The offeror shall submit a letter with its application (Volume I) which states that to the best of its knowledge, the work requested will not place the FFRDC or the DOE M&O contractor in direct competition with the domestic private sector, and that the proposed scope of work cannot be performed by any private entity.

The offeror shall submit a detailed scope of work which clearly identifies that portion of the proposed effort for which the expertise and ability to perform lie solely with the DOE M&O contractor. This detailed scope of work shall be provided as an appendix to the Volume II, Technical Application.

The offeror shall provide cost information for that portion of the proposed work scope (see 2, above) to be performed by the DOE M&O contractor. The cost information shall be furnished in the same format and level of detail as prescribed for subcontractors. The estimated cost of the effort shall be clearly identified in the Volume II, Business and Financial Application.

3.1 UCR Core Program

a. Individual application - Application submitted by an individual college/university or from faculty members at two universities submitting a single application. The college/university submitting the application on behalf of both colleges/universities will act as the bargaining agent and will be the recipient of the DOE award.

b. Joint University application - Application submitted by one college/university on behalf of a team comprising themselves and two (or more) colleges/universities. The college/university submitting the application on behalf of the team will act as the bargaining agent for the team and will be the recipient of the DOE award.

c. Joint University/Industry application - Application submitted by one college/university on behalf of a team comprising themselves, one (or more) colleges/universities, and one (or more) industrial collaborator(s). The college/university submitting the application on behalf of the team will act as the bargaining agent for the team and will be the recipient of the DOE award.

Private industry collaboration is permissible on Individual and Joint University applications. However, it is a mandatory requirement for the UCR Joint University/Industry applications.

A small or major business enterprise will qualify as an "Industrial Collaborator;" however, the following are specifically EXCLUDED from recognition as industrial collaborators: Federal, State or Local government agencies (because they are considered to be in the "public" sector), DOE National Laboratories, and other colleges or universities.

Designation of one or more industry scientists as co-investigators for a project including performing experiments related to the project or acting as a resource person to others working on the project.

Offering Industrial Internships to faculty and/or students involved in the project.

Providing industrial facilities and/or equipment to the university to conduct work related to the project.

Cash cost sharing (5% or more of DOE support for project) received by the university awardee from participant(s). Waived fee or profit will not be recognized as allowable cost sharing under this Program Solicitation.

4.1 UCR Core Program

12 month project period $ 80,000 (max. DOE funds)

13-24 month project period $140,000 (max. DOE funds)

25-60 month project period $200,000 (max. DOE funds)

4.2 Innovative Concepts Program

To develop and sustain a national program of university research in fundamental coal studies, the DOE is interested in innovative and fundamental research pertinent to coal conversion and utilization. The DOE anticipates funding at least one proposal in each focus area under the UCR Core Program; however, high-quality proposals in a higher ranked focus area may be given more consideration during the selection process. Research in this area is limited to the following eight (8) focus areas and is listed numerically in descending order of programmatic priority.

Hot- and warm-gas cleanup systems are currently under development to optimize the Integrated Gasification Combine Cycles (IGCC) system. In these cleanup systems, two integrated reactors remove hydrogen sulfide from the raw synthesis gas, resulting in an output stream of clean synthesis gas and a waste stream of concentrated sulfur dioxide. Hydrogen sulfide is removed from the raw synthesis gas by being adsorbed onto a sorbent material in a reducing atmosphere. The sulfur-laden sorbent is transferred to the regeneration reactor where oxygen reacts with the sulfur to form sulfur dioxide. Sulfur dioxide leaves the process, and the regenerated sorbent is cycled back to the adsorption reactor.

To improve the economics of synthesis gas contaminant cleaning, sulfur-based by-products will be made from the sulfur dioxide waste stream. Typically, the envisioned by-product is sulfuric acid, produced by conventional processes. More cost-effective means to produce a sulfur-containing by-product is necessary.

Designers of advanced systems will also benefit from the availability of predictive models that enable effectively design, or evaluation of the performance of potential designs. Unfortunately, relatively little data available in the literature is directly applicable to the behavior of coals under the aforementioned combustion conditions. The bulk of experiments reported in the literature have been performed under atmospheric pressure utilizing conventional atmospheres, although limited high pressure data is available.

