Exhibit 10(g)11
Southern Power Company has requested confidential treatment for certain portions
of this document pursuant to an application for confidential treatment sent to
the Securities and Exchange Commission. Southern Power Company has omitted
portions from this filing and filed them separately with the Securities and
Exchange Commission. Such omissions are designated as "[**]".
DOE F 4600.1# U.S. DEPARTMENT OF ENERGY
(4/05) NOTICE OF FINANCIAL ASSISTANCE AWARD
Under the authority of Public Law 95-91 DOE Organization Act, as amended by
PL 102-486 Energy Policy Act
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1. PROJECT TITLE DEMONSTRATION OF 2. INSTRUMENT TYPE
A 285MW COAL-BASED TRANSPORT
GASIFIER [ ] GRANT [X]COOPERATIVE AGREEMENT
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3. RECIPIENT (Name, address, zip code) 4. INSTRUMENT NO. 5. AMENDMENT NO.
Southern Company Services, Inc. DE-FC26-06NT42391 A000
600 North 18th Street
PO BOX 2641
Birmingham, AL 35291
6.BUDGET PERIOD 7. PROJECT PERIOD
FROM:2/01/06 THRU:3/30/07 FROM:2/01/06 THRU:11/28/14
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8. RECIPIENT PROJECT DIRECTOR 10. TYPE OF AWARD
(Name, phone and E-mail)
Timothy E. Pinkston [X]NEW [ ]CONTINUATION [ ]RENEWAL
tepinkst@southernco.com
205/670-5860 FAX: 5843 [ ]REVISION [ ]INCREMENTAL FUNDING
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9. RECIPIENT BUSINESS OFFICER (Name, phone and E-mail)
Charles W. Henderson
chender@southernco.com
205/670-5844 FAX: 5843
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11. DOE PROJECT OFFICER(Name, address, phone and E-mail)
National Energy Technology Labaratory
ATTN: Nelson F. Rekos rekos@netl.doe.gov
3610 Collins Ferry Road, P.O. Box 880
Morgantown, WV 26507-0880
304/285-5415 FAX: 4403
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12. ADMINISTERED FOR DOE BY (Name, address, phone and E-mail)
National Energy Technology Labaratory
ATTN: William R. Mundorf mundorf@netl.doe.gov
626 Cochrans Mill Road, P.O. Box 10940
Pittsburgh, PA 15236-0940
412/386-4483 FAX: 6137
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13. RECIPIENT TYPE
[ ]STATE GOV'T [ ]INDIAN TRIBAL GOV'T [ ]HOSPITAL [X]FOR PROFIT [ ] INDIVIDUAL
ORGANIZATION
[ ]LOCAL GOV'T [ ]INSTITUTION OF [ ]OTHER NONPROFIT [X] C [ ] P [ ] SP [ ] OTHER (Specify)
HIGHER EDUCATION ORGANIZATION ------
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14. ACCOUNTING AND APPROPRIATIONS DATA: 15. EMPLOYER I.D. NUMBER
158 2006 31 220321 61000000 25500 1610353 a. TIN: 63-0274273
b. DUNS: 13-751-9547
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16. BUDGET AND FUNDING INFORMATION
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a. CURRENT BUDGET PERIOD INFORMATION
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(1) DOE Funds Obligated This Action $ 13,762,832
-------------
(2) DOE Funds Authorized for Carry Over $ -0-
-------------
(3) DOE Funds Previously Obligated in this Budget Period $ -0-
-------------
(4) DOE Share of Total Approved Budget $ 13,762,832
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(5) Recipient Share of Total Approved Budget $ [**]
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(6) Total Approved Budget $ [**]
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b. CUMULATIVE DOE OBLIGATIONS
(1) This Budget Period $ 13,762,832
[Total of lines a.(1) and a.(3)] -----------------
(2) Prior Budget Periods $ -0-
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(3) Project Period to Date $ 13,762,832
-----------------
[Total of lines b.(1) and b.(2)]
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17. TOTAL ESTIMATED COST OF PROJECT, INCLUDING DOE FUNDS TO FFRDC: $ 568,768,646
(This is the current estimated cost of the project. It is not a promise to
award nor an authorization to expend funds in this amount.)
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18. AWARD AGREEMENT TERMS AND CONDITIONS
This award/agreement consists of this form plus the following:
a. Special terms and conditions.
b. Applicable program regulations (specify)___________ (Date)_____________.
c. DOE Assistance Regulations, 10 CFR Part 600at http://ecfr.gpoaccess.gov
or, if the award is a grant to a Federal Demonstration Partnership (FDP)
institution, the FDP Terms & Conditions and the DOE FDP Agency Specific
Requirements at http://www.nsf.gov/awards/managing/fed_dem_part.jsp.
d. Application/proposal as approved by DOE dated June 10, 2004 and updates
thereto.
e. National Policy Assurances to Be Incorporated as Award Terms at
http://grants.pr.doe.gov.
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19. REMARKS
The award is subject to the terms and conditions contained in the following
pages.
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20. EVIDENCE OF RECIPIENT ACCEPTANCE 21. AWARDED BY
/s/ Chris M. Hobson 2/22/06 /s/Raymond D. Johnson 1/30/06
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(Signature of Authorized (Date) (Signature) (Date)
Recipient Official)
Chris M. Hobson Raymond D. Johnson
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(Name) (Name)
SVP Research and Environmental Affairs Contracting Officer
---------------------------------- ---------------------------------
(Title) (Title)
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SECTION II - SPECIAL TERMS AND CONDITIONS
2.1 Prevailing Regulations (SEPT 2004)
As indicated on the face page, Block 18c, this award is subject to the DOE
Assistance Regulations of Title 10, Code of Federal Regulations, Part 600. This
set of regulations may be found in most major libraries or on the World Wide Web
at: http://ecfr.gpoaccess.gov.
2.2 Order of Precedence (AUG 2001)
In the event of any inconsistency among the provisions of this agreement, the
inconsistency shall be resolved by giving precedence as follows: (a) applicable
public laws; (b)10 CFR Part 600; (c) the special terms and conditions; and (d)
other documents, exhibits and attachments.
2.3 Definitions (MAR 2002)
"Cooperative Agreement" means this agreement between the United States
Department of Energy (DOE) and the Recipient, DOE Instrument number
DE-FC26-06NT42391, and any subsequent amendments.
"Recipient" means Southern Company Services, Inc. and its successors and
assigns.
"Repayment Agreement" means the agreement made by Southern Company Services,
Inc.; Kellogg Brown & Root, Inc; and DOE in DOE Instrument Number
DE-FC26-06NT42391 on January 30, 2006, to repay the DOE share of costs paid
under this Cooperative Agreement. The Repayment Agreement is agreement number
DE-FR26-06NT42392.
"United States" means the United States of America and its 50 States, the
District of Columbia, the Commonwealth of Puerto Rico, and any possession or
trust territory of the United States.
2.4 Substantial Involvement Between DOE and the Recipient (MAR 2002)
(a) Recipient Role
The Recipient shall be responsible for all aspects of project performance
as set forth in the Statement of Project Objectives. All services,
personnel, facilities, equipment, materials, and supplies shall be
furnished by the Recipient, unless otherwise specified under this
Cooperative Agreement. The Recipient Project Director shall serve as its
authorized representative for the technical elements of all work to be
performed under this Cooperative Agreement. The Recipient Business
Officer shall serve as its authorized representative for administrative
elements dealing with the Cooperative Agreement.
(b) DOE Role
DOE shall monitor the Recipient's progress in performing the project and
shall have a substantial role in project decision making.
The DOE Contracting Officer is the only Government Representative
authorized to accept the reports and other deliverables the Recipient is
required to provide under this Cooperative Agreement. The DOE Project
Officer (same as Contracting Officer's Representative) shall have the
authority to comment on those technical reports, plans, and other
technical information the Recipient is required to submit to DOE for
review and comment.
The DOE Project Officer shall have the authority to issue written
technical advice which suggests redirecting the project work (e.g., by
changing the emphasis among different tasks), or pursuing specific lines
of inquiry likely to assist in accomplishing the Statement of Project
Objectives. The DOE Project Officer is not authorized to issue, and the
Recipient must not follow, any technical advice which constitutes work
which is not within the scope of the Statement of Project Objectives;
which in any manner causes an increase or decrease in the total estimated
cost or in the time required for performance of the project; which has
the effect of changing any of the terms or conditions of the Cooperative
Agreement; or which interferes with the Recipients right to perform the
project in accordance with the terms and conditions of this Cooperative
Agreement.
c. No Government Obligation to Third Parties
In connection with the performance of the project, the Government shall
have no obligation or responsibility to any contractor, subcontractor or
other person who is not a party to this Cooperative Agreement. The
foregoing limitation shall apply notwithstanding the Contracting
Officer's prior approval of or consent to any contract awarded by the
Recipient. The Recipient shall be responsible, without recourse to DOE,
except for amounts DOE is otherwise obligated to pay pursuant to the
provisions of this Cooperative Agreement for the resolution and
satisfaction of all pre-award protests, contract administration issues,
and contract disputes arising out of contracts awarded by the Recipient
for acquisitions related to the Project.
2.5 Budget Periods and Estimated Project Costs (OCT 2003)
(a) Budget Periods
The project period of this Cooperative Agreement is divided into project
budget periods, separated by decision points, for funding purposes.
Phases
The project is divided into major categories of work (e.g., project
definition, design, construction, demonstration, etc.) called phases for
project management planning and control.
(b) Total Estimated Project Costs
DOE and the Recipient shall share in allowable direct and indirect
project costs, on an invoice by invoice basis, in the percentages up to
the amounts shown below:
TOTAL ESTIMATED PROJECT COST: $568,768,646
Budget Period # 1
Phase I - Project Definition
DOE Share: $13,762,832.00 [**]%
Recipient Share: $[**] [**]%
Budget Period # 2
Phase II - Detailed Design and Phase III Construction
DOE Share: $170,873,279.00 [**]%
Recipient Share: $[**] [**]%
Budget Period #3
Phase IV - Demonstration
DOE Share: $ 50,363,889.00 [**]%
Recipient Share: $[**] [**]%
Total Project
DOE Share: $235,000,000.00 [**]%
Recipient Share: $[**] [**]%
(c) Budget Revisions
The Recipient may re-budget funds within a total approved budget, subject
to the prior approval requirements of 10 CFR 600.315. The Recipient shall
obtain prior written approval of the DOE Contracting Officer of any
budget revision which would result in the need for additional DOE
funding.
(d) Additional Funds
The Recipient shall immediately notify the Contracting Officer in writing
whenever it becomes apparent that the costs of completing that portion of
the Project to be performed during a Budget Period exceeds the Total
Approved Budget. Such written notice shall, at a minimum, set forth (1) a
detailed explanation of the magnitude and factors causing the cost
overrun; (2) a proposed Budget revision detailing the amount of
additional funds needed to complete the Project and (3) the amount of
additional DOE funds, if any, requested by the Recipient.
2.6 RESERVED
2.7 Cost Overruns (OCT 2003)
The Government is under no obligation to share any cost overruns (i.e., costs
incurred during the Demonstration Project that are more than those estimated at
the date of award). DOE does not plan to set aside funds for overruns. However,
if appropriated funds are available in the future for supporting overruns, the
Government's share of overruns will not exceed the Government's percentage cost
share for the overall project and then only up to 25 percent of the original
Government contribution as specified in the initial Cooperative Agreement.
2.8 Allowable Pre-award Costs (MAR 1999)
The Recipient is entitled to reimbursement by DOE of its share of pre-award
costs in the amount not to exceed $7,200,670, per the pre-award cost
authorization letter to Recipient from DOE dated December 20, 2004. These costs
are limited to work associated with performance of work detailed in Recipient's
letter of December 16, 2004, incurred during the period starting on January 3,
2005 through the effective start date of this award (Block 7, DOE F 4600.1).
2.9 Cost Sharing (MAR 2002)
In order to be recognized as allowable cost sharing, a cost must be otherwise
allowable in accordance with the applicable Federal cost principles and DOE
Regulations (10CFR600.313) governing cost sharing. Cost sharing may be in
various forms or combinations, which includes but is not limited to cash outlays
and in-kind contributions. All allowable project costs, whether in-cash or
in-kind, shall be shared by DOE when such costs are incurred by applying the
share ratios set forth in the Cooperative Agreement.
Provided below is a non-exclusive list of costs that are unallowable as project
costs and cost sharing:
X Costs incurred in negotiating a Cooperative Agreement with DOE are
not allowable as direct charges to the project.
X Allowable costs under past, present, or future Federal Government
contracts, grants or Cooperative Agreements may not be charged
against this Cooperative Agreement. Likewise, the Recipient may not
charge costs allowable under this project, including any portion of
its cost share to the Federal Government under any other contracts,
grants, or Cooperative Agreements.
X Only the operating costs directly associated with the proposed work
effort (i.e., incremental costs distinct from the daily operational
costs) may be recognized as allowable costs for cost-sharing
purposes if adequately supported and properly documented.
X DOE will not share in the acquisition costs of any fuel other than
coal, under this Clean Coal Power Initiative, unless prior written
approval is obtained from the DOE Contracting Officer. The cost of
natural gas for flare operation and gasifier start-up and
commissioning is, however, an allowable cost and includes natural
gas for initial and subsequent startups. The DOE share of natural
gas cost for Budget Period 2 shall not exceed $[**]. The DOE share
of natural gas cost of Budget Period 3 shall not exceed $[**].
X Previously expended research or development costs are unallowable.
X DOE shall not accept valuation for property sold, transferred,
exchanged, or manipulated in any way to acquire a new basis for
depreciation purposes or to establish a fair use value in
circumstances that would amount to a transaction for the purpose of
the Cooperative Agreement.
