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RESEARCH AND DEVELOPMENT

REQUEST FOR PROPOSALS

RFP2011

Illinois Department of Commerce and Economic Opportunity

Office of Coal Development

through the

Illinois Clean Coal Institute

Date Issued: February 2, 2010

Date Due: March 31, 2010

TABLE OF CONTENTSANNOUNCEMENT OF REQUEST FOR PROPOSALS....................................................................... 2LEGAL.................................................................................................................................................. 4

RFP2011 FUNDING AREAS................................................................................................................ 51. Program Area - Carbon Management........................................................................................... 62. Program Area - Coal Gasification.................................................................................................. 83. Program Area - Coal Mining Technology..................................................................................... 124. Program Area - Coal Preparation................................................................................................. 145. Program Area - Power Generation and Power Plant Efficiencies................................................. 156. Program Area - Flue Gas Cleaning and Trace Element Removal................................................ 177. Program Area - Coal Chemistry and Syngas Reactions............................................................... 198. Program Area - Business and Governmental Practices............................................................... 209. Program Area - Materials Research............................................................................................. 2210. Program Area - Other Research.................................................................................................. 22

PROPOSAL FORMAT......................................................................................................................... 23PROPOSAL PACKET.......................................................................................................................... 24DEADLINE........................................................................................................................................... 24SUBMISSION INFORMATION............................................................................................................ 24PROPOSAL RESPONSIVENESS....................................................................................................... 24PROPOSAL REVIEW PROCESS....................................................................................................... 25

DETAILED INSTRUCTIONS FOR COMPLETING RFP2011............................................................. 26Section 1. Instructions for the Application Form................................................................................ 26

Application Form..................................................................................................... 29Section 2. Abstract Page................................................................................................................... 30Section 3. Executive Summary.......................................................................................................... 30Section 4. Description of Technology................................................................................................ 30Section 5. Market for the Proposed Technology................................................................................ 30Section 6. Proposed R&D and Statement of Work............................................................................ 31Section 7. Project Management and Schedule................................................................................. 32Section 8. Project Cost Proposal....................................................................................................... 34

8.1 Instructions for Form 8.1.......................................................................................... 34Form 8.1 Direct Labor and Benefits...................................................................... 35

8.2 Instructions for Form 8.2.......................................................................................... 36Form 8.2 Project Travel........................................................................................ 37

8.3 Instructions for Form 8.3.......................................................................................... 38Form 8.3 Major Equipment................................................................................... 39

8.4 Instructions for Form 8.4.......................................................................................... 40Form 8.4 Additional Project Costs........................................................................ 41

8.5 Instructions for Form 8.5.......................................................................................... 42Form 8.5 Contract Pricing by Task....................................................................... 43

8.6 Instructions for Form 8.6.......................................................................................... 44Form 8.6 Budget Summary.................................................................................. 45

Section 9. Subgrant Review Certification.......................................................................................... 46

Appendix A. Resumes....................................................................................................................... 47

Appendix B. Detailed Subcontracts................................................................................................... 47

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ANNOUNCEMENT OF REQUEST FOR PROPOSALSEnclosed is information pertaining to the Request for Proposals (RFP) number RFP2011, issued by the Illinois Department of Commerce and Economic Opportunity’s (DCEO) Office of Coal Development (OCD), through the Illinois Clean Coal Institute (ICCI).

R&D FUNDING AREAS

The ICCI encourages interaction between small businesses, universities, business schools, research centers, industry, the DOE, and/or other state and federal agencies to provide the multi-disciplinary expertise and cost sharing 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. 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 of interest covered by this solicitation, but is by no means exclusive. The areas are listed alphabetically, and are not an indication of funding priority. The ICCI welcomes research in any area that supports the overall goals of the ICCI as defined in the ICCI Mission Statement available at http://icci.org/mission.php.

REFER TO REFER TO AREA OF INTEREST PROGRAM AREA AREA OF INTEREST PROGRAM AREA

Alloys 9Biofuels 1Business Practices 8Carbon Dioxide Capture 1Carbon Dioxide Chemistry 1, 7Carbon Dioxide Sequestration 1Catalysis 7Coal Preparation 4Coal Transportation 8Combustion 5Dust Control 3Economics 1, 2, 3, 4, 5, 8, 9Electrochemistry 7, 10Flue Gas Desulfurization 6, 7Fine Particles 3, 4, 6Fischer Tropsch Chemistry 7Flotation 4Flue Gas Cleaning 6Fuel Cells 7, 10Gasification 2Liquefaction (Direct or Indirect) 2, 7Materials 2, 3, 4, 9

Membranes 1, 2, 5, 6, 7, 10Mercury Chemistry 6, 7Methane 8Mine Safety 3Mine Reclamation 8Mining Seals 3, 9Mining Technology 3Mining Ventilation 3Oxy-combustion 5Public Policy 8Syngas Cleaning 2, 7Syngas Utilization 2, 7Transportation Fuels 2, 7Power Plant Efficiencies 5Power Generation 5Scrubber Chemistry 6, 7Selective Catalytic Reduction 6, 7Sulfur Chemistry 6, 7Trace Elements 6, 7Transmission Infrastructure 5, 8Waste Handling 8Water Issues 2, 4, 8

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WHO MAY APPLY

This RFP is intended for all qualified research organizations, including, but not limited to, universities, colleges, laboratories, research centers, and private businesses.

Funding decisions are made solely on the quality and applicability of the proposed research. We encourage proposals from researchers all over the United States, as long as the research addresses areas targeted in this document and supports the overall goals of the Illinois Clean Coal Institute as defined in the ICCI Mission Statement available on the ICCI website. Proposals that include collaboration and cost sharing between research organizations and industry are particularly desired and will be viewed favorably.