Proposals submitted under this topic should present a program of carefully crafted laboratory-scale experimentation aimed at defining the critical processes controlling combustion behavior under (1) oxygen-blown gasification conditions (e.g.,pressures to 1000 psi, high temperatures and oxygen levels approaching 100%), (2) atmospheric combustion conditions relying upon elevated oxygen levels (over 35%) with concomitant high CO₂ atmospheres (greater than 60%), or (3) pressurized combustion conditions relying upon elevated oxygen levels (over 35%) with concomitant high CO₂ atmospheres (greater than 60%). Proposed work may focus on pollutant formation, char reactivity or ash behavior. Experiments should be performed with a range of commercially relevant coals and coal blends. If any portion of the test program is devoted to examining the behavior of coal/biomass blends, must be limited when compared to the proposed coal effort. Further, coal/biomass tests must focus on the behavior of biomass fuels with the potential to achieve commercial significance. The project must carefully integrate data collection and modeling of critical subprocesses. Note that the goal of this effort is to generate data on kinetics and mechanisms that will supplement, clarify or broaden the applicability of existing submodels dealing with NOx formation, ash behavior or char reactivity.

Options currently under study to obtain deep reduction in CO₂ from power stations are mainly directed to removing CO₂ from a power station’s flue gases, i.e., post-combustion decarbonization. Pre-combustion decarbonization is an alternative approach to reducing greenhouse gases from power generation. In this approach, a fossil fuel such as coal is gasified and the product gas is converted to a clean gaseous fuel with a minimal carbon content, e.g., hydrogen or hydrogen-rich gas mixtures.

Augmenting the water-gas shift reaction (WGS) via hydrogen separation technology offers the promise of making hydrogen from coal with zero pollution for fuel cell and other applications. One method to circumvent thermodynamic equilibrium limitations is to move the equilibrium displacement to the product side. From the energy-efficiency viewpoint, this should be achieved by continuous removal of one product component directly at its place of formation.

A promising approach to achieve this objective is to demonstrate the feasibility of driving the WGS reaction toward higher levels of hydrogen production by removal of hydrogen from the product stream. This means that the WGS reaction must be driven far to the right, and that the hydrogen produced must be separated from the remaining gases at elevated temperatures and pressures. To achieve the goals of the concept, it is assumed that a hydrogen separation device is used to obtain a pure hydrogen product stream as well as to drive the shift reaction toward further hydrogen production.

The hydrogen separation device could be a catalytic membrane reactor, in which the WGS reaction is combined with hydrogen separation from the reaction mixture in one reactor, using membranes selectively permeable to hydrogen. Alternatively, capture or removal of CO₂ from the product gas following WGS, sorption/desorption, or other promising technology could be a viable option.

Grant applications are invited that address scientific issues emerging from the above concept as stated below:

Restrictions on sulfur content in gasoline and diesel fuels continue to become more stringent. Reduction of the residual sulfur contents in fossil fuels becomes more costly because the remaining sulfur compounds are the most refractory and difficult to remove. Design of processes for elimination of sulfur while keeping costs at a minimum represents a significant challenge to the science of catalysis. Many of the traditional catalysts for desulfurization carry out hydrogenation co-currently with sulfur removal, resulting in excessive consumption of this expensive reagent. Grant applications are sought for novel approaches to the reduction of sulfur in transportation fuels to part-per-million levels while using minimal amounts of hydrogen. Novel approaches are encouraged--for example, combination of selective adsorption with catalytic desulfurization, activation of refractory sulfur compounds, or the application of computational methods to the design and control of desulfurization catalysts and processes.

The production of ultraclean fuels for the transportation sector is of prime concern to the fossil fuels industry. The conversion of synthesis gas to high-molecular-weight hydrocarbons by the FT reaction provides products that are free from both sulfur and aromatic hydrocarbons. These highly desirable properties combined with the high cetane numbers inherent to straight chain aliphatic compounds makes the FT synthesis an important component of the overall strategy for providing ultraclean fuels, particularly diesel fuels. Although the chemistry of FT catalysts is well studied, possibilities to significantly improve the performance of both the catalyst and the process still remain. For example, slurry-phase reactors may be used to improve the control of temperatures within commercial-sized reactors for this strongly exothermic reaction, but such reactors place extra demands on the catalyst. The preferred catalysts for slurry reactors are in the form of small particles, typically from 1 to 100 microns in diameter. Key characteristics desired in the ideal catalyst are a combination of resistance to attrition, high activity, long lifetime, resistance to poisoning, and ease of separation from the high-molecular-weight hydrocarbons in the reactor. An important goal in this area of research is to achieve an appropriate blend of these catalyst properties so that long-term, efficient operation of commercial-scale reactors can be reliably achieved. In particular, achieving an efficient separation of small catalyst particles from viscous waxy products with less than 0.01 weight % catalyst carryover remains a problem. Grant proposals are sought to solve these problems specifically for iron-based catalysts. Novel approaches are encouraged. That is, incorporation of catalyst properties that may circumvent problems of catalyst/wax separation or heat transfer, thus alleviating the inherent problem of current processes are more desirable than small incremental improvements to the state-of-the-art.