X Interest on borrowings (however represented) and other financial
costs such as bond discounts, cost of financing and refinancing
capital (net worth plus long-term liabilities), are unallowable
project costs. This includes interest on funds borrowed for
construction.
X DOE will not share in both the direct cost and depreciation on the
same item. Depreciation is not allowable for cost sharing on any
item charged to the project as a direct cost. For example, DOE will
cost share the direct cost on equipment or facilities purchased or
constructed for the project; but, will not also cost share the
depreciation.
X The value of patents and data contributed to the project is
unallowable.
X Facilities capital cost of money shall be an unallowable cost on all
real property or equipment acquired by or on behalf of the Recipient
in connection with the performance of the project.
X Forgone fees, forgone profits, or forgone revenues as well as
replacement power costs are not allowable costs.
X Fee or profit paid to any member of the proposing team having a
substantial and direct interest in the commercialization of the
demonstration technology is unallowable. Competitive subcontracts,
where a proposing team member is selected for award of a
subcontract, placed with the prior written consent of the
Contracting Officer and subcontracts for routine supplies and
services are not covered by this prohibition.
X Business losses are unallowable.
NOTE: See Federal Acquisition Regulations (FAR) 31.2 for the complete Cost
Principles and Procedures applicable to Commercial Organizations.
2.10 Payment Procedures *Reimbursement Through the Automated Standard
Application for Payments (ASAP) System (OCT 2004)
(a) Method of Payment. Payment will be made by reimbursement through the
Department of Treasury's ASAP system.
(b) Requesting Reimbursement. Requests for reimbursements must be made
through the ASAP system. Your requests for reimbursement should
coincide with your normal billing pattern, but not more frequently than
every two weeks. Each request must be limited to the amount of
disbursements made for the federal share of direct project costs and
the proportionate share of allowable indirect costs incurred during
that billing period.
(c) Adjusting payment requests for available cash. You must disburse any
funds that are available from repayments to and interest earned on a
revolving fund, program income, rebates, refunds, contract settlements,
audit recoveries, credits, discounts, and interest earned on any of
those funds before requesting additional cash payments from DOE.
(d) Payments. All payments are made by electronic funds transfer to the
bank account identified on the ASAP Bank Information Form that you
filed with the U.S. Department of Treasury.
(e) Invoice documentation shall include the following information:
(1) Name and address of recipient/vendor
(2) Invoice date
(3) Award number
(4) Project Billing Cost Report: Detailed breakdown on the monthly
expenses showing Travel and Living Expenses, Direct Materials,
Outside Services, Direct Labor, Overheads/Fringe Benefits less cost
shares. This is shown for the current period and cumulative.
(5) DOE Allowable Overhead Calculations: Showing the labor, allowable
and unallowable overheads.
(6) Name (where practicable), title, phone number and complete mailing
address of responsible official to whom payment is to be sent (must
be the same as that in the contract or in a proper notice of
assignment)
(7) Name (where practicable), title, phone number and complete mailing
address of the person to be notified in the event of a defective
invoice.
(8) Total charges for the month by Work Order Sub: Total charges, labor
dollars, labor hours, overheads, employee expenses, outside
services, resource usage, and other expenses
(9) Current month SCS billing that summarizes expenses on the project.
2.11 Continuation Application and Funding (OCT 2004)
(a) Continuation Application. A continuation application is a
non-competitive application for an additional budget period within a
previously approved project period. At least 60 days before the end of
each budget period, you must submit to the DOE Project Officer
identified in Block 11 and the DOE Award Administrator identified in
Block 12 of the Notice of Financial Assistance Award your continuation
application, which includes the following information:
1. A report on your progress towards meeting the objectives of the
project, including any significant findings, conclusions, or
developments, and an estimate of any unobligated balances remaining
at the end of the budget period. If the remaining unobligated
balance is estimated to exceed 20 percent of the funds available for
the budget period, explain why the excess funds have not been
obligated and how they will be used in the next budget period.
2. A detailed budget and supporting justification for the upcoming
budget period if additional funds are requested, a reduction of
funds is anticipated, or a budget for the upcoming budget period was
not approved at the time of award.
3. A description of your plans for the conduct of the project during
the upcoming budget period, if there are changes from the DOE
approved application.
(b) Continuation Funding. Continuation funding is contingent on (1)
availability of funds; (2) satisfactory progress towards meeting the
objectives of your approved application; (3) submittal of required
reports; and (4) compliance with the terms and conditions of the award.
(c) The continuation application shall be submitted on the DOE 4600.4.
Technical and budgetary information supporting the continuation
application shall be provided in accordance with 10 CFR 600.26. Forms
for submission of continuation applications can be found at
http://www.netl.doe.gov/business/index.html.
2.12 Property Management and Disposition (SEPT 2002)
Equipment procured under any award to the Recipient will be installed at the
premises of Orlando Utilities Commission (Teaming Member, subcontractor and host
site to the project) and of the subsidiary of Southern Power Company (an
affiliated electric company of the Recipient) named Southern Power Company -
Orlando Gasification, LLC, (both hereinafter referred to as the "hosting
entities"). Such hosting entities are the owners of the facility at which the
project is to be performed and will take title to the procured equipment. Such
title vesting in these hosting entities shall not be considered to be
transferring or assigning the property to these hosting entities for purposes of
DOE's ability to share financial benefit from the property disposition.
Title to all real property, equipment and supplies (excluding
Government-furnished property) acquired by or on behalf of the hosting entities
in connection with performance of the Project shall vest upon acquisition and
completion of the project in the above referenced hosting entities. The hosting
entities shall make such property available for use in the Project. During the
period of the Cooperative Agreement, the hosting entities may, with the DOE
Contracting Officer's prior approval, encumber their title to or dispose of such
property. Should said property be sold or Recipient (or the teaming members
stated above) the hosting entities receive financial benefit from the property
disposition, the hosting entities shall share the financial benefit with the DOE
in the same share ratio as the total project cost sharing. After completion of
the demonstration period the hosting entities retain unconditional title and
have no further obligation to DOE with respect to the property. The Contracting
Officer grants consent for the purchase of real property, equipment, fuels,
materials, and services consistent with Recipient's application, except for
those subcontracts identified in Article 2.36, Subcontracts and Other
Agreements.
The cost of disposal of the Demonstration Facility is an allowable cost only if
proposed and included in the cost estimate for Demonstration/Operations.
The use, management, and disposition of all government-furnished property shall
be governed by 10 CFR 600.320 thru 600.324.
2.13 Real Property - None (JAN 1999)
No land is anticipated to be procured under this award.
2.14 Federally Owned Property (Government-Furnished) - None (JAN 1999)
It is not anticipated that any Government-furnished property will be provided
under this award.
2.15 Key Personnel (APR 2002)
Recipient personnel considered to be essential and key to the work being
performed hereunder are specified below:
NAME TITLE TELEPHONE COMPANY
Prasad Koneru Project Manager 713 753 5436 KBR
Nicola Salazar Technology Operations Manager 713 753 6833 KBR
Randall E. Rush Program Manager 205-670-5842 SCS
Timothy E. Pinkston Project Manager 205-670-5860 SCS
Charles W. Henderson Business Manager 205-670-5644 SCS
The personnel specified in this clause are considered to be essential to the
project. Before removing or replacing any key personnel, the Recipient shall
notify the Contracting Officer reasonably in advance and shall submit
justification (including proposed substitutions) in sufficient detail to permit
evaluation of the impact on the project. No key personnel may be substituted
without the Contracting Officer's approval. Such approval shall be obtained in
advance of the substitution, except that the Contracting Officer may ratify a
substitution which, because of exigent circumstances, was made before the
Recipient could request and/or obtain the Contracting Officer's approval.
2.16 Project Site and Access (MAR 2002)
The project shall be performed principally at a site located on the Orlando
Utility Commission site in Orange County, Florida, near Orlando. At the request
of the DOE Contracting Officer or the COR, the Recipient shall provide
Government officials and interested members of the public as determined by DOE
with access to the project site(s) to observe project operations at reasonable
times and with reasonable limitations on the numbers of people during each
visit.
2.17 Paperwork Reduction - Cooperative Agreements (SEPT 2002)
The award is subject to the requirements of the Paperwork Reduction Act of 1980
as implemented by the Office of Management and Budget rules, "Controlling
Paperwork Burdens on the Public," published at 5 CFR 1320.
The Recipient shall submit any proposed sponsored information collection to the
person identified on the DOE F 4600.1 (Award Face Page, Block 12). The proposal
shall be submitted at least 120 days prior to the intended date of information
collection. DOE will seek the requisite approval from the Office of Management
and Budget (OMB) and will promptly notify the Recipient of the disposition of
the request.
2.18 Public Access to Information (APR 2000)
The Freedom of Information Act, as amended, and the DOE implementing regulations
(10 CFR 1004) require DOE to release certain documents and records regarding
awards to any person who provides a written request. The intended use of the
information will not be a criterion for release.
2.19 Compliance with Buy American Act (OCT 2004)
In accepting this award, the Recipient agrees to comply with sections 2 through
4 of the Act of March 3, 1933 (41 U.S.C. 10a-10c, popularly known as the "Buy
American Act"). The Recipient should review the provisions of the Act to ensure
that expenditures made under this award are in accordance with it.
2.20 Notice Regarding the Purchase of American-Made Equipment and Products -
Sense of Congress (OCT 2004)
It is the sense of the Congress that, to the greatest extent practicable, all
equipment and products purchased with funds made available under this award
should be American-made.
2.21 Lobbying Restrictions (OCT 2004)
By accepting funds under this award, Recipient agrees that none of the funds
obligated on the award shall be made available for any activity or the
publication or distribution of literature that in any way tends to promote
public support or opposition to any legislative proposal on which Congressional
action is not complete. This restriction is in addition to those prescribed
elsewhere in statute and regulation.
2.22 Notice Regarding Unallowable Costs and Lobbying Activities (NOV 1998)
Recipients of financial assistance are cautioned to carefully review the
allowable cost and other provisions applicable to expenditures under their
particular award instruments. If financial assistance funds are spent for
purposes or in amounts inconsistent with the allowable cost or any other
provisions governing expenditures in an award instrument, the government may
pursue a number of remedies against the Recipient, including in appropriate
circumstances, recovery of such funds, termination of the award, suspension or
debarment of the Recipient from future awards, and criminal prosecution for
false statements.
Particular care should be taken by the Recipient to comply with the provisions
prohibiting the expenditure of funds for lobbying and related activities.
Financial assistance awards may be used to describe and promote the
understanding of scientific and technical aspects of specific energy
technologies, but not to encourage or support political activities such as the
collection and dissemination of information related to potential, planned or
pending legislation.
2.23 Reporting (NOV 1998)
Failure to comply with the reporting requirements contained in this award will
be considered a material noncompliance with the terms of the award.
Noncompliance may result in a withholding of future payments, suspension or
termination of the current award, and withholding of future awards. A willful
failure to perform, a history of failure to perform, or of unsatisfactory
performance of this and/or other financial assistance awards, may also result in
a debarment action to preclude future awards by Federal agencies.
2.24 Recipient Press Releases (APR 1998)
The DOE policy and procedure on planned press releases requires that all
Recipient press releases be reviewed and approved by DOE prior to issuance.
Therefore, the Recipient shall, at least ten (10) days prior to the planned
issue date, submit a draft copy to the Contracting Officer of any planned press
releases related to work performed under this award. The Contracting Officer
will then obtain necessary reviews and clearances and provide the Recipient with
the results of such reviews prior to the planned issue date.
2.25 Publication of Results/Acknowledgment Statement (MAR 2004)
Publications, as well as reports prepared under this award shall contain the
following acknowledgment statement:
"This (_________________) was prepared with the support of the U.S.
Department of Energy, under Award Number DE-FC26-06NT42391. However,
any opinions, findings, conclusions, or recommendations expressed
herein are those of the author(s) and do not necessarily reflect the
views of the DOE".
2.26 National Environmental Policy Act (NEPA) - Prior Approvals (JUNE 2001)
The National Environmental Policy Act of 1969 (NEPA) requires that all Federal
agencies consider the impacts of their projects on the human environment. As
part of the DOE's NEPA requirements, the Recipient shall be required to supply
to the DOE certain environmental information. DOE funds may only be expended by
the Recipient on those NEPA activities which are mentioned in the Statement of
Project Objectives or in a manner consistent with 40 CFR 1506.1, until DOE
notifies the Recipient that all NEPA requirements have been satisfied. In the
event that the Recipient expends its own or third party funds on activities not
authorized by this provision, such expenditures are entirely at the Recipient's
risk that DOE's NEPA analysis will support such activities.
2.27 Environmental, Safety & Health (OCT 2003)
The recipient must comply with applicable Federal, State, and local
environmental, safety and health laws and regulations for work performed under
this award.
2.28 Hazardous Wastes Manifests and Labels (MAR 2003)
The Recipient shall not identify, on wastes manifests or container labels or
otherwise, the DOE or the NETL as the owner or generator of hazardous wastes
without written permission, signed by either the NETL Director or both the NETL
Contracting Officer and the NETL ES&H Division Director, unless expressly and
specifically permitted by the award.
2.29 Permits and Licenses (AUG 1999)
Within sixty (60) days of award, the Recipient shall submit to the DOE Project
Officer a list of ES&H approvals that, in the Recipient's opinion, shall be
required to complete the work under this award. The list shall include the topic
of the approval being sought, the approving authority, and the expected
submittal/approval schedule. The DOE Project Officer shall be notified as
specific items are added or removed from the list and processed through their
approval cycles.
The Recipient agrees to include this clause in first-tier subcontracts and
agrees to enforce the terms of this clause.
2.30 Insurance (MAR 2002)
(a) Prior to signature of this Cooperative Agreement, the Recipient submitted
to DOE and DOE accepted a risk management plan developed specifically for
this Project. The insurance requirements on the part of the Recipient for
this Project shall be as set forth in its submitted plan. Such plan has
been approved by letter of the DOE Contracting Officer dated October 21,
2005. Recipient shall provide evidence that DOE has been named as an
additional insured on the appropriate policies.