AWARD FUNDING

While there is not a maximum amount that may be requested for R&D projects, historically, the ICCI R&D award range has been $50,000 - $200,000. This amount is dependent on the research scope, the time allocated for successful completion, and the availability of facilities and equipment. Larger amounts may be considered based upon the scope of work, but will normally involve pilot-scale work or other commercial demonstrations with extensive cost sharing by industrial entities and research partners. We do not recommend that projects requesting more than $300,000 be submitted to this solicitation without prior discussion with the ICCI.

ICCI funds may be requested for use as a cost share for larger-scale demonstration projects. Allocation of ICCI funds to such projects is of special interest.

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 RFP2011-ER, a separate document available on the ICCI website as listed below.

ELECTRONIC COPIES OF SOLICITATIONS

Both RFP2011 and RFP2011-ER are available for viewing and/or downloading athttp://icci.org/rfppage.php.

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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.

The contractual terms of awards resulting from this RFP will reflect the 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 the 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 proposal packets 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.

Proposals should not include trade secrets and/or confidential/proprietary or privileged information. The ICCI can only make a best-effort attempt to ensure that such information will be restricted. The ICCI cannot be held responsible if disclosures of such information occur. Consequently, the proposing individual and organization acknowledges by submission of a proposal in response to this RFP that these disclosures may be possible and the sponsor will not be held responsible.

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 your attention to requirements of the RFP that may have changed from previous solicitations.

Due to extensive changes to this solicitation from previous years, it is not recommended that proposers submit proposals from previous solicitations without ensuring applicable revisions. Proposals must adhere to the new format.

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RFP2011 FUNDING AREASThe research interests listed on page two cover a broad range of technology that has the potential to influence the utilization of Illinois coal. For this solicitation, the research interests are grouped into ten main areas as listed below. These areas are not listed in order of priority.

1. Carbon Management2. Coal Gasification3. Coal Mining Technology4. Coal Preparation5. Power Generation and Power Plant Efficiencies6. Flue Gas Cleaning and Trace Element Removal7. Coal Chemistry and Syngas Reactions8. Business and Governmental Practices9. Materials Research10. Other Research

In projects where coal will be used, all proposed research must use Illinois coal. 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. All other proposals must have an Illinois coal emphasis.

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Carbon Management

1. PROGRAM AREA - CARBON MANAGEMENT

There is no doubt that carbon management will drive future coal projects. Carbon is managed directly by the removal from emissions to the atmosphere, or indirectly by improving process efficiencies, which is often the easiest way to reduce a facility’s carbon footprint. 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 and/or sequestration (CCS) demonstrations, as has been shown by the ICCI’s continued support of a major multi-state effort with one of the seven DOE-sponsored sequestration consortiums. Researchers interested in addressing methane related issues should refer to Program Area 8.

Priorities in this program area are:

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

This area focuses on technology development for capturing CO2 from high sulfur-containing flue gas streams, using either solvents or sorbents. The ICCI will consider funding to further investigate promising capture technologies that adhere to the following criteria:

A demonstrated, continuous capture efficiency of at least 90% from a flue gas stream at 65°C containing at least 250 ppm sulfur and 10% H2O.

The technology should have a demonstrated capture efficiency of at least 10 wt% CO2 after 20 regeneration cycles.

The technology should use a regeneration energy of less than 4500 kJ/kg CO2 (1900 Btu/lb CO2).

Pilot-scale and slipstream testing of sorbents meeting this criteria is of special interest under this priority area and the ICCI will consider cost sharing in large-scale demonstration projects. Research must address the following issues:

Rapid regeneration of CO2-capture materials, preferably at temperatures lower than 85°C and pressures not higher than 2 atm.

Practical issues regarding material procurement, transportation and storage at the utility site.

Physical integration of the capture/regeneration system into existing power plants. Retrofitting the capture technology to an existing power plant is often limited by the physical dimensions of the relevant equipment. Determine how to maximize energy efficiency for the installed system and minimize installation and operating cost. Sorbents/solvents selected should meet the 2020 DOE/NETL CCS goal of less than 35% increase in the cost of energy due to the addition of CCS in combustion systems.

Chlorine tolerance, as well as sulfur and trace element effects, should be addressed. Determine final CO2 process requirements and economics, including CO2 quality

(e.g., pressure, purity, moisture, etc.). Methods for efficient compression of CO2 may be addressed.

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Carbon Management

1B. Geologic carbon dioxide sequestration.

Geologic sequestration may be for storage only or to enhance oil and gas production (EOR and ECBM). Researchers interested mainly in ECBM may also refer to Program Area 8 for more information regarding priority areas.

All research and development efforts should be coordinated with the Illinois State Geological Survey and the associated Midwest Geological Sequestration Consortium (MSGC) studies on sequestration in coal seams, oil reservoirs, and deep saline aquifers.

1C. Investigate the sequestration-readiness of emissions from gasification facilities.

Address technical issues surrounding CO2 purification and compression. Simulated flue-gas streams should mimic actual plant conditions.

1D. Methods of carbon dioxide transformation.

Geologic and mineral sequestrations have received the most attention in controlling CO2

emissions from anthropogenic sources. Another method that has not received much attention is the chemical transformation of carbon dioxide into useful raw materials. Although past studies have demonstrated the ability to hydrogenate CO2, these processes have not been proven to be economically feasible. This is primarily due to the stability of the CO2 molecule and the high energy requirement associated with these processes.

It may be possible to overcome such energy penalties by using renewable sources such as solar, wind, and geothermal. In addition, biological processes and thermochemical cycles may be used to convert CO2 into useful chemical feedstocks. Several studies have been conducted on photocatalytic conversion of CO2, but rates achievable with current catalysts have not been sufficient to bring about commercial application.