The goal of the Innovative Concepts program is to develop unique approaches for addressing fossil energy-related issues. These approaches should represent significant departures from existing approaches, not simply incremental improvements. The Innovative Concepts Program seeks "out-of-the-box" thinking; therefore, well-developed ideas, past the conceptual stage, are not eligible for the Phase I Innovative Concepts Program. Applications under the Innovative Concepts Program are invited from individual college/university researchers. Joint applications (as described under the Core Program) will also be accepted, although no additional funds will be made available for joint versus individual applications. Unlike the Core Program, student participation in the proposed research project is strongly encouraged; however, this is not a requirement in the Phase I Innovative Concepts Program.

Beginning in FY2001, a new initiative, the Phase II Innovative Concepts Program, will be featured in the UCR Solicitation. The goal of the Phase II Innovative Concepts Program is to solicit additional research in areas included in the Phase I Program. Funding for Phase II grants will be limited to a total of $200K over a 3-year period and student participation will be required. Only awardees of a Phase I grant from the previous year will be considered for Phase II.

As the twenty-first century approaches, the challenges facing coal and the electric utility industry continue to grow. Environmental issues such as pollutant control, both criteria and trace pollutants, waste minimization, and the co-firing of coal with biomass, waste, or alternative fuels will remain important. The need for increased efficiency, improved reliability, and lower costs will be felt as an aging utility industry faces deregulation. Advanced power systems, such as a Vision 21 plant, and environmental systems will come into play as older plants are retired and utilities explore new ways to meet the growing demand for electricity.

Innovative research in the coal conversion and utilization areas will be required if coal is to continue to play a dominant role in the generation of electric power. Topics, like the ones that follow, will need to be addressed. Technical topics like the ones that follow, will need to be answered but are not intended to be all-encompassing. It is specifically emphasized that other subjects for coal research will receive the same evaluation and consideration for support as the examples cited.

Innovative Concepts Technical Topics:

Possible applications of membranes to coal-based systems include the separation of CO₂ from the flue gas effluent of coal-fired power plants. Inorganic membranes are preferred because of their refractory behavior and the possibility of improving their resistance to environmental attack through a suitable choice of ceramic material and associated fabrication process. Since the kinetic diameters of CO₂ and N₂ molecules are relatively close to each other (0.36 nm and 0 .40 nm, respectively), an enhanced separation of the two gases can only be accomplished via selective interactions between the molecules and the membrane surface. Molecular modeling would aid the synthesis of membranes for the selective separation of CO_2, while kinetic modeling would establish the potential flux of gases in membrane systems.

Applications are sought to investigate inorganic membranes, including novel synthetic methods that are technically and economically feasible. Large separation factor and high permeability are essential to achieve desired results in a single stage. A target performance that combines a permeability of 3 _ 10^-7 mol/(m² s Pa) and CO₂/N₂ selectivity of 100 is an approximate guideline. The proposed work should be consistent with the Vision 21 concept, novel in nature, and may include, but must not be limited to a review of prior research related to this focus area.

The Vision 21 concept encompasses the idea of interchangeable modules that can be assembled into various configurations that may co-produce power, fuels, or high-value chemicals. Configurations may include a gasifier and a power-generating facility with a specific fuel or chemical production capability. However, many different configurations are possible.

Novel concept grant applications are being sought to examine the feasibility of advanced central station energy plants that produce some combination of power, fuels, and chemicals from fossil fuel feedstocks, perhaps with biomass and/or opportunity feedstocks (e.g., petroleum coke, municipal solid waste, etc.). Process heat and steam may also be produced. Configurations may use internally generated wastes, combustion byproducts, or low-grade heat in ways that improve environmental performance, efficiency, and/or economics. The study should include mass and heat balance calculations along with sensitivity studies of the economics of the proposed processes.

The thermal efficiency of a conventional coal-fired steam (Rankine) cycle is 33-35% from coal’s heating value to electricity. The other 65-67% of the energy is lost during the conversion process of power generation. By increasing the operating temperatures and pressures over the supercritical condition of steam, the cycle efficiency can be increased to 42-45% (based on coal’s higher heating value). However, there are limitations in materials for high-temperature applications. On the other hand, a system with a binary working fluid of ammonia and water has shown an improved cycle efficiency of 45-50% by extracting heat from hot streams at variable boiling temperatures of the ammonia-water mixtures. The cost has been a concern for commercializing this binary system.