(b) Indemnity
The Recipient shall indemnify the Government and its officers, agents, or
employees for any and all liability, including litigation expenses and
attorneys' fees, arising from suits, actions, or claims of any character
for death, bodily injury, or loss of or damage to property or to the
environment, resulting from the fault or negligence of the Recipient in
performing the project under this Cooperative Agreement.
2.31 Limitation of DOE Liability (MAR 2002)
Awards under this part are subject to the requirement that the maximum DOE
obligation to the recipient is the amount shown in the Notice of Financial
Assistance Award as the amount of DOE funds obligated. DOE shall not be
obligated to make any additional, supplemental, continuation, renewal or other
awards for the same or any other purpose.
2.32 Termination (MAR 2002)
The Cooperative Agreement may be terminated in accordance with 10 CFR 600.351.
2.33 Records Retention, Access, and Disclosure (MAR 2002)
(a) Period of Retention
The Recipient shall retain all financial and performance records,
supporting documents, statistical records, and other records of the
Recipient which are required to be retained by the terms of this
Cooperative Agreement, and any other records the Recipient reasonably
considers to be pertinent to this Cooperative Agreement. The period of
required retention shall be from the date each such record is created or
received by the Recipient until three years after one of the following
dates, whichever is latest: the expiration date of this Cooperative
Agreement; the date the Recipient's final expenditure report is submitted
to DOE; or if this Cooperative Agreement is terminated in its entirety,
the effective date of the termination. If any claim, litigation,
negotiation, investigation, audit, or other action involving the records
starts before the expiration of the three-year retention period, the
Recipient shall retain the records until such action is completed and all
related issues are resolved, or until the end of the three-year retention
period, whichever is later.
(b) Authorized Copies
Copies made by microfilm, photocopying, or similar methods may be
substituted for original records. Records originally created by computer
may be retained on an electronic medium, provided such medium is "read
only" or is protected in such a manner that the electronic record can be
authenticated as an original record.
(c) Access to Records
Subject to any legitimate claims of Attorney/Client Privilege as
determined by a court of competent jurisdiction, DOE and the Comptroller
General of the United States, or any of their authorized representatives,
shall have the right of access to any books, documents, papers, or other
records (including those on electronic media) which are pertinent to this
Cooperative Agreement. The purpose of such access is limited to the
making of audits, examinations, excerpts, and transcripts. The right of
access described in this paragraph shall last as long as the Recipient
retains records which are pertinent to this Cooperative Agreement.
(d) Restrictions on Public Disclosure
The Federal Freedom of Information Act 5 USC Section 552 does not apply
to records the Recipient is required to retain by the terms of this
Cooperative Agreement to the extent that the records are not also in the
possession of the Government. Unless otherwise required by law or a court
of competent jurisdiction, the Recipient shall not be required to
disclose such records to the public.
2.34 Severability (MAR 2002)
If a court of competent jurisdiction or the DOE Financial Assistance Appeals
Board determines that any part of this Cooperative Agreement is invalid, void,
unenforceable, or inconsistent with any applicable Federal statute or
regulation, such part shall be deemed to have been amended or deleted to conform
to such determination.
2.35 Performance of Work in the United States (AUG 2003)
The Recipient agrees that at least 75% of the direct labor cost for the project
(including subcontractor labor) will be incurred in the United States unless the
Recipient can demonstrate to the satisfaction of the DOE that the United States
economic interest will be better served through a greater percentage of work
performed outside the United States.
2.36 Subcontracts and Other Agreements (MAR 2002)
Subcontracts or agreements will not contain provisions that are inconsistent
with the Cooperative Agreement and Repayment Agreement nor would adversely
affect the ability of the Recipient to perform its obligations under this
Cooperative Agreement and Repayment Agreement. The following named contracts,
subcontracts, licenses, and agreements require prior review and approval by the
Contracting Officer prior to execution:
OUC-SCS Subcontract
KBR Subcontract
Turbine Vendor Subcontract
The request or approval documentation shall consist of an analysis of the
reasonableness of the costs inclusive of the rationale for selection of the
supplier, and the procurement, scope, terms, and conditions consistent with the
Recipient's standard procurement practices. Best efforts will be made to approve
or comment on submitted documents within ten (10) business days of receipt and
such approval will not be unreasonably withheld.
2.37 Annual Indirect Cost Proposal and Reconciliation (OCT 2004)
(a) In accordance with the applicable cost principles, Recipient must
submit an annual indirect cost proposal, reconciled to Recipient's
financial statements, within six months after the close of each
fiscal year, unless Recipient has negotiated a predetermined or fixed
indirect rate(s), or fixed amount for indirect or facilities and
administration (F&A) costs.
(b) Recipient should submit its annual indirect cost proposal directly to
the cognizant agency for negotiating and approving indirect costs. If
DOE is the cognizant agency, send your proposal to the Cognizant
Department of Energy Office (CDO). If Recipient does not have a
cognizant agency or if Recipient does not know the DOE CDO, contact
the DOE Award Administrator identified in Block 12 of the Notice of
Financial Assistance Award.
SECTION III -INTELLECTUAL PROPERTY PROVISIONS
3.1 Intellectual Property Provisions (JAN 2004)
The patent and technical data clauses included in this section apply to this
award. As used in these applicable clauses, the term "Patent Counsel" refers to
the following point of contact:
Intellectual Property Law Division
U.S. Department of Energy
Chicago Operations Office
9800 South Cass Avenue
Argonne, IL 60439
In reading these provisions, any reference to "contractor" shall mean
"recipient", and any reference to "contract" or "subcontract" shall mean "award"
or "sub-award".
The Recipient shall include intellectual property clauses in any sub-award in
accordance with requirements of the clauses in this section and of 10 CFR Parts
600.136 or 600.325 as appropriate.
3.2 Confidential Business Information (JAN 2004)
Information represented to the Department as being confidential business
information, and which does not include "Technical Data" as that term is defined
in the "Rights in Data" clause in this agreement, shall be submitted as an
attachment to the required reports and will be withheld from disclosure outside
the U.S. Government to the extent permitted by law. Such attachment and each
page therein shall be stamped with the following legend and no other:
CONFIDENTIAL BUSINESS INFORMATION
The Recipient considers the material furnished herein to contain
confidential business information which is to be withheld from
disclosure outside the U.S. Government to the extent permitted by law.
3.3 52.227-1 Authorization and Consent (JUL 1995) - Alternate I (APR 1984)
(a) The Government authorizes and consents to all use and manufacture of any
invention described in and covered by a United States patent in the
performance of this contract or any subcontract at any tier.
(b) The Contractor agrees to include, and require inclusion of, this clause,
suitably modified to identify the parties, in all subcontracts at any tier
for supplies or services (including construction, architect-engineer
services, and materials, supplies, models, samples, and design or testing
services expected to exceed the simplified acquisition threshold); however,
omission of this clause from any subcontract, including those at or below
the simplified acquisition threshold, does not affect this authorization
and consent.
3.4 52.227-2 Notice and Assistance Regarding Patent and Copyright
Infringement (AUG 1996)
(a) The Contractor shall report to the Contracting Officer, promptly and in
reasonable written detail, each notice or claim of patent or copyright
infringement based on the performance of this contract of which the
Contractor has knowledge.
(b) In the event of any claim or suit against the Government on account of any
alleged patent or copyright infringement arising out of the performance of
this contract or out of the use of any supplies furnished or work or
services performed under this contract, the Contractor shall furnish to the
Government, when requested by the Contracting Officer, all evidence and
information in possession of the Contractor pertaining to such suit or
claim. Such evidence and information shall be furnished at the expense of
the Government except where the Contractor has agreed to indemnify the
Government.
(c) The Contractor agrees to include, and require inclusion of, this clause in
all subcontracts at any tier for supplies or services (including
construction and architect-engineer subcontracts and those for material,
supplies, models, samples, or design or testing services) expected to
exceed the simplified acquisition threshold at FAR 2.101.
3.5 52.227-3 Patent Indemnity (APR 1984)
(a) The Contractor shall indemnify the Government and its officers, agents, and
employees against liability, including costs, for infringement of any United
States patent (except a patent issued upon an application that is now or may
hereafter be withheld from issue pursuant to a Secrecy Order under 35 U.S.C.
181) arising out of the manufacture or delivery of supplies, the performance
of services, or the construction, alteration, modification, or repair of
real property (hereinafter referred to as "construction work") under this
contract, or out of the use or disposal by or for the account of the
Government of such supplies or construction work.
(b) This indemnity shall not apply unless the Contractor shall have been
informed as soon as practicable by the Government of the suit or action
alleging such infringement and shall have been given such opportunity as is
afforded by applicable laws, rules, or regulations to participate in its
defense. Further, this indemnity shall not apply to -
(1) An infringement resulting from compliance with specific written
instructions of the Contracting Officer directing a change in the
supplies to be delivered or in the materials or equipment to be
used, or directing a manner of performance of the contract not
normally used by the Contractor;
(2) An infringement resulting from addition to or change in supplies or
components furnished or construction work performed that was made
subsequent to delivery or performance; or
(3) A claimed infringement that is unreasonably settled without the
consent of the Contractor, unless required by final decree of a
court of competent jurisdiction.
3.6 952.227-9 Refund of Royalties (FEB 1995)
(a) The contract price includes certain amounts for royalties payable by the
Contractor or subcontractors or both, which amounts have been reported to
the Contracting Officer.
(b) The term "royalties" as used in this clause refers to any costs or charges
in the nature of royalties, license fees, patent or license amortization
costs, or the like, for the use of or for rights in patents and patent
applications in connection with performing this contract or any subcontract
here-under. The term also includes any costs or charges associated with the
access to, use of, or other right pertaining to data that is represented to
be proprietary and is related to the performance of this contract or the
copying of such data or data that is copyrighted.
(c) The Contractor shall furnish to the Contracting Officer, before final
payment under this contract, a statement of royalties paid or required to
be paid in connection with performing this contract and subcontracts
hereunder together with the reasons.
(d) The Contractor will be compensated for royalties reported under paragraph
(c) of this clause, only to the extent that such royalties were included in
the contract price and are determined by the Contracting Officer to be
properly chargeable to the Government and allocable to the contract. To the
extent that any royalties that are included in the contract price are not,
in fact, paid by the Contractor or are determined by the Contracting
Officer not to be properly chargeable to the government and allocable to
the contract, the contract price shall be reduced. Repayment or credit to
the Government shall be made as the Contracting Officer directs. The
approval by DOE of any individual payments or royalties shall not prevent
the Government from contesting at any time the enforceability, validity,
scope of, or title to, any patent or the proprietary nature of data
pursuant to which a royalty or other payment is to be or has been made.
(e) If, at any time within 3 years after final payment under this contract, the
Contractor for any reason is relieved in whole or in part from the payment
of the royalties included in the final contract price as adjusted pursuant
to paragraph (d) of this clause, the Contractor shall promptly notify the
Contracting Officer of that fact and shall reimburse the Government in a
corresponding amount.
(f) The substance of this clause, including this paragraph (f), shall be
included in any subcontract in which the amount of royalties reported
during negotiation of the subcontract exceeds $250.
3.7 Patent Rights (Large Business Firms) - No Waiver (OCT 2003)
(a) Definitions
DOE patent waiver regulations, as used in this clause, means the Department
of Energy patent waiver regulations in effect on the date of award. See 10
CFR Part 784.
Invention, as used in this clause, means any invention or discovery which
is or may be patentable or otherwise protectable under title 35 of the
United States Code or any novel variety of plant that is or may be
protectable under the Plant Variety Protection Act (7 U.S.C. 2321, et
seq.).
Patent Counsel, as used in this clause, means the Department of Energy
Patent Counsel assisting the awarding activity.
Subject invention, as used in this clause, means any invention of the
Recipient conceived or first actually reduced to practice in the course of
or under this agreement.
(b) Allocations of Principal Rights
(1) Assignment to the Government. The Recipient agrees to assign to
the Government the entire right, title, and interest throughout
the world in and to each subject invention, except to the extent
that rights are retained by the Recipient under subparagraph
(b)(2) and paragraph (d) of this clause.
(2) Greater rights determinations. The Recipient, or an
employee-inventor after consultation with the Recipient, may
request greater rights than the nonexclusive license in the
foreign patent rights provided in paragraph (d) of this clause
on identified inventions in accordance with the DOE patent
waiver regulation. Each determination of greater rights under
this agreement shall be subject to paragraph (c) of this clause,
unless otherwise provided in the greater rights determination,
and to the reservations and conditions deemed to be appropriate
by the Secretary of Energy or designee.
(c) Minimum Rights Acquired by the Government
With respect to each subject invention to which the Department of Energy
grants the Recipient principal or exclusive rights, the Recipient agrees
to grant to the Government: A nonexclusive, nontransferable,
irrevocable, paid-up license to practice or have practiced each subject
invention throughout the world by or on behalf of the Government of the
United States (including any Government agency); "march-in rights" as
set forth in 37 CFR 401.14(a)(J)); preference for U.S. industry as set
forth in 37 CFR 401.14(a)(I); periodic reports upon request, no more
frequently than annually, on the utilization or intent of utilization of
a subject invention in a manner consistent with 35 U.S.C. 202(c)(5); and
such Government rights in any instrument transferring rights in a
subject invention.
(d) Minimum Rights to the Recipient
(1) The Recipient is hereby granted a revocable, nonexclusive,
royalty-free license in each patent application filed in any
country on a subject invention and any resulting patent in which
the Government obtains title, unless the Recipient fails to
disclose the subject invention within the times specified in
subparagraph (e)(2) of this clause. The Recipient's license
extends to its domestic subsidiaries and affiliates, if any,
within the corporate structure of which the Recipient is a part
and includes the right to grant sublicenses of the same scope to
the extent the Recipient was legally obligated to do so at the
time the agreement was awarded. The license is transferable only
with the approval of DOE except when transferred to the
successor of that part of the Recipient's business to which the
invention pertains.