If photocatalytic methods are used, the catalyst and system should improve kinetics of conversion by at least an order of magnitude above currently reported results.

Biological processes with an appreciable rate of conversion may be used to mimic photosynthesis or produce methane or methanol.

Processes such as photochemical, bioelectrochemical, photoelectrochemical, or photobioelectrochemical to hydrogenate CO2 in a water-only environment may be considered.

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Coal Gasification

2. PROGRAM AREA - COAL GASIFICATION

Coal gasification considers activities related to the economical 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 the ultimate method for the environmentally acceptable use of Illinois coal and is a viable technology.

Economics of coal gasification are quite complex and many factors must be investigated to estimate the economic viability of any proposed installation. The size of the plant is the first consideration and is determined primarily by the demand for the end product (IGCC, chemical production, or polygeneration). In addition, the extent and location of extractable coal reserves will influence siting, along with operational infrastructure of the gasifier complex. Many other factors influence coal gasification economics and require investigation/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. Finally, the effects of coal properties and the extent of coal cleaning on the gasification system are 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 the reactions and products from cleaned syngas, and Program Area 9 if interested in materials research.


2A. Carbon management in coal gasification.

Carbon management regulations are probable in the near future and any coal gasification installation must address the technology, permitting, economics, etc., dictated by this issue. A major factor will be the degree of carbon sequestration/reduction that must be met.

Compare effects of carbon management 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 effect of individual sections for each gasification system on carbon management.

Compare the most recent published data on capital and operating costs on an equivalent basis. Identify available sources of economic information.

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Coal Gasification

2B. Advanced methods of syngas cleanup.

Removal of H2S, NH3, particulates, and other 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.

Define intended use of syngas and purity required. Hot-gas cleaning systems are preferred. The temperature of the cleanup system

should be consistent with the gasifier product stream temperature. Address removal of mercury and other trace metals. Must be an alternative to or an improvement of current methods of amine scrubbing. 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. Lower costs through integration into a gasification island.

2C. 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 would include, but not be limited to:

Define end product (IGCC, chemicals/syngas, polygeneration). Define coal gasification systems to be studied. Effect of installation size (standard is 5,000 tons/day of coal). Analysis should be on a consistent basis. Define quality of water streams. Estimate quality and size of discharge streams. Define each complete gasification system, which should include, at a minimum, coal

handling, oxygen generation (if oxygen blown), gasifier, gas cleanup, water-gas shift (if required), and ash handling.

Compare/contrast overall gasification systems for water usage. Compare water usage of individual sections for each gasification system. Compare effects of water usage on siting and capital/operating economics. Identify available sources of economic information.

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

Focus on systems integration. Possible integration of downstream components into the gasification island.

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Coal Gasification

2E. Effects of coal properties on downstream gasification systems.

Individual coal properties such as moisture, S, Cl, Hg, and ash content will affect the design and operation of individual coal gasification systems. This priority focuses on a compilation of current commercial gasification systems and the effects of individual coal properties on the design, capital cost, and operation of each system.

End product should be a listing of current commercial coal gasification systems showing effects of coal properties on their construction/operation and economics.

Perform parametric modeling of the effect of coal properties such as sulfur, Btu, moisture, ash, etc., on individual systems such as oxygen requirements, gasifier size, temperature, pressure, sulfur and trace element removal systems, etc.

Perform parametric analysis of improvements in individual elements on downstream systems, especially in terms of sulfur, mercury, oxygen generation efficiency, etc. (E.g., if oxygen generation efficiency is increased 5% what are downstream effects?)

Effect of combined biomass and coal gasification may be considered. Consider the effect of a coal preparation plant to improve coal properties. Estimate size and distribution of Illinois coal reserves with desired properties. Address the presence of trace metals in the cleanup system.

2F. Combined coal and biomass gasification.

Issues such as the amount of biomass to be used and the practical implications of using a particular biomass should be addressed.

Investigation of improved product properties due to combined coal/biomass liquids production.

Specify gasification technology(ies) to be used. Separate or combined gasifiers are of interest.

Indicate biomass to be used and its availability. Address collection, transportation, and storage issues for commercial operations.

Investigate the chemistry of combined gasification processes. Address capital, operating, and maintenance costs of a combined system. Indicate how the current technology may improve on current technical impediments. Technical issues surrounding biomass integration. Determine degree of reductions in carbon emissions due to use of biomass. Compare economics of coal/biomass gasification to coal-only gasification.

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Coal Gasification

2G. Pre-gasification coal beneficiation strategies.

Coal structure, its petrographic make-up, and its mineral matter content and composition are believed to affect rates of coal devolatilization and char gasification. It has been reported in studies that mineral matter in coal enhances gasification as compared to demineralized coal. A significant amount of research has been conducted on the removal of pyrite during beneficiation. However, it is believed that pyrite in coal may act as a catalyst for gasification. Similarly, magnesium content in coal has also been reported to be beneficial. Other minerals such as calcium carbonate, iron-based chemicals, etc., may also affect the rate of char gasification. New pre-gasification coal beneficiation strategies need to be evaluated based on strong scientific evidence. Proposals submitted in this area should address:

Impact of mineral matter composition and content on coal gasification and appropriate beneficiation techniques to achieve desired mineral make-up of coal.

Impact of pyrite on coal gasification rates, appropriate beneficiation techniques, and post-gasification impact.

Effect of maceral type on coal gasification rates and selection of appropriate beneficiation techniques.