Grant applications are being sought for:

7.1 General

7.2 Federal Cost Principles/Cost-Sharing/In-Kind Contributions (10 CFR 600.123)

a. Institutions of Higher Education. Office of Management and Budget (OMB) Circular A-21, "Cost Principles Applicable to Grants, Contracts and Other Agreements with Institutions of Higher Education," is applicable to both public and private colleges/universities.

b. State and Local Governments and Indian Tribal Governments. OMB Circular A-87, "Cost Principles Applicable to Grants, Contracts and Other Agreements with State and Local Governments," is applicable to State, local and Indian tribal governments and shall also be used to the extent appropriate for foreign governments.

c. Nonprofit Organizations and Individuals. OMB Circular A-122 "Cost Principles Applicable to Grants, Contracts and other Agreements with Nonprofit Organizations", applies to nonprofit organizations other than a non-profit institution of higher education or hospital. However, certain nonprofit organizations, as specifically listed in OMB Circular A-122, are subject to the commercial cost principles specified in subparagraph (d), below. OMB Circular A-122 shall also apply to grants to individuals.

d. Commercial Firms and Certain Nonprofit Organizations. Title 48 CFR Subpart 31.2 (Federal Acquisition Regulations) "Contracts with Commercial Organizations," as supplemented by 45 CFR Subpart 931.2 (DOE Acquisition Regulations), applies to for-profit organizations (other than for-profit hospitals), including corporations, partnerships and sole proprietorships.

Copies of OMB publications listed in subparagraphs (a)-(d) above may be obtained from the Office of Management and Budget, Office of Administration, Publications Unit, Washington, DC 20503.

7.3 Content of Applications

Content. Elements comprised by Volume I - Technical (in the order in which they are to be presented), are:

*e. Introduction (double-spaced, identify as Page 1)

Content. The elements comprised by Volume II - Business/Financial (in the order in which they are to be presented), are:

7.4 Proprietary Information

"The data submitted on pages ____ of this application have been submitted in confidence and contain trade secrets or proprietary information. Such data shall be used or disclosed only for evaluation purposes, provided that if this application receives an award as a result of or in connection with the submission of this application, DOE shall have the right to use or disclose the data therein to the extent provided in the award. This restriction does not limit the Government's right to use or disclose data obtained without restriction from any source, including the applicant."

"Use or disclosure of the application data on lines specifically identified by asterisk (*) are subject to the restriction of the cover page of this application."

7.5 Application Preparation Costs

7.6 Patents, Data, and Copyrights

Individual and Joint University/College Applications. Policies and procedures for patents, data, and copyrights are in accordance with Public Law 96-517. The recipient may retain the entire right, title and interest to each invention, subject to the provisions of 10 CFR 600.27.

Joint University/Industry Applications. Industrial participants in this program, in accordance with applicable statutes and the DOE Acquisition Regulation, have the right to request, before or within 30 days after the effective date of award, a waiver of all or any part of the rights of the U.S. in subject inventions. To receive consideration for a request for a patent waiver, a twenty (20%) percent contribution is normally required from the requestor. Small business firms and domestic nonprofit organizations will normally receive a Patent Rights clause which permits the contractor to retain title to subject inventions, except in contracts for management or operation of a Government-owned research or production facility and in contracts involving exceptional circumstances or intelligence activities. Therefore, small business firms and nonprofit organizations normally need not request a waiver.

Policies and procedures for patents, data, and copyrights are in accordance with Public Law 96-517. The recipient may retain the entire right, title and interest to each invention, subject to provisions of 10 CFR 600.27.

8.1 Mailing and Delivery Address

If delivered by private carrier (a "private carrier" refers to any delivery means other than the U.S. Postal Service), the application must be received at the above location (Wallace Road, Building 921, Room 107) by the deadline date and time cited below.

a. An application or amendment shall be timely if it is:

b. DOE shall not consider and shall return, unopened (unless opened for identification), any application that does not meet the requirements of paragraphs (a)(1), or (a)(2), and (a)(3) of this section.

c. If necessary, DOE may extend an established application deadline by publishing a timely notice of the extension in the same manner as the solicitation was publicized. The extension of time shall apply to all applicants.

d. Any modification of an application is subject to the same conditions outlined above.

e. The only acceptable evidence to establish timeliness are: (1) the date of mailing of a late application or modification sent by either first class mail, registered mail or certified mail is the U.S. Postal Service postmark on the wrapper or on the original receipt from the U.S. Postal Service and (2) the time of receipt at the Government installation is the time-date stamp of such installation on the application wrapper or other documentary evidence of receipt maintained by the installation. If neither postmark shows a legible date, the application or modification of application shall be deemed to have been mailed late. (The term "postmark" means a printed, stamped, or otherwise placed impression that is readily identifiable without further action as having been supplied and affixed on the date of mailing by employees of the U.S. Postal Service.) Notwithstanding the above, a late modification of an otherwise successful application that makes its terms more favorable to the Government will be considered at any time it is received and may be accepted.

f. Applications may be withdrawn by written or telegraphic notice received at any time prior to award. Applications may be withdrawn in person by an applicant or his authorized representative, provided his identity is made known and he signs a receipt for withdrawal of the application prior to award. (NOTE: The term "telegraphic notice" includes mailgrams.)

10.1 UCR Core Program

10.2 UCR Innovative Concepts Program