(2) The Recipient may request the right to acquire patent rights to
a subject invention in any foreign country where the Government
has elected not to secure such rights, subject to the minimum
rights acquired by the Government similar to paragraph (c) of
this clause. Such request must be made in writing to the Patent
Counsel as part of the disclosure required by subparagraph
(e)(2) of this clause, with a copy to the DOE Contracting
Officer. DOE approval, if given, will be based on a
determination that this would best serve the national interest.
(e) Invention Identification, Disclosures, and Reports
(1) The Recipient shall establish and maintain active and effective
procedures to assure that subject inventions are promptly
identified and disclosed to Recipient personnel responsible for
patent matters within 6 months of conception and/or first actual
reduction to practice, whichever occurs first in the performance
of work under this agreement. These procedures shall include the
maintenance of laboratory notebooks or equivalent records and
other records as are reasonably necessary to document the
conception and/or the first actual reduction to practice of
subject inventions, and records that show that the procedures
for identifying and disclosing the inventions are followed. Upon
request, the Recipient shall furnish the Contracting Officer a
description of such procedures for evaluation and for
determination as to their effectiveness.
(2) The Recipient shall disclose each subject invention to the DOE
Patent Counsel with a copy to the Contracting Officer within 2
months after the inventor discloses it in writing to Recipient
personnel responsible for patent matters or, if earlier, within
6 months after the Recipient becomes aware that a subject
invention has been made, but in any event before any on sale,
public use, or publication of such invention known to the
Recipient. The disclosure to DOE shall be in the form of a
written report and shall identify the agreement under which the
invention was made and the inventor(s). It shall be sufficiently
complete in technical detail to convey a clear understanding, to
the extent known at the time of the disclosure, of the nature,
purpose, operation, and physical, chemical, biological, or
electrical characteristics of the invention. The disclosure
shall also identify any publication, on sale, or public use of
the invention and whether a manuscript describing the invention
has been submitted for publication and, if so, whether it has
been accepted for publication at the time of disclosure. In
addition, after disclosure to DOE, the Recipient shall promptly
notify Patent Counsel of the acceptance of any manuscript
describing the invention for publication or of any on sale or
public use planned by the Recipient. The report should also
include any request for a greater rights determination in
accordance with subparagraph (b)(2) of this clause. When an
invention is disclosed to DOE under this paragraph, it shall be
deemed to have been made in the manner specified in Sections
(a)(1) and (a)(2) of 42 U.S.C. 5908, unless the Recipient
contends in writing at the time the invention is disclosed that
it was not so made.
(3) The Recipient shall furnish the Contracting Officer a final
report, within 3 months after completion of the work listing all
subject inventions or containing a statement that there were no
such inventions, and listing all sub-awards/contracts at any
tier containing a patent rights clause or containing a statement
that there were no such sub-awards/contracts.
(4) The Recipient agrees to require, by written agreement, its
employees, other than clerical and non-technical employees, to
disclose promptly in writing to personnel identified as
responsible for the administration of patent matters and in a
format suggested by the Recipient each subject invention made
under sub-award/contract in order that the Recipient can comply
with the disclosure provisions of paragraph (c) of this clause,
and to execute all papers necessary to file patent applications
on subject inventions and to establish the Government's rights
in the subject inventions. This disclosure format should
require, as a minimum, the information required by subparagraph
(e)(2) of this clause.
(5) The Recipient agrees, subject to FAR 27.302(j), that the
Government may duplicate and disclose subject invention
disclosures and all other reports and papers furnished or required
to be furnished pursuant to this clause.
(f) Examination of Records Relating to Inventions
(1) the Contracting Officer or any authorized representative shall,
until 3 years after final payment under this agreement, have the
right to examine any books (including laboratory notebooks),
records, and documents of the Recipient relating to the
conception or first actual reduction to practice of inventions
in the same field of technology as the work under this agreement
to determine whether -
(i) Any such inventions are subject inventions;
(ii) The Recipient has established and maintains the procedures
required by subparagraphs (e)(1) and (4) of this clause;
(iii) The Recipient and its inventors have complied with the
procedures.
(2) If the Contracting Officer learns of an unreported Recipient
invention which the Contracting Officer believes may be a
subject invention, the Recipient may be required to disclose the
invention to DOE for a determination of ownership rights.
(3) Any examination of records under this paragraph will be subject
to appropriate conditions to protect the confidentiality of the
information involved.
(g) Sub-Award/Contract
(1) The recipient shall include the clause PATENT RIGHTS (SMALL
BUSINESS FIRMS AND NONPROFIT ORGANIZATIONS) (suitably modified
to identify the parties) in all sub-awards/contracts, regardless
of tier, for experimental, developmental, demonstration, or
research work to be performed by a small business firm or
domestic nonprofit organization, except where the work of the
sub-award/contract is subject to an Exceptional Circumstances
Determination by DOE. In all other sub-awards/contracts,
regardless of tier, for experimental, developmental,
demonstration, or research work, the Recipient shall include
this clause (suitably modified to identify the parties), or an
alternate clause as directed by the contracting officer. The
Recipient shall not, as part of the consideration for awarding
the sub-award/contract, obtain rights in the
sub-recipient's/contractor's subject inventions.
(2) In the event of a refusal by a prospective
sub-recipient/contractor to accept such a clause the Recipient:
(i) Shall promptly submit a written notice to the Contracting
Officer setting forth the sub-recipient/contractor's reasons
for such refusal and other pertinent information that may
expedite disposition of the matter; and
(ii) Shall not proceed with such sub-award/contract without the
written authorization of the Contracting Officer.
(3) In the case of sub-awards/contracts at any tier, DOE, the
sub-recipient/contractor, and Recipient agree that the mutual
obligations of the parties created by this clause constitute a
contract between the sub-recipient/contractor and DOE with
respect to those matters covered by this clause.
(4) The Recipient shall promptly notify the Contracting Officer in
writing upon the award of any sub-award/contract at any tier
containing a patent rights clause by identifying the
sub-recipient/contractor, the applicable patent rights clause,
the work to be performed under the sub-award/contract, and the
dates of award and estimated completion. Upon request of the
Contracting Officer, the Recipient shall furnish a copy of such
sub-award/contract, and, no more frequently than annually, a
listing of the sub-awards/contracts that have been awarded.
(5) The Recipient shall identify all subject inventions of a
sub-recipient/contractor of which it acquires knowledge in the
performance of this agreement and shall notify the Patent
Counsel, with a copy to the contracting officer, promptly upon
identification of the inventions.
(h) Atomic Energy
(1) No claim for pecuniary award of compensation under the provisions
of the Atomic Energy Act of 1954, as amended, shall be asserted with
respect to any invention or discovery made or conceived in the course
of or under this agreement.
(2) Except as otherwise authorized in writing by the Contracting
Officer, the Recipient will obtain patent agreements to effectuate the
provisions of subparagraph (h)(1) of this clause from all persons who
perform any part of the work under this agreement, except non-technical
personnel, such as clerical employees and manual laborers.
(i) Publication
It is recognized that during the course of the work under this agreement, the
Recipient or its employees may from time to time desire to release or publish
information regarding scientific or technical developments conceived or first
actually reduced to practice in the course of or under this agreement. In order
that public disclosure of such information will not adversely affect the patent
interests of DOE or the Recipient, patent approval for release of publication
shall be secured from Patent Counsel prior to any such release or publication.
(j) Forfeiture of Rights in Unreported Subject Invention
(1) The Recipient shall forfeit and assign to the Government, at the
request of the Secretary of Energy or designee, all rights in any
subject invention which the Recipient fails to report to Patent Counsel
within six months after the time the Recipient:
(i) Files or causes to be filed a United States or foreign patent
application thereon; or
(ii) Submits the final report required by subparagraph (e)(3) of
this clause, whichever is later.
(2) However, the Recipient shall not forfeit rights in a subject
invention if, within the time specified in\sub-paragraph (e)(2) of this
clause, the Recipient:
(i) Prepares a written decision based upon a review of the record
that the invention was neither conceived nor first actually reduced
to practice in the course of or under the agreement and delivers the
decision to Patent Counsel, with a copy to the Contracting Officer,
or
(ii) Contending that the invention is not a subject invention, the
Recipient nevertheless discloses the invention and all facts
pertinent to this contention to the Patent Counsel, with a copy of
the Contracting Officer; or
(iii) Establishes that the failure to disclose did not result from
the Recipient's fault or negligence.
(3) Pending written assignment of the patent application and patents on
a subject invention determined by the Secretary of Energy or designee
to be forfeited (such determination to be a final decision under the
Disputes clause of this agreement), the Recipient shall be deemed to
hold the invention and the patent applications and patents pertaining
thereto in trust for the Government. The forfeiture provision of this
paragraph (j) shall be in addition to and shall not supersede other
rights and remedies which the Government may have with respect to
subject inventions.
3.8 Rights in Data - Programs Covered Under Special Data Statutes (OCT 2003)
(a) Definitions
Computer Data Bases, as used in this clause, means a collection of data in
a form capable of, and for the purpose of, being stored in, processed, and
operated on by a computer. The term does not include computer software.
Computer software, as used in this clause, means (i) computer programs
which are data comprising a series of instructions, rules, routines, or
statements, regardless of the media in which recorded, that allow or cause
a computer to perform a specific operation or series of operations and (ii)
data comprising source code listings, design details, algorithms,
processes, flow charts, formulae and related material that would enable the
computer program to be produced, created or compiled. The term does not
include computer data bases.
Data, as used in this clause, means recorded information, regardless of
form or the media on which it may be recorded. The term includes technical
data and computer software. The term does not include information
incidental to administration, such as financial, administrative, cost or
pricing or management information.
Form, fit, and function data, as used in this clause, means data relating
to items, components, or processes that are sufficient to enable physical
and functional interchangeability as well as data identifying source, size,
configuration, mating and attachment characteristics, functional
characteristics, and performance requirements except that for computer
software it means data identifying source, functional characteristics, and
performance requirements but specifically excludes the source code,
algorithm, process, formulae, and flow charts of the software.
Limited rights data, as used in this clause, means data (other than
computer software) developed at private expense that embody trade secrets
or are commercial or financial and confidential or privileged.
Restricted computer software, as used in this clause, means computer
software developed at private expense and that is a trade secret; is
commercial or financial and confidential or privileged; or is published
copyrighted computer software; including modifications of such computer
software.
Protected data, as used in this clause, means technical data or commercial
or financial data first produced in the performance of the award which, if
it had been obtained from and first produced by a non-federal party, would
be a trade secret or commercial or financial information that is privileged
or confidential under the meaning of 5 U.S.C. 552(b)(4) and which data is
marked as being protected data by a party to the award.
Protected rights, as used in this clause, mean the rights in protected data
set forth in the Protected Rights Notice of paragraph (g) of this clause.
Technical data, as used in this clause, means that data which are of a
scientific or technical nature. Technical data does not include computer
software, but does include manuals and instructional materials and
technical data formatted as a computer data base.
Unlimited rights, as used in this clause, means the right of the Government
to use, disclose, reproduce, prepare derivative works, distribute copies to
the public, and perform publicly and display publicly, in any manner and
for any purpose whatsoever, and to have or permit others to do so.
(b) Allocation of Rights
(1) Except as provided in paragraph (c) of this clause regarding copyright,
the Government shall have unlimited rights in -
(i) Data specifically identified in this agreement as data to be
delivered without restriction;
(ii) Form, fit, and function data delivered under this agreement;
(iii)Data delivered under this agreement (except for restricted
computer software) that constitute manuals or instructional and
training material for installation, operation, or routine
maintenance and repair of items, components, or processes
delivered or furnished for use under this agreement; and
(iv) All other data delivered under this agreement unless provided
otherwise for protected data in accordance with paragraph (g) of
this clause or for limited rights data or restricted computer
software in accordance with paragraph (h) of this clause.
(2) The Recipient shall have the right to -
(i) Protect rights in protected data delivered under this agreement in
the manner and to the extent provided in paragraph (g) of this
clause;
(ii)Withhold from delivery those data which are limited rights data or
restricted computer software to the extent provided in paragraph (h)
of this clause;
(iii)Substantiate use of, add, or correct protected rights or
copyrights notices and to take other appropriate action, in
accordance with paragraph (e) of this clause; and
(iv)Establish claim to copyright subsisting in data first produced in
the performance of this agreement to the extent provided in
subparagraph (c)(1) of this clause.
(c) Copyright
(1) Data first produced in the performance of this agreement. Except as
otherwise specifically provided in this agreement, the Recipient may
establish, without the prior approval of the Contracting Officer, claim
to copyright subsisting in any data first produced in the performance of
this agreement. If claim to copyright is made, the Recipient shall affix
the applicable copyright notice of 17 U.S.C. 401 or 402 and
acknowledgment of Government sponsorship (including agreement number) to
the data when such data are delivered to the Government, as well as when
the data are published or deposited for registration as a published work
in the U.S. Copyright Office. For such copyrighted data, including
computer software, the Recipient grants to the Government, and others
acting on its behalf, a paid-up nonexclusive, irrevocable, worldwide
license to reproduce, prepare derivative works, distribute copies to the
public, and perform publicly and display publicly, by or on behalf of
the Government, for all such data.
(2) Data not first produced in the performance of this agreement. The
Recipient shall not, without prior written permission of the Contracting
Officer, incorporate in data delivered under this agreement any data
that are not first produced in the performance of this agreement and
that contain the copyright notice of 17 U.S.C. 401 or 402, unless the
Recipient identifies such data and grants to the Government, or acquires
on its behalf, a license of the same scope as set forth in subparagraph
(c)(1) of this clause; provided, however, that if such data are computer
software, the Government shall acquire a copyright license as set forth
in subparagraph (h)(3) of this clause if included in this agreement or
as otherwise may be provided in a collateral agreement incorporated or
made a part of this agreement.
