B5. Budget forms for subcontracts or consultants:

Budget forms are only necessary for subcontractors and/or consultants whose charge to the project is more than $20,000, or who charges in more than one category (e.g. labor, travel, and indirect costs). A separate Contract Cost Proposal (Section 8, Forms 8.1 to 8.6) detailing the subcontractor’s and/or consultant’s cost elements must be submitted for all contracts over $20,000 or if multiple categories must be reimbursed. If a subcontract is for less than $20,000, or only charges an amount in a single category (say, Other Direct Costs for sample analysis, or Labor and Benefits for consulting), the subcontractor/consultant does not have to complete a set of budget forms. Depending on the scope of work or the amount requested, the ICCI may request that a subcontractor/consultant complete a set of budget forms if deemed necessary. If unsure on how to proceed, please contact the ICCI.

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Documents

Cash Funding - Illinois Clean Coal Institute Home Web viewIllinois Clean Coal Institute. Date Issued ... Materials research for enhancing corrosion protection ... A CD-ROM containing