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Coal Mining Technology

3. PROGRAM AREA - COAL MINING TECHNOLOGY

Illinois’ demonstrated bituminous coal reserve base is the largest in the United States. Soaring energy prices and coal’s continued position as the lowest-cost fossil fuel mean the demand for Illinois coal is strong. However, there is a wide disparity in regional coal prices that continues to favor producers in other states. 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. However, while maximizing productivity is important, research has shown that in the long term, safety and productivity trend in the same direction. Thus, projects in this area must focus to some extent on insuring the health and safety of miners.


3A. Efficiency improvement technology.

The mining process consists of various repetitive cycles where incremental improvements repeated numerous times yield significant overall gains. This program area focuses on identifying areas of improvement and optimizing them.

Haulage – capacity optimization, power unit performance, tire performance, battery life, etc., for both surface and underground equipment.

Cycle times – optimize haulage routes, cut sequences, bolting functions, belt moves, and other repeated functions.

Maintenance – reduce costs and increase equipment availability. 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. Applicants interested in materials research should also refer to Program Area 9C.

Extraction ratio – increase recovered fraction of coal reserves without compromising surface integrity.

Optimize mining section configuration for lowest-cost operation. Dilution – decrease out-of-seam mining or develop deshaling methods. Energy consumption – energy audits to reduce costs or carbon footprint of mines. Investigate behavior-based performance improvement.

3B. New mining technology.

Examples of new technology that have significantly increased mine productivity include longwall mining, continuous haulage, and highwall miners. This program area focuses on developing new technology that will provide the next major breakthrough in mine productivity. Because of the nature and scale of this type of work, cost sharing and collaboration among original equipment manufacturers (OEMs), government agencies, mine operators, and research institutions is essential.

Horizon control technology on mining machines. Automated roof bolting. High tech communication, tracking and monitoring systems. Exploration technology for defining reserve characteristics with less drilling. Remote mining systems. Mine infrastructure – conveying, ventilation, dewatering and supply systems.

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Coal Mining Technology

3C. Health and safety technology.

Of special concern is a recent NIOSH report pointing to a doubling in the rate of dust diseases of the lungs in just the last decade. As a result of this information from NIOSH, MSHA instigated its rulemaking process towards establishing a new respirable coal mine dust standard and monitoring for compliance. Rules promulgated in response to recent mine disasters resulted in an increase in the number of MSHA citations being issued. The industry is to be commended for improving trends in mine safety, but efforts must continue to eliminate hazardous exposures and environments. Research should focus on:

Compliance monitoring that provides real-time information. This information can be used not only by individual miners to improve their personal environment, but by management to increase the level of understanding about relationships between dust levels and production levels, or deep cuts versus standard cuts.

Dust control with special emphasis on quartz containment. Noise control – sound-dampening material, motor design, or noise-control devices,

etc. Communication systems for monitoring mine environments and tracking miners. Optimally engineered mine openings including backfilling and mine seals. Applicants

interested in materials research for mine seals should also refer to Program Area 9B. Emergency response coordination – contact and resource database. Analyze frequency and cost of MSHA citations to better define risk standards. Address rescue chamber mandate from regulatory agencies. This should be done

by taking a systems approach that considers the entire mine safety plan rather than by simply evaluating components.

Develop tools for measuring effectiveness of training programs.

3D. Training technology.

Due to the repetitive nature of mining, miners often get set in their ways and fail to recognize productivity improvements that can be made. Furthermore, demographics of the mining workforce suggest an upcoming influx of less experienced miners. Effective training programs are essential to addressing these issues.

Community college programs focus mainly on training new employees for the coal mining industry. The training program envisioned here should enhance the productivity of personnel currently engaged in mining activities.

Establish a self-sustaining training center focused on underground coal mine productivity.

Develop tools for measuring the effectiveness of the training programs. Address the dynamic environment faced by front-line supervisors in their decision

making processes.

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Coal Preparation

4. PROGRAM AREA - COAL PREPARATION

The ICCI believes that “clean coal technology” includes pre-utilization 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. Furthermore, 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. Improving 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 plant product.

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

4B. Increasing preparation plant efficiencies and safety.

Develop and implement fine coal cleaning technologies that 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. Applicants interested in materials research should also refer to Program Area 9C.

Energy consumption – energy audits to reduce energy costs or carbon footprint of preparation plants.

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. This is also addressed in Program Area 8C.

Control of acid mine drainage, the discharge of sulfates and chlorides, and other water quality issues.

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

Monitoring systems on impoundments or water discharges to verify compliance with reclamation regulations and to inhibit environmental damage or failures.

Reuse of byproducts, such as recovering fly ash magnetite for use in dense media circuits, or using fine coal middlings or entire fine coal streams from preparation plants as a gasifier or fluidized bed combustor feedstock for power production.

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Power Generation and Power Plant Efficiencies

5. PROGRAM AREA - POWER GENERATION AND POWER PLANT EFFICIENCIES

This area emphasizes the use of Illinois coal for electrical power generation. At least 90% of the coal mined in Illinois is consumed by electric utilities. The vast majority of these utilities use pulverized coal (PC) boilers, although many newer boilers are fluidized bed combustor (FBC) units. Today, global climate change, carbon dioxide as a pollutant, disposing of solid combustion residues, EPA limits on hazardous air pollutants, and minimizing water usage are at the forefront of complexities faced by the power generation industry. Regulatory restrictions on emissions, particularly SOx, from all types of coal combustion systems significantly influenced the decline in Illinois coal sales that occurred in the 1990’s. More recent regulations mandating scrubbers have leveled the playing field in terms of coal use, but by the time they were enacted, PRB coal was established as the lowest cost fuel. The Environmental Protection Agency (EPA) has agreed to issue rules by November 2011 to reduce mercury and other hazardous air pollution from coal-fired power plants as part of a legal settlement with a host of environmental organizations. The agreement will lead to rules requiring power plants to install pollution controls sufficient to meet a maximum achievable control technology (MACT) standard for emissions of mercury and other hazardous air pollutants (HAPs) such as arsenic, lead, nickel, chromium, and hydrochloric acid.