(3) Removal of copyright notices. The Government agrees not to remove any
copyright notices placed on data pursuant to this paragraph (c), and to
include such notices on all reproductions of the data.
(d) Release, Publication and Use of Data
(1) The Recipient shall have the right to use, release to others, reproduce,
distribute, or publish any data first produced or specifically used by
the Recipient in the performance of this contract, except to the extent
such data may be subject to the Federal export control or national
security laws or regulations, or unless otherwise provided in this
paragraph of this clause or expressly set forth in this contract.
(2) The Recipient agrees that to the extent it receives or is given access
to data necessary for the performance of this agreement which contain
restrictive markings, the Recipient shall treat the data in accordance
with such markings unless otherwise specifically authorized in writing
by the Contracting Officer.
(e) Unauthorized Marking of Data
(1) Notwithstanding any other provisions of this agreement concerning
inspection or acceptance, if any data delivered under this agreement are
marked with the notices specified in subparagraph (h)(2) or (h)(3) of
this clause and use of such is not authorized by this clause, or if such
data bears any other restrictive or limiting markings not authorized by
this agreement, the Contracting Officer may at any time either return
the data to the Recipient or cancel or ignore the markings. However, the
following procedures shall apply prior to canceling or ignoring the
markings.
(i) The Contracting Officer shall make written inquiry to the Recipient
affording the Recipient 30 days from receipt of the inquiry to
provide written justification to substantiate the propriety of the
markings;
(ii) If the Recipient fails to respond or fails to provide written
justification to substantiate the propriety of the markings within
the 30-day period (or a longer time not exceeding 90 days approved
in writing by the Contracting Officer for good cause shown), the
Government shall have the right to cancel or ignore the markings at
any time after said period and the data will no longer be made
subject to any disclosure prohibitions.
(iii) If the Recipient provides written justification to substantiate
the propriety of the markings within the period set in subdivision
(e)(1)(i) of this clause, the Contracting Officer shall consider
such written justification and determine whether or not the markings
are to be cancelled or ignored. If the Contracting Officer
determines that the markings are authorized, the Recipient shall be
so notified in writing. If the Contracting Officer determines, with
concurrence of the head of the contracting activity, that the
markings are not authorized, the Contracting Officer shall furnish
the Recipient a written determination, which determination shall
become the final agency decision regarding the appropriateness of
the markings unless the Recipient files suit in a court of competent
jurisdiction within 90 days of receipt of the Contracting Officer's
decision. The Government shall continue to abide by the markings
under this subdivision (e)(1)(iii) until final resolution of the
matter either by the Contracting Officer's determination become
final (in which instance the Government shall thereafter have the
right to cancel or ignore the markings at any time and the data will
no longer be made subject to any disclosure prohibitions), or by
final disposition of the matter by court decision if suit is filed.
(2) The time limits in the procedures set forth in subparagraph (e)(1) of
this clause may be modified in accordance with agency regulations
implementing the Freedom of Information Act (5 U.S.C. 552) if necessary
to respond to a request thereunder.
(f) Omitted or Incorrect Markings
(1) Data delivered to the Government without either the limited rights or
restricted rights notice as authorized by paragraph (g) of this clause,
or the copyright notice required by paragraph (c) of this clause, shall
be deemed to have been furnished with unlimited rights, and the
Government assumes no liability for the disclosure, use, or reproduction
of such data. However, to the extent the data has not been disclosed
without restriction outside the Government, the Recipient may request,
within 6 months (or a longer time approved by the Contracting Officer
for good cause shown) after delivery of such data, permission to have
notices placed on qualifying data at the Recipient's expense, and the
Contracting Officer may agree to do so if the Recipient -
(i) Identifies the data to which the omitted notice is to be applied;
(ii)Demonstrates that the omission of the notice was inadvertent;
(iii)Establishes that the use of the proposed notice is authorized; and
(iv)Acknowledges that the Government has no liability with respect to
the disclosure, use, or reproduction of any such data made prior to
the addition of the notice or resulting from the omission of the
notice.
(2) The Contracting Officer may also:
(i) Permit correction at the Recipient's expense of incorrect notices if
the Recipient identifies the data on which correction of the notice
is to be made, and demonstrates that the correct notice is
authorized; or
(ii)Correct any incorrect notices.
(g) Rights to Protected Data
(1) The Recipient may, with the concurrence of DOE, claim and mark as
protected data, any data first produced in the performance of this award
that would have been treated as a trade secret if developed at private
expense. Any such claimed "protected data" will be clearly marked with
the following Protected Rights Notice, and will be treated in accordance
with such Notice, subject to the provisions of paragraphs (e) and (f) of
this clause.
PROTECTED RIGHTS NOTICE
These protected data were produced under Agreement Number
DE-FC26-06NT42391 with the U.S. Department of Energy and may not be
published, disseminated, or disclosed to others outside the Government
until five years after the completion of the Demonstration Phase, unless
express written authorization is obtained from the recipient. Upon
expiration of the period of protection set forth in this Notice, the
Government shall have unlimited rights in this data. This Notice shall
be marked on any reproduction of this data, in whole or in part.
(End of notice).
(2) Any such marked Protected Data may be disclosed under obligations of
confidentiality for the following purposes:
(i) For evaluation purposes under the restriction that the "Protected
Data" be retained in confidence and not be further disclosed;
(ii) To subcontractors or other team members performing work under the
Government's Clean Coal Power Initiative program of which this award
is a part, for information or use in connection with the work
performed under their activity, and under the restriction that the
Protected Data be retained in confidence and not be further
disclosed.; or
(iii) As otherwise allowed in this agreement, use by the Government or
others on its behalf to the extent necessary to enable the
Government to complete the Statement of Project Objectives
(Attachment A) of this agreement.
(3) The obligations of confidentiality and restrictions on publication and
dissemination shall end for any Protected Data:
(i) At the end of the protected period;
(ii)If the data becomes publicly known or available from other sources
without a breach of the obligation of confidentiality with respect
to the Protected Data;
(iii)If the same data is independently developed by someone who did not
have access to the Protected Data and such data is made available
without obligations of confidentiality; or
(iv)If the Recipient disseminates or authorizes another to disseminate
such data without obligations of confidentiality.
(4) However, the Recipient agrees that the following types of data are not
considered to be protected and shall be provided to the Government when
required by this award without any claim that the data are Protected
Data. The parties agree that notwithstanding the following lists of
types of data, nothing precludes the Government from seeking delivery of
additional data in accordance with this award, or from making publicly
available additional non-protected data, nor does the following list
constitute any admission by the Government that technical data not on
the list is Protected Data.
UNLIMITED RIGHTS DATA
General
[**]
Design
[**]
(5) The Government's sole obligation with respect to any protected data
shall be as set forth in this paragraph.
(h) Protection of Limited Rights Data
(1) When data other than that listed in subparagraphs (b)(1)(i), (ii), and
(iii) of this clause are specified to be delivered under this agreement and
such data qualify as either limited rights data or restricted computer
software, the Recipient, if the Recipient desires to continue protection of
such data, shall withhold such data and not furnish them to the Government
under this agreement. As a condition to this withholding the Recipient
shall identify the data being withheld and furnish form, fit, and function
data in lieu thereof.
(2) Notwithstanding subparagraph (h)(1) of this clause, the agreement may
identify and specify the delivery of limited rights data, or the Contracting
Officer may require by written request the delivery of limited rights data that
has been withheld or would otherwise be withholdable. If delivery of such data
is so required, the Recipient may affix the following "Limited Rights Notice" to
the data and the Government will thereafter treat the data, in accordance with
such Notice:
LIMITED RIGHTS NOTICE
(a) These data are submitted with limited rights under Government
Agreement Number DE-FC26-06NT42391. These data may be reproduced and
used by the Government with the express limitation that they will
not, without written permission of the Recipient, be used for
purposes of manufacture nor disclosed outside the Government; except
that the Government may disclose these data outside the Government
for the following purposes, if any, provided that the Government
makes such disclosure subject to prohibition against further use and
disclosure:
(1) Use (except for manufacture) by Federal support services
contractors within the scope of their contracts;
(2) This "limited rights data" may be disclosed for evaluation
purposes under the restriction that the "limited rights data" be
retained in confidence and not be further disclosed;
(3) This "limited rights data" may be disclosed to other contractors
participating in the Government's program of which this
Recipient is a part for information or use (except for
manufacture) in connection with the work performed under their
awards and under the restriction that the "limited rights data"
be retained in confidence and not be further disclosed;
(4) This "limited rights data" may be used by the Government or
others on its behalf for emergency repair or overhaul work under
the restriction that the "limited rights data" be retained in
confidence and not be further disclosed;
(5) Release to a foreign government, or instrumentality thereof, as
the interests of the United States Government may require, for
information or evaluation, or for emergency repair or overhaul
work by such government. This Notice shall be marked on any
reproduction of this data in whole or in part; and
(6) As otherwise allowed in this agreement, use by the Government or
others on its behalf to the extent necessary to enable the
Government to complete the Statement of Project Objectives
(Attachment A) of this agreement.
(b) This Notice shall be marked on any reproduction of these data, in
whole or in part.
(End of notice)
(h)(3) Notwithstanding subparagraph (h)(1) of this clause, the agreement may
identify and specify the delivery of restricted computer software, or the
Contracting Officer may require by written request the delivery of restricted
computer software that has been withheld or would otherwise be withholdable. If
delivery of such computer software is so required, the Recipient may affix the
following "Restricted Rights Notice" to the computer software and the Government
will thereafter treat the computer software, subject to paragraphs (e) and (f)
of this clause, in accordance with the Notice.
RESTRICTED RIGHTS NOTICE
(a) This computer software is submitted with restricted rights under
Government Agreement Number DE-FC26-06NT42391. It may not be used,
reproduced, or disclosed by the Government except as provided in
paragraph (b) of this Notice or as otherwise expressly stated in the
agreement.
(b) This computer software may be -
(1) Used or copied for use in or with the computer or computers for
which it was acquired, including use at any Government installation
to which such computer or computers may be transferred;
(2) Used or copied for use in a backup computer if any computer for
which it was acquired is inoperative;
(3) Reproduced for safekeeping (archives) or backup purposes;
(4) Modified, adapted, or combined with other computer software,
provided that the modified, combined, or adapted portions of the
derivative software are made subject to the same restricted rights;
(5) Disclosed to and reproduced for use by support service Contractors
in accordance with subparagraph (b)(1) through (4) of this clause,
provided the Government makes such disclosure or reproduction
subject to these restricted rights;
(6) Used or copied for use in or transferred to a replacement computer;
and
(7) As otherwise allowed in this agreement, use by the Government or
others on its behalf to the extent necessary to enable the
Government to complete the Statement of Project Objectives
(Attachment A) of this agreement.
(c) Notwithstanding the foregoing, if this computer software is published
copyrighted computer software, it is licensed to the Government, without
disclosure prohibitions, with the minimum rights set forth in paragraph
(b) of this clause.
(d) Any other rights or limitations regarding the use, duplication, or
disclosure of this computer software are to be expressly stated, in, or
incorporated in, the agreement.
(e) This Notice shall be marked on any reproduction of this computer
software, in whole or in part.
(End of notice)
(ii) Where it is impractical to include the Restricted Rights Notice on
restricted computer software, the following short-form Notice may be used in
lieu thereof:
RESTRICTED RIGHTS NOTICE
Use, reproduction, or disclosure is subject to restrictions set forth
in Agreement Number DE-FC26-06NT42391 with Southern Company Services,
Inc.
(End of notice)
(iii) If restricted computer software is delivered with the copyright notice of
17 U.S.C. 401, it will be presumed to be published copyrighted computer software
licensed to the government without disclosure prohibitions, with the minimum
rights set forth in paragraph (b) of this clause, unless the Recipient includes
the following statement with such copyright notice: "Unpublished -- rights
reserved under the Copyright Laws of the United States."
(i) Sub-award/Contract
The Recipient has the responsibility to obtain from its
sub-recipients/contractors all data and rights therein necessary to fulfill
the Recipient's obligations to the Government under this agreement. If a
sub-recipient/contractor refuses to accept terms affording the Government
such rights, the Recipient shall promptly bring such refusal to the
attention of the Contracting Officer and not proceed with
sub-award/contract award without further authorization.
(j) Additional Data Requirements
In addition to the data specified elsewhere in this agreement to be
delivered, the Contracting Officer may, at anytime during agreement
performance or within a period of 3 years after acceptance of all items to
be delivered under this agreement, order any data first produced or
specifically used in the performance of this agreement. This clause is
applicable to all data ordered under this subparagraph. Nothing contained
in this subparagraph shall require the Recipient to deliver any data the
withholding of which is authorized by this clause or data which are
specifically identified in this agreement as not subject to this clause.
When data are to be delivered under this subparagraph, the Recipient will
be compensated for converting the data into the prescribed form, for
reproduction, and for delivery.
(k) The Recipient agrees, except as may be otherwise specified in this agreement
for specific data items listed as not subject to this paragraph, that the
Contracting Officer or an authorized representative may, up to three years
after acceptance of all items to be delivered under this contract, inspect
at the Recipient's facility any data withheld pursuant to paragraph (h) of
this clause, for purposes of verifying the Recipient's assertion pertaining
to the limited rights or restricted rights status of the data or for
evaluating work performance. Where the Recipient whose data are to be
inspected demonstrates to the Contracting Officer that there would be a
possible conflict of interest if the inspection were made by a particular
representative, the Contracting Officer shall designate an alternate
inspector.
