[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,
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(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.
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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
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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