For Illinois coal to maintain and even expand its market, existing plants are of key importance. Many of these plants will require retrofitting or repowering to keep from shutting down, and generating power using alternative sources, such as natural gas. Retrofitting and/or repowering can also ensure that there is no sulfur penalty allowing utilities to take advantage of lower transportation costs and higher Btus potentially available with Illinois coal. For a project to be successful in this area, it is imperative that significant collaboration with a cooperating utility is involved.


5A. Increasing efficiency of new or existing 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). Address challenges posed by changes in operating conditions such as temperature

profiles and investigate cost and availability of specialty materials for heat exchange surfaces and overall refractory requirements. This is also addressed in Program Area 9A.

Multi-pollutant controls would be required with the addition of any emission controls.

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Power Generation and Power Plant Efficiencies

This is also addressed in Program Area 6.

5B. Repowering existing PC boilers to meet emission requirements. This may include oxyfuel systems.

One way to address the capital cost disadvantage of building new generation designed for Illinois coal would be to repower existing, aged, low-efficiency PC units and add emission controls to comply with environmental requirements. This option is particularly attractive if carbon regulations end up requiring large capital outlays for such plants. In considering repowering, capital expenditure requirements must 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.

If it is suspected that repowering or a retrofit will result in the plant being subject to a NSR, it should be identified and discussed with power plant personnel before the study begins.

Multi-pollutant controls would be required with the addition of any emission controls. This is also addressed in Program Area 6.

Investigate technology that would maximize power output, satisfy emissions requirements, and lower CO2 emissions.

Investigate technology that produces concentrated, sequestration-ready CO2. If oxyfuel is being considered, its impact on HAPs buildup should be addressed. Reduction of flue gas volume is of interest.

5C. Water usage in coal-fired power generation plants.

Water has become a pivotal issue as population growth and drought affect regional competition for available water supplies. Although the power generation industry is responsible for only 3% of the freshwater consumed in the US, it accounts for nearly 40% of withdrawals. Water permits are becoming increasingly difficult to obtain.

Minimizing water usage in the entire plant, or only sections of it, may be investigated. Limiting water consumption in downstream systems, such as the FGD unit, is of

special interest. Cost of demineralization should be addressed. Recovering and recycling water from waste streams may be considered.

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Flue Gas Cleaning and Trace Element Removal

6. PROGRAM AREA - FLUE GAS CLEANING AND TRACE ELEMENT REMOVAL

Efforts in the area of flue gas cleaning are aimed at improving the applicability and cost-effectiveness of available technologies, and researching new concepts and/or processes for multi-pollutant removal. Novel or improved cool, wet, or dry FGD and methods for NOx, trace elements, and particulate removal, especially in combination, are needed to assure continuation of Illinois coal markets and to help electric utilities meet the limits prescribed in the Clean Air Act Amendments for SOx, NOx, mercury, and particulate emissions. An excellent example of this type of project is the Greenidge multi-pollutant control project, partially funded by DOE under its Power Plant Improvement Initiative (see http://tinyurl.com/ajycwq).

Mercury may be present in flue gas in several forms. The specific chemical form (speciation) has a strong impact on the capture of mercury by boiler air pollution control equipment. Mercury may be present in the flue gas as elemental mercury vapor, as a vapor of an oxidized mercury species, and as particulate-bound (sorbed or captured) mercury. Other flue gas components (especially SO2 and H2O) have also been shown to affect mercury speciation, tending to suppress mercury oxidation as the concentration of SO2 or H2O is increased.

Studies of special interest in this area are the interactions between trace elements and high levels of SO3

2- in flue gas, and the reduction of particulate matter smaller than 2.5 µm (or PM2.5).

The ICCI believes that selenium (Se) and/or arsenic (As) may be regulated in the near future. Any fundamental study on mercury reactions should include selenium and arsenic studies as well.


6A. Study of fundamental chemical reactions involved in trace element emissions.

Complex interactions affecting mercury oxidation and capture/sorption in the flue gas environment need to be studied. Of specific interest is the influence of SO3

on mercury speciation and subsequent capture in wet FGD’s. Reactions must be conducted in an atmosphere with elevated levels of SOx and HCl to simulate an Illinois coal flue gas.

Determine profile of mercury and selenium species as a function of flue gas temperature.

Interactions of mercury and arsenic with fly ash and scrubber material are important. Improved trace metal capture in elevated SO3 environments should be investigated.

6B. Basic investigation of the chemistry of trace element capture in scrubbers.

While it is well known that oxidized mercury can be captured in wet FGD’s, the reactions and chemistry of the scrubber system are not well understood. Mercury re-emission from wet scrubbers, and reasons for re-emission, are priority research areas. Large-scale studies are of interest. Research can also include:

Cost-effective scrubber additives to promote mercury oxidation and prevent mercury re-emission, as well as other trace elements such as As and Se.

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Flue Gas Cleaning and Trace Element Removal

6C. Investigation of “optimum available control technologies” for trace metal capture, above and beyond standard equipment, such as SCR’s, baghouses and scrubbers. This area focuses on so-called “polishing” removal of mercury, especially when high capture efficiencies (e.g., > 90%) can be attained occasionally, but not regularly.

Development of mercury sorbent work is not of interest. Cost sharing of larger-scale projects is of interest.