3.9 Limited Rights Data (JAN 2004)
The limited rights data subject to the "Rights in Data" clause in this award are
listed below. This listing of data, which are asserted by the Recipient to be
limited rights data, does not constitute an admission by the Government that the
data is in fact limited rights data.
LIMITED RIGHTS DATA
Design
[**]
Operations
[**]
If a patent is issued by the United States Patent and Trademark Office or the
patent office of any foreign country based on any information asserted to be
limited rights data, the Government will no longer treat any data contained in
such issued patent as limited rights data. In addition, if any information
asserted to be limited rights data results in or becomes a Subject Invention, as
that term is defined in the patent rights clause of this agreement, the
Government will only treat such data as limited rights data until the Recipient
has filed its initial patent application.
The Recipient shall not introduce or utilize any limited rights data not
identified in paragraph (1) above in the performance of the award without the
expressed written permission of the Contracting Officer.
3.10 Restricted Computer Software (JAN 2004)
The restricted computer software subject to the provisions of the "Rights in
Data" clause in this agreement are listed below. This list of software programs,
which are asserted by the Recipient to be restricted computer software, does not
constitute an admission by the Government that the software is in fact
restricted computer software.
RESTRICTED COMPUTER SOFTWARE
[**]
The Recipient shall not introduce or utilize any restricted computer software
not identified above without advance written notification of the Contracting
Officer.
3.11 Protected Data (JAN 2004)
The following is a listing of data anticipated to be generated under this award
that the Recipient expects will qualify as "Protected Data," as that term is
defined in the "Rights in Data" clause in this award. Incorporating this listing
of data into this agreement does not constitute a guarantee by the Government
that the data will in fact qualify for this designation.
PROTECTED DATA
[**]
If a patent is issued by the United States Patent and Trademark Office or the
patent office of any foreign country based on any information asserted to be
Protected Data, the Government will no longer treat any data contained in such
issued patent as Protected Data. In addition, if any information asserted to be
Protected Data results in or becomes a Subject Invention, as that term is
defined in the patent rights clause of this agreement, the Government will only
treat such data as Protected Data until the Recipient has filed its initial
patent application.
3.12 Availability of contract and other data. (DEC 2003)
The Participant will, for the entire period of Participant's participation in
the project at the Facility (including operation of the Facility) and for three
years thereafter, whether or not under a Government Cooperative Agreement, keep
and maintain all technical data, including limited rights data and data obtained
from subcontractors and licensors, necessary to construct and/or operate the
Facility, and all data including business and financial data necessary to
evaluate the technical and economic operation of the Facility. During the entire
period of construction and/or operation of the Facility, regardless of whether
the Government participates past Design, the Participant shall permit the
Government and its representative the right to inspect at the Facility any data
kept and maintained pursuant to this paragraph.
3.13 Commercialization of Demonstration Technology. (DEC 2003)
[**]
3.16 52.227-23 Rights to Proposal Data (Technical). (JUN 1987)
Except for data contained on pages 1, 2, 5, 6, 8, 10, 11, 12, 14, 16, 17, 18,
19, 20, 21, 22, 23, 26, 27, 28, 29, 30, 31, 32, 33, 34, 35, 37, 38, 39, 40, 41,
42, 43, 44, 45, 46, 47, 48, 51, 52, 53, 54, 55, 56, 57, 58, 59, 61, 62, 63, 64,
65, 66, 67, 68, 69, 70, 71, 72, 73, 74, 75; Appendix A, - 1, 2, 3, 4, 5, 6, 7,
8, 9, 10, 11, 12, 13; Appendix B - 1, 2, 3, 4, 5, 6, 7, 8; Appendix C - 1;
Appendix D - 2, 3, 18, 19, 20, 21, 23, 24, 27 of the Project Narrative, it is
agreed that as a condition of award of this contract, and notwithstanding the
conditions of any notice appearing thereon, the Government shall have unlimited
rights (as defined in the "Rights in Data - General" or the "Rights in Data -
Programs Covered Under Special Data Statutes" clause contained in this contract)
in and to the technical data contained in the Project Narrative portion of the
proposal dated June 10, 2004. All other parts of the proposal are considered to
be Limited Rights Data containing sensitive business information and corporate
trade secrets of the Recipient and/or of certain subcontractors.
SECTION IV - LIST OF ATTACHMENTS
Attachment A - Statement of Project Objectives
Attachment B - Reporting Requirements
Attachment C - Budget Page(s)
Attachment D - Repayment Agreement
ATTACHMENT A
STATEMENT OF PROJECT OBJECTIVES
DEMONSTRATION OF A 285-MW COAL-BASED TRANSPORT GASIFIER
[**] (10 pages)
ATTACHMENT B
DOE F 4600.2
(10/2001)
(All Other Editions are Obsolete)
U.S. Department of Energy
FEDERAL ASSISTANCE REPORTING CHECKLIST
- --------------------------------------------------------------------------------
1. Identification Number: 2. Program/Project Title:
DE-FC26-06NT42391 285MW Coal-Based Transport Gasifier
- --------------------------------------------------------------------------------
3. Recipient:
Southern Company Services, Inc.
- --------------------------------------------------------------------------------
4. Reporting Requirements: Frequency No. of Copies Addresses
-----------------------------------------------------------------------------
I. MANAGEMENT REPORTING
[X]Progress Report Q Electronic FITS@NETL.DOE.GOV
[X]Special Status Report A version to
NETL>
II. SCIENTIFIC/TECHNICAL REPORTING
[X]Final Scientific/Technical Report DOE F 241.3 FG Electronic http://www.osti.gov/elink-2413
[X]Topical Report DOE F 241.3 A version to
[X]Journal Articles/Conference Papers/Proceedings A E-link> (Note-software/manual must be sent to award
DOE F 241.3 administrator-see instructions under section
[ ]DOE 421.4, Software/Manual DOE F 241.3 B-software)
[ ]Conference Record DOE F 241.3
III. FINANCIAL REPORTING Electronic
Version to
NETL> FITS@NETL.DOE.GOV
[X]SF-269 or SF-269A, Financial Status Report Q, FG
[ ]SF-272, Federal Cash Transactions Report
IV. CLOSEOUT REPORTING Electronic
Version to
NETL> FITS@NETL.DOE.GOV
[X]DOE F 2050.11, Patent Certification FC
[ ]NETL F 580.1-9, Property Certificate
[ ]SF-120, Report of Excess Personal Property
V. OTHER REPORTING
[ ]NETL F 580.1-8, Annual Report of Property in
the Custody of Contractors
[ ]NETL F 580.1-25, High Risk Property Report
[X]Environmental Compliance Plan A
[X]Environmental Monitoring Plan A
[X]Environmental Status Report Q
[X]Other SEE STATEMENT OF PROJECT OBJECTIVES
- --------------------------------------------------------------------------------------------------------------------------------
FREQUENCY CODES AND DUE DATES:
A - As required; see attached text for applicability.
FG - Final; within ninety (90) calendar days after the project period ends.
FC - Final - End of Effort.
Q - Quarterly; within thirty (30) calendar days after end of the calendar
quarter or portion thereof.
S - Semiannually; within thirty (30) calendar days after end of project
year and project half-year.
YF - Yearly; 90 calendar days after the end of project year.
YP - Yearly Property - due 15 days after period ending 9/30.
- --------------------------------------------------------------------------------
5. SPECIAL INSTRUCTIONS:
* Reports/Products must be submitted with appropriate DOE F 241. The
241 forms are available at www.osti.gov/elink The forms identified
in the checklist are available at http://grants.pr.doe.gov.
Alternate formats are acceptable provided the contents remain
consistent with the form.
- --------------------------------------------------------------------------------
GENERAL INSTRUCTIONS FOR THE PREPARATION AND SUBMISSION OF ELECTRONIC REPORTS
(JAN 2005)
The Recipient must prepare and submit all scientific/technical reports
(including conference papers/proceedings, journal articles, software, and
topical reports, if applicable) via E-link at http://www.osti.gov/elink-2413
[see specific instructions below regarding form submittal and format]. If you
have any technical problems with using E-Link or DOE Form 241.3, calls should be
directed to OSTI at 865-576-1223. However, if your question is related to other
submission issues, you should contact the award administrator identified under
block 12 of the DOE F 4600.1 Notice of Financial Assistance Award
face page.
For all other reports indicated on the "Federal Assistance Reporting Checklist"
(including management, financial, closeout and other reporting), the Recipient
must prepare and submit these via the internet at FITS@NETL.DOE.GOV .
Successful completion of this award is contingent upon submittal of the reports
or items specified on the "Federal Assistance Reporting Checklist" in accordance
with the following instructions:
Failure to follow these instructions can delay data entry of the report(s) into
the NETL FEDERAL INFORMATION TRACKING SYSTEM (FITS) and result in the report
being lost or considered delinquent.
The level of detail the Recipient provides in the reports must be commensurate
with the scope and complexity of the effort and must be as delineated in the
guidelines and instructions contained herein. The prime Recipient must be
responsible for acquiring data from any contractors or sub recipients and
ensuring that any information submitted is compatible with the requirements of
the DOE.
GUIDELINES FOR ELECTRONIC SUBMISSION AND FILE FORMAT OF NON-SCIENTIFIC/TECHNICAL
REPORTS (includes management, financial, closeout and other reporting).
Production of high-quality, electronic documents are dependent on the quality of
the input that is provided. Thus, the Recipient must submit an electronic
version of each report.
ELECTRONIC REPORTS MUST BE SUBMITTED IN THE ADOBE ACROBAT PORTABLE DOCUMENT
FORMAT (PDF). ELECTRONIC REPORTS SUBMITTED IN A FORMAT OTHER THAN ADOBE WILL BE
RETURNED AND THE REPORT CONSIDERED DELINQUENT. IN ADDITION, THERE CAN BE NO
RESTRICTIONS ON THE PDF FILE SUBMITTED THAT WOULD AFFECT OUR ABILITY TO OPEN OR
EDIT THE REPORT DOCUMENT. THEREFORE, THE ONLY SECURITY METHOD THAT WILL BE
ACCEPTED IS THE ADOBE ACROBAT "NO SECURITY' OPTION. THIS WILL ENABLE US TO
PROPERLY INDEX AND PROCESS REPORT FILES.
Each report must be one integrated file that contains all text, tables,
diagrams, photographs, schematics, graphs, and charts. Files must not be
write-protected or encrypted in any manner.
The electronic file(s) must be submitted via the Internet at: FITS@NETL.DOE.GOV.
An e-mail message sent in conjunction with the file must contain the following
information:
DOE Award Number
Type of Report(s)
Frequency of Report(s)
Reporting Period (if applicable)
Name of submitting organization
Name, phone number and fax number of preparer
MANAGEMENT REPORTING
PROGRESS REPORT
The Progress Report must provide a concise narrative describing the
current status of work. The report allows Recipients to communicate
developments, achievements, changes and problems. The report must
include the following information:
1. The DOE award number and name of the recipient.
2. The project title and name of the project director/principal
investigator.
3. Date of report and period covered by the report.
4. Executive Summary- A well organized summary that highlights the
important accomplishments and new knowledge realized from the
project during the reporting period. This summary must be more
comprehensive than the traditional "abstract" and identify
noteworthy advancements in research, design, manufacture or
commercialization of technology developments. Also, summarize
important breakthroughs that resolve critical science and
technology risks or development barriers.
5. The Recipient enters a brief narrative discussion of the
following topics: approach changes; performance variances,
accomplishments, or problems; open times; and status assessment
and forecast. Each of these topics is addressed, as appropriate,
for a given reporting period and the report is submitted
periodically, as required, during the life of the project
6. Baseline and Status Reports. The Baseline Plan is a report which
is used to present projected cost and activity data. The
Baseline Plan presents discrete, measurable units of the
proposed work. The plan will provide a specific outline of what
the Recipient intends to do through a Work Breakdown Structure
and the time and cost involved. The cost data to be entered must
depict projected total costs for the life of the project on a
monthly basis broken down by each element of the Work Breakdown
Structure. The activity data required are identification of
tasks required to complete the project according to the Work
Breakdown Structure and a delineation of the project's major
milestones. This plan will be developed and submitted to serve
as the standard against which status and progress can be
measured during the performance period.
The Status Report shall provide the performance information
required to determine program effectiveness and the information
which DOE requires to maintain accountability for public funds.
The report must show approved budget by budget period and actual
costs incurred. If cost sharing is required costs must be broken
out by DOE share, awardee share, and total costs. The report
must show actual costs, schedule progress, and work completed to
date. This data must be provided for each reporting period,
broken down by month for each element of the Work Breakdown
Structure.
Milestones, anticipated completion dates, and actual completion
dates must be listed to show schedule status. The schedule
status must identify any milestones that were not met during the
reporting period and reasons why the established milestones were
not met. Explanations should also provide an approximate date
when the milestone will be met. Awardees may use project
management software, such as Microsoft Project, to measure and
report cost and schedule status.
When the status report is compared with the Baseline Plan,
accomplishments can be noted, problems become apparent, and
corrective action can be taken. The Status Report is a report on
which the Recipient provides cost and activity data for each
reporting period relative to the Baseline Plan. The information
should be displayed so that the baseline for the project is
clear and the status of the project relative to the baseline is
clear. The report may consist of more than one page as
necessary.
7. Results and Discussion - A detailed discussion of the progress
performance. It is extremely important that this section
includes enough relevant data, especially statistical data, to
allow the project manager to justify the conclusions. With the
relevant data, explain how the data was interpreted and how it
relates to the original purpose of the research. Be concise in
the discussion on how this research effort solved or contributed
to solving the original problem. When investigation methods
and/or procedures are being utilized for the first time, they
shall be described in detail. This description shall contain
detailed information on equipment and procedures utilized, as
well as providing a rationale for their use and the accuracy of
the method.
8. Conclusion - The conclusion should not simply reiterate what was
already included in the "Results and Discussion" section. It
should, however, summarize what has already been presented, and
include any logical implications of how the successes are
relevant to technology development in the future. This is
extremely important, since "relevancy" continues to be a
criterion of the program.
This section should not contain any trade secrets, business
sensitive or classified data, or other information not subject
to public release. If such information is important to reporting
project progress, it should be presented in a separate appendix,
following the instructions in the clause entitled "Supplemental
Guidelines" regarding submission of a separate appendix for this
type of restricted data.).
9. A summary of all of the significant accomplishments during this
reporting period. An "accomplishment" is a significant
development or finding that advances the state-of-the-art with
respect to the technology of interest or significantly
contributes to the understanding of a concept or technology.
10. Actual or anticipated problems or delays and actions taken or
planned to resolve them. Identify any event causing a
significant schedule slippage or cost growth; an environmental,
safety, or health violation; or the achievement of or problems
encountered for an important performance objective.
11. A description of any technology transfer activities accomplished
during this reporting period. Identify and describe any
activities to transfer research results or developed technology
to other research stakeholders or users of the technology.
SPECIAL STATUS REPORT
The recipient must report the following events to the DOE Project
Officer by e-mail as soon as possible after they occur: The e-mail
correspondence should include:
1. Recipient's name and address;
2. Award title and number;
3. Date;
4. Brief statement of problem or event;
5. Anticipated impacts; and
6. Corrective action taken or recommended.
The Special Status Report should document the incidents listed
below:
1. Developments that have a significant favorable impact on the
project.
2. Problems, delays, or adverse conditions which materially impair
the recipient's ability to meet the objectives of the award or
which may require DOE to respond to questions relating to such
events from the public. The recipient must report any of the
following incidents and include the anticipated impact and
remedial action to be taken to correct or resolve the
problem/condition:
a. Any single fatality or injuries requiring hospitalization of
five or more individuals.
b. Any significant environmental permit violation.
c. Any verbal or written Notice of Violation of any
Environmental, Safety, and Health statutes.
d. Any incident which causes a significant process or hazard
control system failure.
e. Any event which is anticipated to cause a significant
schedule slippage or cost increase.
f. Any damage to Government-owned equipment in excess of
$50,000.
g. Any other incident that has the potential for high
visibility in the media.
h. Any incident which causes a significant process or hazard
control system failure, or is indicative of one which may
lead to any of the above defined incidents, is to be
reported as soon as possible, but within 5 days of
discovery.
When an event results in the need to issue a written or verbal
statement to the local media, the statement is to be cleared first; if
possible, and coordinated with NETL Communications and Public Affairs
Division, the DOE Project Officer and the Contracting Officer.
III. SCIENTIFIC/TECHNICAL REPORTING
Scientific/Technical Reporting includes: Final Scientific/Technical
Report, Topical Reports, Journal Articles, Conference Proceedings and
Papers, Software, and Conference Records.
FINAL SCIENTIFIC/TECHNICAL REPORT
The Final Scientific/Technical Report shall document and summarize all
work performed during the award period in a comprehensive manner. It
shall also present findings and/or conclusions produced as a
consequence of this work. This report shall not merely be a compilation
of information contained in other reports, but shall present that
information in an integrated fashion, and shall be augmented with
findings and conclusions drawn from the research as a whole.
TOPICAL REPORTS
Topical reports are intended to provide a comprehensive statement of
the technical results of the work performed for a specific task or
subtask of the Statement of Project Objectives, or detail significant
new scientific or technical advances. If required, DOE shall review and
approve the report outline prior to submission of the report.
These reports usually provide a comprehensive statement of the
technical results of the work performed for a specific task or subtask
of the Statement of Project Objectives, or detail significant new
scientific or technical advances. If required, DOE shall review and
approve the report outline prior to submission of the report.
Two Topical Reports (as a minimum) are required. The two required
reports are the Preliminary Public Design Report and the Final Public
Design Report. The purpose of the Public Design Reports is to
consolidate for public use all available nonproprietary design
information on the project. The Preliminary Public Design Report is
based on the preliminary design information and is due at the end of
preliminary design. The Final Public Design Report is based on detailed
design information and is due after completion of the Design Phase of
the project, 60 days prior to completion of the Construction Phase of
the project. The Final Public Design Report should contain sufficient
background information to provide an overview of the project and
pertinent cost data. Since the scope of the reports is limited to
nonproprietary information, their content will not be sufficient to
provide a complete tool in designing a replicate plant. However, these
reports will serve as a reference for the design considerations
involved in a commercial-scale facility.
The reports should include an overview description of the technology
and a summary of the mass and energy balances for the process. They
should also define the overall process performance requirements and
describe the evaluations and operating philosophies upon which those
performance requirements are based. A summary cost estimate of capital
and operating costs and, if possible, an analysis of how costs could be
improved for future commercial projects should also be included.
The following deliverables are also to be included as components of the
Preliminary Public Design Report addressing the preliminary design:
Process Flow Diagrams
The Participant shall provide a complete set of nonproprietary Process
Flow Diagrams with all updates and modifications.
Stream Data
The Participant shall provide a complete set of all nonproprietary
stream data. This would include both the expected values and ranges of
flows, stream properties, and constituents at various operating
conditions.
Equipment List
The Equipment List consists of a summary of the major equipment for the
plant. Equipment is to be sorted by Flow Diagram, equipment type, and
equipment number. General description data are to be provided for each
equipment item, including, but not limited to, the number required for
operation, size or capacity, major nonproprietary operating and design
parameters, and manufacturer and/or vendor.
The Final Public Design Report shall include the final versions of the
Preliminary Public Design Report plus the following:
Drawings
The Participant shall include a complete set of Equipment Plot and
Elevation Drawings, and Process and Instrumentation Diagrams, which
describe the plant configuration at the end of the demonstration
period.
Plant Capital Cost Data
The Participant shall include the data and documentation for all
projected costs associated with the construction of the plant, with a
breakdown which would permit this information to be used for projecting
future plant construction costs.
Plant Operating Cost Data
The participant shall include the data and documentation for all
projected costs associated with the operation of the plant under
conditions that represent reliable plant performance.
GUIDELINES FOR ELECTRONIC SUBMISSION AND ORGANIZATION OF FINAL
SCIENTIFIC/TECHNICAL AND TOPICAL REPORTS
Electronic Submission. The final scientific/technical report and topical reports
must be submitted electronically via the DOE Energy Link System (E-Link) at
http://www.osti.gov/elink-2413.
Electronic Format. REPORTS MUST BE SUBMITTED IN THE ADOBE PORTABLE DOCUMENT
FORMAT (PDF) AND BE ONE INTEGRATED PDF FILE THAT CONTAINS ALL TEXT, TABLES,
DIAGRAMS, PHOTOGRAPHS, SCHEMATIC, GRAPHS, AND CHARTS. ELECTRONIC REPORTS
SUBMITTED IN A FORMAT OTHER THAN ADOBE WILL BE RETURNED AND THE REPORT
CONSIDERED DELINQUENT. IN ADDITION, THERE CAN BE NO RESTRICTIONS ON THE PDF FILE
SUBMITTED THAT WOULD AFFECT OUR ABILITY TO OPEN OR EDIT THE REPORT DOCUMENT.
THEREFORE, THE ONLY SECURITY METHOD THAT WILL BE ACCEPTED IS THE ADOBE ACROBAT
"NO SECURITY' OPTION. THIS WILL ENABLE US TO PROPERLY INDEX AND PROCESS REPORT
FILES.
Materials, such as prints, videos, and books, that are essential to the report
but cannot be submitted electronically, should be sent to the DOE Award
Administrator at the address listed in Block 12 of the Notice of Financial
Assistance Award.
Submittal Form. The report must be accompanied by a completed electronic version
of DOE Form 241.3, "U.S. Department of Energy (DOE), Announcement of Scientific
and Technical Information (STI)." You can complete, upload, and submit the DOE
F.241.3 online via E-Link. You are encouraged not to submit Protected EPAct
Information in these electronic technical reports. These technical reports must
also not contain any Limited Rights Data (such as trade secret, proprietary or
business sensitive information), classified information, information subject to
export control classification, or other information not subject to release. Such
information must be submitted in a separate hard-copy appendix to the electronic
technical and topical reports as explained under Supplemental Guidelines below.
Organization. The following sections should be included (as appropriate) in the
final scientific/technical report and topical reports in the sequence shown. Any
section denoted by an asterisk is required in all final technical and topical
reports.
TITLE PAGE* - The Title Page of the report itself must contain the
following information in the following sequence:
Report Title
Type of Report (Final Scientific/Technical or Topical)
Reporting Period Start Date
Reporting Period End Date
Principal Author(s)
Date Report was Issued (Month [spelled out] and Year
[4 digits])
DOE Award Number (e.g., DE-FG26-05NT12345) and if
appropriate, task number
Name and Address of Submitting Organization (This
section should also contain the name and address of
significant subcontractors/sub-recipients
participating in the production of the report.)
DISCLAIMER* -- The Disclaimer must follow the title page, and must
contain the following paragraph:
"This report was prepared as an account of work
sponsored by an agency of the United States
Government. Neither the United States Government nor
any agency thereof, nor any of their employees, makes
any warranty, express or implied, or assumes any
legal liability or responsibility for the accuracy,
completeness, or usefulness of any information,
apparatus, product, or process disclosed, or
represents that its use would not infringe privately
owned rights. Reference herein to any specific
commercial product, process, or service by trade
name, trademark, manufacturer, or otherwise does not
necessarily constitute or imply its endorsement,
recommendation, or favoring by the United States
Government or any agency thereof. The views and
opinions of authors expressed herein do not
necessarily state or reflect those of the United
States Government or any agency thereof."
ABSTRACT* - should be a brief, concise summary of the report.
TABLE OF CONTENTS*
EXECUTIVE SUMMARY* - this should be a well organized summary that
highlights the important accomplishments of the research during the
reporting period. It should be no less than one page and no more than
two pages in length, and should be single spaced. This summary must be
more comprehensive than the traditional "abstract."
REPORT DETAILS - The body of the final scientific/technical or topical
report should address topics such as the following:
Experimental methods: Describe, or reference all experimental
methods being utilized. Also provide detail(s) about materials
and equipment used. Standard methods should reference the
appropriate literature, where details can be obtained. Equipment
should be described only if it is not standard, or if
information is not available thru the literature or other
reference publications.
Results and discussions: This section should include enough
relevant data, especially statistical data, to allow the project
manager to justify the conclusions. Explain how the data was
interpreted and how it relates to the original purpose of the
research. Be concise in the discussion on how this research
effort solved or contributed to solving the original problem.
Conclusion: The conclusion should not simply reiterate what was
already included in "Results and Discussion" but should
summarize what has already been presented, and include any
logical implications of how the successes are relevant to
technology development in the future. This is extremely
important, since "relevancy" continues to be a criterion of the
program.
GRAPHICAL MATERIALS LIST(S)
REFERENCES
BIBLIOGRAPHY
LIST OF ACRONYMS AND ABBREVIATIONS
APPENDICES (IF NECESSARY)
SUPPLEMENTAL GUIDELINES
Technical reporting SHALL NOT include Limited Rights Data (such as
restricted, proprietary or business sensitive information). Limited
Rights Data, if required to meet the reporting requirements, shall be
submitted in a separate appendix to the technical report. This appendix
SHALL NOT be submitted in an electronic format but rather submitted in
ONE ORIGINAL AND THREE (3) PAPER COPIES along with the paper version of
the sanitized technical report deliverable. The appendix shall not be
referenced in or incorporated into the sanitized technical report
deliverable under the contract. The appendix must be appropriately
marked and identified. Further, if this award authorizes the awardee
under the provisions of The Energy Policy Act of 1992 to request
protection from public disclosure for a limited period of time of
certain information developed under this award, technical reports SHALL
NOT contain such Protected EPAct Information. Such information shall be
submitted in a separate appendix to the technical report that is
suitable for release after the agreed upon period of protection from
public disclosure has expired. The appendix shall not be referenced in
or incorporated into the sanitized technical report deliverable under
the contract. In accordance with the clause titled "Rights in
data--programs covered under special data statutes," the appendix must
be appropriately marked and identified
Company Names and Logos -- Except as indicated above, company names,
logos, or similar material should not be incorporated into reports.
Copyrighted Material -- Copyrighted material should not be submitted as
part of a report unless written authorization to use such material is
received from the copyright owner and is submitted to DOE with the
report.
Measurement Units -- All reports to be delivered under this instrument
shall use the SI Metric System of Units as the primary units of
measure. When reporting units in all reports, primary SI units shall be
followed by their U.S. Customary Equivalents in parentheses ( ). The
Recipient shall insert the text of this clause, including this
paragraph, in all subcontracts under this award. Note: SI is an
abbreviation for "Le Systeme International d'Unites."
ELECTRONIC MEDIA STANDARD FOR PREPARATION OF TECHNICAL REPORTS
PRESENTATION: The Recipient shall submit one quality permanent paper
copy for storage (permanent or alkaline paper) and an electronic
version of each technical report in PDF format. ELECTRONIC REPORTS MUST
BE SUBMITTED IN THE ADOBE ACROBAT PORTABLE DOCUMENT FORMAT (PDF).
REPORTS SUBMITTED IN A FORMAT OTHER THAN ADOBE WILL BE REJECTED,
RETURNED AND CONSIDERED DELINQUENT. The report must be one complete
integrated file containing all text, tables, diagrams, photographs,
schematics, graphs, and charts. Multiple files for various report
segments are unacceptable and will be rejected. The electronic file(s)
may be submitted on an ISO9660-format CD-ROM.