6D. Development/evaluation of new concepts and/or improved efficiencies/methods for flue gas scrubbing that can economically control NOx, SOx, and mercury in flue gas from combustion of high-sulfur Illinois coal. Included under this priority is the capture of fine particulates (< 2.5 µm or PM2.5) from flue gas.

Of interest in this program area 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:

Reduction of flue gas volume. Flue gases containing high levels of SOx and HCl. Coal trace elements in the flue gas. Determination of the basic chemistry involved. Determination of the efficiency of SO3 removal. Determination of the amount of mercury that may be re-emitted from the scrubber. Determination of the effect of the scrubber operation on the level of PM2.5

emissions. Final disposition of compounds being removed (SOx, NOx, mercury, PM2.5). Basic economics.

6E. Address the ultimate fate of solids and liquids removed by flue gas cleaning technologies.

Work should focus on disposal technologies. Development of structural and building products from coal combustion products

(CCP’s) and FGD material is not of interest.

Researchers interested in this area should also refer to Program Area 9, dealing with materials research for wet scrubber systems.

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Coal Chemistry and Syngas Reactions

7. PROGRAM AREA - COAL CHEMISTRY AND SYNGAS REACTIONS

The last decade has seen a substantial decrease in funding on both the federal and state level for coal research programs. Numerous well-established programs nationwide have been severely curtailed in the last few years and many coal researchers have moved on to other areas in order to secure research funding. The ICCI believes there are many issues in basic coal research that remain unresolved, or require a fresh look in the 21st century, capitalizing on the enhancement of analytical instruments developed over the last 20 years.

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, we may need to move towards maximizing coal as a carbon feedstock, looking at extracting valuable chemicals 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. Investigations into the structure of coal, and how the structure can be manipulated or altered to remove high levels of impurities, such as ash, organic sulfur, and chlorine.

7B. Investigation of fundamental reactions for improved and/or novel coal liquefaction. Both direct and indirect liquefaction are of interest.

Investigation of new chemical pathways can be explored. Technology should improve on capital and operating economics of existing methods.

7C. Production of coal-derived chemicals and fuels from coal syngas or other processes. 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.

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.

7D. Basic reactions for purification and/or upgrading of Illinois coal. Economic processes for the removal of mineral matter (not via conventional coal preparation techniques), sulfur, and trace elements could be investigated.

7E. 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. The economics of the process, the product yield, and product quality are all of paramount importance.

Applicants interested in chemistry of mercury, sulfur, and other trace elements should also refer to Program Area 6.

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Business and Governmental Practices

8. PROGRAM AREA - BUSINESS AND GOVERNMENTAL PRACTICES

This program area focuses on business and governmental practices affecting coal production and utilization that are not part of other specific program areas, such as coal transportation, coal blending, waste handling, land reclamation, methane recovery, and emission credits trading. The ICCI supports examining business and governmental practices that affect access to potential markets and the bottom-line price of coal in an effort to develop effective strategies promoting the use of Illinois coal.


8A. Steering development of public policy that affects the coal industry.

Carbon management will drive all coal-related projects in the future, requiring them to be fashioned in terms of the ability to generate favorable public perception. Carbon management comes in many different forms, and industry and government cost sharing will be essential as a regulatory framework for carbon management is developed.

Reducing the carbon footprint of the coal industry in general or any specific portion of the coal industry, i.e., mine(s), preparation plant(s), transportation system(s), storage and loading facility(ies), power plant(s), etc., particularly through efficiency improvements and emphasizing positive public relations aspects of such a move.

Investigating electricity transmission infrastructure in the Illinois Basin in collaboration with other midwestern states.

Integrating mandated alternate energy sources without derating the efficiency of coal-fired power plants and their baseload capacity.

Developing policy mechanisms to push new technology over the first-of-a-kind hurdle on the road towards commercialization.

Investigating policy development related to sales tax issues and ash haul-back. Determining the effect of various emission credits available and the impact on Illinois

coal if these credits are exhausted or expanded. This may include examining the impact of carbon offset credits generated by capturing and/or destroying methane liberated during the mining process.

8B. Recovering methane from coal.

Methane, a natural byproduct of coal mining, is also a greenhouse gas. While it has much greater warming capability than CO2, atmospheric concentrations are much lower and it does not remain in the atmosphere as long. Coal-bed methane (CBM) is produced from coal seams prior to mining, coal mine methane (CMM) or ventilation air methane (VAM) is liberated during mining and vented to the atmosphere by the mine ventilation system, and abandoned mine methane (AMM) accumulates in old mines. Despite being the largest bituminous coal reserve in the US, the Illinois Basin’s CBM production potential remains virtually untapped. Previous research suggests that CO2

readily displaces methane in coal seams thereby enhancing CBM production potential.

Develop methane recovery technologies specific to the Illinois Basin. Emphasis should be on practical methodology and economic feasibility. Stand-alone CBM recovery and CBM recovery enhanced by CO2 sequestration

(ECBM) may be considered separately or in combination.

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Business and Governmental Practices

8C. Waste handling and land reclamation at coal industry facilities. This program area is also addressed in Program Area 4C.

There is no question that mining disturbs the land. Processing and consumption of mining products generates waste byproducts that require disposal. Reclamation technology has advanced significantly in response to environmental regulations put in place following World War II. However, additional development is essential to satisfying the demands of an increasingly environmentally-conscious public.

Reclamation liabilities including reclaiming old mine sites and disposal areas. Monitoring systems to verify compliance with reclamation regulations and to inhibit

environmental damage. Control of acid mine drainage, the discharge of sulfates and chlorides, and other

water quality issues. Placement of coal preparation waste and coal combustion byproduct materials in

mined out surface pits or underground workings (backfilling). Reuse of byproducts, such as magnetite in fly ash, discarded middling or fine

material from preparation plants as a feedstock for gasifiers or fluidized bed combustors for power production, and value-added products from fly ash.