FORMAT: The electronic file(s) must be submitted on CD-ROM and labeled
as follows:
DOE Award Number
Type/Frequency of Report(s)
Reporting Period (if applicable)
Name of submitting organization
Name, phone number and fax number of preparer
JOURNAL ARTICLES, CONFERENCE PAPERS AND PROCEEDINGS GENERATED BY LARGE
BUSINESSES FOR DOE REVIEW
The Recipient shall submit to DOE for review and approval all documents
generated by the Recipient, or any subcontractor, which communicate the
results of scientific or technical work supported by DOE under this
award, whether or not specifically identified in the award, prior to
submission for publication, announcement, or presentation. Such
documents include journal articles, conference papers and proceedings,
etc. The Recipient shall simultaneously submit a draft version of the
document to the DOE Project Officer and the DOE Patent Counsel Office
prior to the publication, presentation, or announcement. The DOE
Project Officer and DOE Patent Counsel shall review the draft version
of the document and notify the Recipient of approval or recommended
changes. The approved final version shall be submitted to the NETL AAD
Document Control Coordinator.
The following information shall be provided for conference papers and
proceedings, etc.
-- Name of conference
-- Location of conference (city, state, and country)
-- Date of conference (month/day/year)
-- Conference sponsor
CONFERENCE RECORD
The "Conference Record" documents for the DOE Project Officer, DOE
Contracting Officer, and the Recipient an understanding of significant
decisions, direction or redirection, or required actions resulting from
meetings with DOE representatives. It is required for any meeting,
conference, or phone conversation in which a decision is made that may
change the schedule, labor, cost, or technical aspects of the award or
the approved baseline plans. The report shall contain the following
information as applicable:
1. Report title ("Conference Record"), number, and the date
prepared.
2. Award title and number, and the Recipient's name and address.
3. Date of meeting or telephone conversation, with a list of those
involved and their titles.
4. Subject(s) discussed, decisions reached, and directions given.
5. Variances from previous directions and conclusions.
6. Required actions.
7. Distribution.
8. Signature of preparer.
III. FINANCIAL REPORTING
FINANCIAL STATUS REPORT (STANDARD FORM 269 OR 269A)
This report is used for the Recipient to provide regular periodic
accounting of project funds expended. The accounting may be on either a
cash or accrual basis. Actual total expenditures and obligations
incurred, but not paid, are reported for each reporting period for each
major activity. Provision is made to identify the Federal and
non-Federal share of project outlays for each identified activity.
IV. CLOSEOUT REPORTING
PATENT CERTIFICATION (DOE F 2050.11)
This certificate submitted on DOE F 2050.11 is due within 90 days upon
completion or termination of the award.
V. OTHER REPORTING
ENVIRONMENTAL REPORTS
In response, in part, to the requirements of the National Environmental
Policy Act of 1969 (NEPA) and other related environmental statutes, the
National Energy Technology Laboratory (NETL) requires the submission of
various documents that assess the environmental aspects and projected
impacts of all of its proposed actions. These documents may include the
following: (1) Environmental Compliance Plan, (2)
Environmental Monitoring Plan, and (3) Environmental Status Reports.
The environmental information provided in these documents will enable
NETL to fulfill its responsibilities under NEPA (additional information
about the requirements of the National Environmental Policy Act can be
found in the DOE NEPA Compliance Guide and 10 CFR 1021) and to monitor
the Recipient's compliance with other environmental regulations. The
implementation of any task associated with a proposed action will be
dependent upon DOE completing necessary NEPA documentation. Therefore,
to minimize the risk of project delays, it is imperative that these
reports be submitted in a timely manner.
The information contained herein specifies the basic environmental
requirements for this award, but it is not to be interpreted as
containing all necessary information for any given project. Likewise,
certain aspects of the requirements may not be applicable. Accordingly,
the level of information provided should be sufficient for DOE to
assess the environmental implications of the proposed action.
A. ENVIRONMENTAL COMPLIANCE PLAN
The Environmental Compliance Plan (ECP) should outline an
approach to implementing an environmental monitoring and
reporting strategy. This strategy should include plans for
submitting a Quality Assurance/Quality Control Plan and
Pollution Prevention Plan (if an ECP is required, the format
of the QA/QC Plan and Pollution Prevention Act will be
determined in conjunction with the NETL environmental staff),
conducting environmental monitoring of the proposed action and
submitting Environmental Status Reports. The ECP should also
address any concerns and/or deviations associated with the
reporting and monitoring documents.
SUGGESTED FORMAT FOR ENVIRONMENTAL COMPLIANCE PLAN (ECP):
I. SUMMARY OF PROPOSED PROJECT
II. FEDERAL REGULATORY COMPLIANCE (Discuss how each of the following
will be complied with, if applicable.)
A. National Historic Preservation Act
B. Endangered Species Act
C. Fish and Wildlife Coordination Act
D. Floodplain/Wetlands Regulations
E. Coastal Zone Management Act
F. Farmland Protection Policy Act
G. American Indian Religious Freedom Act
H. Wild and Scenic Rivers Act
I. Resource Conservation & Recovery Act
J. Comprehensive Environmental Response, Compensation and
Liability Act
K. Clean Air Act
L. Clean Water Act
M. Pollution Prevention Act
III. STATE AND LOCAL REGULATORY COMPLIANCE (Discuss how any state
and local regulations will be complied with.)
B. ENVIRONMENTAL MONITORING PLAN
IF DOE's analysis of the potential environmental impacts of
the proposed action identifies a need for environmental
monitoring, the Recipient will also submit a draft
Environmental Monitoring Plan (EMP) within thirty (30) days of
award. After consultation with DOE, the draft EMP will be
revised, as necessary and a final EMP will be prepared. The
EMP may be revised as the project dictates.
The EMP should evaluate air, land, and water resources, and
waste production, using three specific types of monitoring:
A. Compliance Monitoring,
B. Unregulated Pollutant Monitoring, and, if
necessary,
C. NEPA-related Monitoring.
Compliance monitoring, i.e., environmental and health
monitoring required by Federal, State, and local regulatory
agencies, should detail the location, frequency, duration, and
substances being monitored. All necessary applications,
permits, and licenses should be identified.
Unregulated pollutants, both the amount and type of each,
should be monitored. This includes those pollutants (a) not
currently regulated by State or Federal laws but for which new
regulations are expected in the near future; (b) which may
cause environmental or health concerns based on
hazardous/toxic compound lists; and (c) which are expected in
discharge streams based on test data or process chemistry.
Finally, NEPA-related monitoring should be implemented as
necessary. It should identify and/or confirm the impacts of
the substances produced and performance of the specific
technologies as predicted in the NEPA document. It should also
include reporting on any mitigation action identified in the
Finding of No Significant Impact or Record of Decision as a
condition of approval of the proposed action (reported
annually).
C. ENVIRONMENTAL STATUS REPORT
After approval of the comprehensive EMP, and as deemed
necessary by the DOE Project Manager, information from
environmental monitoring should be submitted in the form of
Environmental Status Reports (ESRs). The necessity of these
reports will depend on the size and nature of the project;
they will be required quarterly
The data reported in the ESRs will ensure that project impacts
(a) do not violate applicable environmental regulations and
(b) are not detrimental to human health or the environment.
The information will also provide a database that can be
utilized to mitigate environmental problems associated with
commercializing any proposed technologies.
SUGGESTED FORMAT FOR ENVIRONMENTAL STATUS REPORTS
I. SUMMARY OF MONITORING PERFORMED (Compliance and
Supplemental Monitoring)
A. MONITORING PARAMETERS
1. Location
2. Stage of Project (e.g., preconstruction,
operational, etc.)
3. Source to be Monitored
(e.g., stack emissions)
4. Method of Monitoring
B. DATA ANALYSIS
1. Identification/characterization of
emissions, effluents, etc. and their
concentration
2. Identification of problem
areas/non-compliance
3. Suggestions for modifications/changes to
the system
4. Recommendations to revise
Monitoring Plan
II. PERMIT COMPLIANCE STATUS
A. Attach copies of compliance reports,
analyses, correspondence between the
recipient and the appropriate regulatory
agencies.
B. Attach copies of all manifests, shipping
documents, etc. pertaining to the disposal of
Wastes generated from the project.
COMMUNICATION PLANS (MAR 2002)
Knowledge dissemination is an integral part of the Federally funded
RD&D process. Effective dissemination requires planned, active, and
coordinated participation of governmental entities and funded research
organizations.
To ensure the effective dissemination of knowledge gained during this
RD&D project, the recipient will consult with NETL's Public Affairs
staff to identify communication goals, objectives, and strategies. The
recipient will make an initial contact for consultation within 30 days
of the award date. The recipient will make subsequent contacts whenever
progress on the project warrants external communication, but no less
than once a quarter.
Actions and products designed to disseminate nonproprietary
project-related knowledge will be coordinated with NETL's Public
Affairs staff. Examples of such actions and products include, but are
not limited to:
-- Press releases
-- Articles in newspapers, newsletters, and magazines
-- Papers in peer-reviewed journals
-- Radio, television, and newspaper interviews
-- Presentation of research results at conferences, workshops, and
seminars
-- Publication of results on web pages
-- Information for government officials
POST-COMPLETION REVIEW (MAR 2002)
Within two (2) years after completion of the demonstration project, the
Recipient agrees to participate with DOE in a post-completion project
review meeting. The time and location of the meeting will be
established by agreement of the Parties. The purpose of the meeting is
to review the success of the project as well as any problems that may
have arisen since project completion.
ATTACHMENT C - BUDGET PAGE(S)
BUDGET INFORMATION - Non-Construction Programs
- ----------------------------------------------------------------------------------------------------------------------------
SECTION A - BUDGET SUMMARY
- ---------------------- ------------------- -------------------------------- ------------------------------------------------
Grant Program Catalog of Federal Estimated Unobligated Funds New or Revised Budget
Domestic
Function Assistance
or Activity Number
(a) (b)
- ---------------------- ------------------- ----------------- -------------- --------------- ---------------- ---------------
Federal Non-Federal Federal Non-Federal Total
(c) (d) (e) (f) (g)
- ---------------------- ------------------- ----------------- -------------- --------------- ---------------- ---------------
1. Project Definition 81,089 $ $13,762,832 $[**} $[**]
- ---------------------- ------------------- ----------------- -------------- --------------- ---------------- ---------------
2. Design 81,089 $15,712,329 $[**] $[**]
- ---------------------- ------------------- ----------------- -------------- --------------- ---------------- ---------------
3. Construction 81,089 $155,160,950 $[**] $[**]
- ---------------------- ------------------- ----------------- -------------- --------------- ---------------- ---------------
4. Demonstration 81,089 $50,363,889 $[**] $[**]
- ---------------------- ------------------- ----------------- -------------- --------------- ---------------- ---------------
5. TOTALS $ $235,000,000 $333,768,646] $568,758,646
- ----------------------------------------------------------------------------------------------------------------------------
SECTION B - BUDGET CATEGORIES
- ----------------------------------------------------------------------------------------------------------------------------
6. Object Class Categories GRANT PROGRAM, FUNCTION OR ACTIVITY Total
- ------------------------------------------ ----------------------------------------------------------------- ---------------
(1)Project (2)Design (3)Construction (4)Demonstration (5)
Definition
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
a. Personnel Plus Overhead $[**] $[**] $[**] $[**] $[**]
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
b. Fringe Benefits
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
c. Travel $[**] $[**] $[**] $[**] $[**]
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
d. Equipment $[**] $[**] $[**] $[**] $[**]
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
e. Supplies
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
f. Contractual $[**] $[**] $[**] $[**] $[**]
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
g. Construction
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
h. Other $[**] $[**] $[**] $[**] $[**]
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
i. Total Direct Charges(sum of 6a - $[**] $[**] $[**] $[**] $[**]
6h)
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
j. Indirect Charges
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
k. TOTALS (sum of 6i and 6j) $[**] $[**] $[**] $[**] $[**]
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
7. Program Income $
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
Authorized for Local Reproduction
- ----------------------------------------------------------------------------------------------------------------------------
SECTION C - NON-FEDERAL RESOURCES
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
(a) Grant Program (b) Applicant (c) State (d) Other (e) Totals
Sources
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
8. Project Definition $ $[**] $[**]
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
9. Design $[**] $[**]
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
10. Construction $[**] $[**]
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
11. Demonstration $[**] $[**]
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
12. TOTAL (sum of lines 8 and 11) $ $333,768,646 $333,768,646
- ----------------------------------------------------------------------------------------------------------------------------
SECTION D - FORECASTED CASH NEEDS
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
Total for 1st 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter
Year
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
13. Federal $[**] $[**] $[**] $[**] $[**]
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
14. Non-Federal $[**] $[**] $[**] $[**] $[**]
- ------------------------------------------ ----------------- -------------- --------------- ---------------- ---------------
15. TOTAL (sum of lines 13 and 14) $[**] $[**] $[**] $[**] $[**]
- ----------------------------------------------------------------------------------------------------------------------------
SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT
- ------------------------------------------------------------ ---------------------------------------------------------------
(a) Grant Program FUTURE FUNDING PERIODS BUDGET PERIODS
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
(b) First (c)Second (d) Third (e) Fourth
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
16. Project Definition $13,762,832
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
17. Design $[**]
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
18. Construction $[**]
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
19. Demonstration $50,363,889
- ------------------------------------------------------------ -------------- --------------- ---------------- ---------------
20. TOTALS (sum of lines 16 - 19) $13,762,832 $170,873,279 $50,363,889
- ----------------------------------------------------------------------------------------------------------------------------
SECTION F - OTHER BUDGET INFORMATION
(Attach additional Sheets if Necessary)
- ------------------------------------------------------------ ---------------------------------------------------------------
21. Direct Charges: $568,768,646 22. Indirect Charges:
- ----------------------------------------------------------------------------------------------------------------------------
23. Remarks
- ----------------------------------------------------------------------------------------------------------------------------
ATTACHMENT D
REPAYMENT AGREEMENT
DE-FR26-06NT42392
[**] (5 pages)