8D. Transporting and blending coal.

Geographically, Illinois is at the crossroads of the US transportation system. The major eastern railroads (CSX and NS) transport primarily Appalachian coal as far west as the Mississippi River. The major western railroads (UP and BNSF) transport primarily Powder River Basin coal as far east as the Mississippi River. The Canadian National (CN) railroad runs north-south through Illinois separating these eastern and western railroads and servicing most Illinois Basin mines. Extremely high transfer charges make the cost of switching loads from one railroad to another prohibitive. Illinois is surrounded by navigable waterways, and barges are the most economical form of transporting coal. Both challenges and opportunities exist for Illinois coal producers and users in taking advantage of abundant transportation and handling options.

Investigate transportation systems to develop strategies for moving more Illinois coal within the Illinois Basin in a cost-competitive manner. This work may be combined with product quality considerations addressed in Program Area 4A.

Examine economic impacts of blending options that would create additional markets for Illinois coal. This might address mercury, chlorine, sulfur, or Btu issues.

8E. Industrial use of Illinois coal.

Outside of large-scale, baseload power generation, industrial boilers offer a potential market for Illinois coal. In this area, collaboration with an industrial user is preferred.

For an identified industrial use, show favorable economics and determine potential market size.

Define emission controls for the combustion system including methods and economics of CO2 capture.

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Materials Research and Other Research

9. 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 would first define the advanced combustion and/or scrubber technologies involved and define the requirements for new materials development. The proposal must discuss the advantages/disadvantages for the materials when using Illinois coal, and its performance in a chlorine and sulfur environment.


9A. Materials research for coal gasification and coal combustion systems, and its downstream related processes. This work could focus on improved and/or less expensive:

Materials for high-temperature boiler tubes. Refractory materials. Materials for wet scrubbers and wet stacks containing an acid gas atmosphere.

9B. Materials research for coal mine seals.

The Sago Mine disaster of 2006 led to new MSHA regulations requiring mine seals to withstand greater forces in the event of explosions. This area is intended to investigate any of the following:

Seal designs. Construction materials used in seals. Economics of seal designs or construction materials.

9C. Materials research for mining and preparation plant equipment.

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.

10. PROGRAM AREA - OTHER RESEARCH

10A. Included in this category are all activities that may be beneficial to maintaining and/or improving Illinois coal markets and utilization, and which do not belong in any of the previously described research areas. Projects in this area must be creative and innovative. The activities in this area must directly benefit Illinois coal and support the overall goals of the Illinois Clean Coal Institute as defined in the ICCI Mission Statement. A copy of the ICCI Mission Statement is available at http://www.icci.org/mission.php.

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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.

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 Proposed 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.

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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.

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. The CD must be labeled with the proposal title, principal investigator’s name and organization, and RFP2011.

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 Wednesday, March 31, 2010, at 4:00 PM (Central Daylight Time). Early receipt will be welcomed.

SUBMISSION INFORMATIONSubmit the proposal packet to:

Via Courier:Dr. Francois Botha Illinois Clean Coal Institute5776 Coal Drive, Suite 200Carterville, IL 62918-3328Telephone: 618 985 3500

If you will be using the US Postal Service, please change the address to read 5776 Coal Drive, Box 6.

PROPOSAL RESPONSIVENESSTo be considered responsive, the proposal must:

Adhere to the requirements listed in the section Proposal Packet.

Consist of all the sections and appendices in the order given as discussed under the section Proposal Format on page 23.

Adhere to all requirements listed in the Detailed Instructions for Completing RFP2011

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section.Meet the submission deadline.

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PROPOSAL REVIEW PROCESSProposals will be reviewed through a three-stage process. The complete RFP2011 review process is discussed in The Proposal Review Process document, found at: http://www.icci.org/reviewprocess.pdf.

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DETAILED INSTRUCTIONS FOR COMPLETING RFP2011

SECTION 1. INSTRUCTIONS FOR THE APPLICATION FORM

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

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 AddressedSelect only one area from the RFP2011 Funding Areas section of the RFP that you will address in this research by listing its identifying number, e.g., 2C for a project in Coal Gasification on reduction of water usage (see Page 9). Applicants may not submit the same proposal to both RFP2011 and RFP2011-ER.

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, 2011. Select a suitable end date for the project not to exceed May 31, 2012. Shorter project durations are encouraged; however, pay close attention to the proposed tasks (Section 6.5) 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).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 a follow-up phase to a previously ICCI-funded project, list the previous phase’s ICCI project number.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

The principal investigator (PI) listed on the proposal must be the person who either performs the major portion of the work or the one who does the day-to-day direction of the project. Supervisors who are not performing these functions cannot be listed as the PI. List only one person. 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

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.

Funding from Other Sources.Break down contributions from other sources into “in-kind” and “cash” 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.

SIGNATURES

This form must be signed and dated by both 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 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.

RFP2011 APPLICATION FORM

PROJECT TITLE (maximum of 75 characters)

PROJECT INFORMATION

Research Area to be Addressed: Project Start Date: January 1, 2011 Project End Date:

(no later than May 31, 2012)

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)

FUNDING FROM OTHER SOURCESSource 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:

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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).

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 a brief review of pertinent literature and discussion of any previous work done by the proposer.

SECTION 5. MARKET FOR THE PROPOSED TECHNOLOGY

5.1 MARKET APPROACH AND COMMERCIALIZATION

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 from the level of technical maturity anticipated to exist at the completion of the proposed project 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

6.1 RESEARCH APPROACH

Discuss the overall research approach to obtain the necessary data and justify the experimental plan to be used. Discuss the approach that will be taken to transfer the technology to a demonstration phase and/or engineering design.

6.2 PREVIOUS ICCI-FUNDED PROJECTS

List any previous projects that the ICCI may have funded that affect your process/technology. This includes previous phases of your technology, or work done in a similar area by other researchers. These projects may have been conducted by organizations other than your own. (Search the projects database on the ICCI website for an up-to-date listing of projects.) Discuss how the proposed project will differ from these projects and/or will contribute to the R&D area.

6.3 WORK COMPLETED TO DATE

In this section, discuss R&D completed to date by you and/or your organization on the proposed technology. Identify the unresolved issues that will be addressed by the proposed research. List any external funding received (federal/state and private), and any reports or publications that are available.

6.4 SPECIFIC PROJECT OBJECTIVES

It is not sufficient to state that the objective is “to investigate.” Project objectives must be specific and measurable. Objectives should also, where possible, state a minimum value that will be the target of the research, and how that compares to current available technology. For example, the objectives of a coal preparation project would state “to achieve a 90% degree of pyrite/ash rejection and a Btu value of 12,000” for the project.

Discuss the parameters you will be targeting and establish the values of these parameters that must be achieved to satisfy the project objectives. Also, state the basis for selection of these performance parameters and their values.

6.5 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). 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. Tasks that involve modeling without experimental validation are not acceptable.

Specify what existing experimental facilities, instrumentation, and analytical equipment are available for project use. 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.

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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 given, so pay close attention to the proposed tasks and ensure that you can complete the project within the timeframe indicated on the Application Form.

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. 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 47). Also, identify other workforce requirements and the projected source of personnel, i.e., graduate students, technicians, etc. If names are available, list them here. If these persons must be hired, indicate the timeframe to complete staffing for the project.

7.2 SAFETY

Outline any procedures, situations, or materials that could be hazardous to personnel, and describe the precautions that will be exercised.

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 chart giving examples of hypothetical milestones and decision points is shown in Figure 1.

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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.

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 both 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 two weeks 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.

Further information is contained in the Principal Investigator Guidelines that will be distributed to PIs of projects selected for funding.

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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.

You must complete the budget forms supplied by the ICCI. Do not use your institution’s forms or other computer printouts instead of the ICCI forms.

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

Note: Financial Statement: Organizations shall submit a financial statement, upon ICCI request, if needed, showing proof that the applicant can cover any cost overruns that the project may incur.

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 (man-months; man-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 Hours or 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 are 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 both 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 two weeks 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 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 TRAVELDestination Purpose of Trip Number of

People Airfare Car Rental / Mileage Lodging * Other

Costs 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, PDA’s, 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.

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FORM 8.3 MAJOR EQUIPMENT

MAJOR EQUIPMENT TO BE ACQUIRED

Equipment Description & Model Number Vendor New or Replacement Total Cost Cost Sharing

Amount *Amount

Requested from ICCI

TOTAL EQUIPMENT

* IDENTIFICATION OF COST SHARING ORGANIZATION(S)

JUSTIFICATION FOR MAJOR EQUIPMENT PURCHASE

REMINDER: Attach all your equipment quotes immediately behind this page. 40

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.

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. 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 in 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 element includes the services of consultants and other subcontracted portions of the proposed project. Subcontracts may be arranged for consulting, field testing, laboratory analyses, operating equipment, and any other appropriately specified tasks. List each subcontract 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.

This section is to only give a summary of subcontracts and/or consultant services. Each entry listed here must be specified in detail in Appendix B on page 47.

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

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 actual costs for each task as proposed in the Statement of Work, Section 6.3.

Do not prorate the total ICCI amount requested over the number of tasks proposed in the Statement of Work, Section 6.5. You must indicate the actual amount that each task will cost. 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 both 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 actual costs for each task. Do not 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 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.

COST SHARING CONTRIBUTIONS

The ICCI encourages cash and in-kind contributions to the project by the proposing organization and/or by other sponsors. Add any cost sharing, 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. Please discuss these contributions with your institutional financial officer before including them. The next two columns can be used for other contributing organizations. Identify these organizations in the Source of Other Contributions space below the table. Cost sharing 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 cash to the project, stating their willingness to contribute the amount specified. 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

COST-SHARING CONTRIBUTIONS ** (SPECIFY SOURCE BELOW) TOTAL

PROJECT COSTAPPLICANT

OTHER COMPANY I

OTHER COMPANY II

Direct Labor 8.1

Labor Benefits 8.1

Travel 8.2

Major Equipment 8.3

Materials & Supplies 8.4

Other Direct Costs 8.4

Subcontracts 8.4

TOTAL DIRECT COST

INDIRECT COST 8.4

PROJECT TOTALS

** SOURCE OF OTHER CONTRIBUTIONS (Totals must match the 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. 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, 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

I 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, are not allowed.

SIGNATURE

Contract Manager Signature:

Contract Manager Name:

Organization:

Date:

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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 two pages in length (one double-sided page) for each individual.

APPENDIX B. DETAILED SUBCONTRACTS

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

B1. Qualifications of the subcontractor/consultant.

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

B3. A cost summary of for the work to be done, including cost-sharing contributions from the subcontractor/consultant, if any.

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

B5. Each subcontractor/consultant 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) must submit a separate Contract Cost Proposal (Section 8, Forms 8.1 to 8.6) detailing the subcontractor’s/consultant’s cost elements. 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 your project is funded, a copy of all subcontracts (or purchase orders for consultants) must be routed to the ICCI.

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