Exhibit 10.22
U.S. DOE Cooperative Agreement No. DE-FC26-05NT42307
DOE F 4600.1# U.S. DEPARTMENT OF ENERGY
(10/04) NOTICE OF FINANCIAL ASSISTANCE AWARD
Under the authority of Public Law 95-91 DOE Organization Act
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1. PROJECT TITLE "Low-Cost Options for Moderate Levels of Mercury 2. INSTRUMENT TYPE
Control"
| | GRANT |X| COOPERATIVE AGREEMENT
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3. RECIPIENT (Name, address, zip code, area code and telephone no.) 4. INSTRUMENT NO. 5. AMENDMENT NO.
ADA-ES, Inc. DE-FC26-05NT42307 A000
0000 XxxxxXxxx Xxx, Xxxx X
Xxxxxxxxx, XX 00000
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6. BUDGET PERIOD 7. PROJECT PERIOD
FROM: 02/10/05 THRU: 02/09/08 FROM: 02/10/05 THRU: 02/09/08
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8. RECIPIENT PROJECT DIRECTOR (Name and telephone no.) 10. TYPE OF AWARD
Xxxxx Xxxxxx (000) 000-0000 Ext. 129 xxxxxx@xxxxx.xxx
|X| NEW | | CONTINUATION | | RENEWAL
| | REVISION | | SUPPLEMENT
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9. RECIPIENT BUSINESS OFFICER (Name and telephone no.)
Xxxxxxx Xxxxxxxx (000) 000-0000 Ext. 101 xxxxxxxx@xxxxx.xxx
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11. DOE PROJECT OFFICER (Name, address, zip code, telephone no.) 12. ADMINISTERED FOR DOE BY (Name, address, zip code,
Xxxxxx X'Xxxxx 000-000-0000 E-mail: Xxxxxx.XXxxxx@xxxx.xxx.xxx telephone no. Xxxxx X. Xxxxx 000-000-0000
U.S. Department of Energy, National Energy Technology Laboratory E-mail: xxxxx@xxxx.xxx.xxx
3610 Xxxxxxx Ferry Road, U. S. Department of Energy, National Energy Technology
P. O. Box 880, MS C04 Laboratory
Xxxxxxxxxx, XX 00000-0000 P. O. Xxx 00000, XX 921-143
000 Xxxxxxxx Xxxx Xxxx
Xxxxxxxxxx, XX 00000-0000
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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: 26-05NT42307.000 15. EMPLOYER I.D. NUMBER
a. TIN: 00-0000000
b. DUNS: 00-000-0000
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a. Appropriation Symbol b. B&R Number c. FT/AFP/OC d. CFA Number
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16. BUDGET AND FUNDING INFORMATION
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a. CURRENT BUDGET PERIOD INFORMATION b. CUMULATIVE DOE OBLIGATIONS
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(1) DOE Funds Obligated This Action $ 600,000.00 (1) This Budget Period $600,000.00
(2) DOE Funds Authorized for Carry Over $ 0.00 [Total of lines a.(1) and a.(3)]
(3) DOE Funds Previously Obligated in this Budget Period$ 0.00
(4) DOE Share of Total Approved Budget $ 3,946,323.00 (2) Prior Budget Periods $ 0.00
(5) Recipient Share of Total Approved Budget $ 1,501,588.00
(6) Total Approved Budget $ 5,447,910.00 (3) Project Period to Date $600,000.00
[Total of lines b.(1) and b.(2)]
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17. TOTAL ESTIMATED COST OF PROJECT, INCLUDING DOE FUNDS TO FFRDC: $5,447,910.00
(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) .
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x. XXX Assistance Regulations, 10 CFR Part 600at xxxx://xxxx.xxxxxxxxx.xxx 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
xxxx://xxx.xxx.xxx.
d. Application/proposal as approved by DOE.
e. National Policy Assurances to Be Incorporated as Award Terms at xxxx://xxxxxx.xx.xxx.xxx.
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19. REMARKS
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20. EVIDENCE OF RECIPIENT ACCEPTANCE 21. AWARDED BY
/s/ Xxxxxxx X Xxxxxxxx 2/17/05 /s/ Xxxxxxx X Xxxxx 2/10/05
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(Signature of Authorized Recipient Official) (Date) (Signature) (Date)
Xxxxxxx Xxxxxxxx Xxxxxxx X. Xxxxx
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(Name) (Name)
Vice President Contracting Officer
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(Title)
(Title)
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TABLE OF CONTENTS
SECTION I - SPECIAL TERMS AND CONDITIONS..........................................................................4
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RESOLUTION OF CONFLICTING CONDITIONS (OCT 2004)................................................................4
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LIMITATION OF GOVERNMENT LIABILITY.............................................................................4
PAYMENT PROCEDURES - REIMBURSEMENT THROUGH THE AUTOMATED STANDARD
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APPLICATION FOR PAYMENTS (ASAP) SYSTEM (OCT 2004)..............................................................4
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COST SHARING (OCT 2004)........................................................................................5
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INCREMENTAL FUNDING (OCT 2004).................................................................................5
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STATEMENT OF FEDERAL STEWARDSHIP (OCT 2004)....................................................................6
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STATEMENT OF SUBSTANTIAL INVOLVEMENT (OCT 2004)................................................................6
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SITE VISITS (OCT 2004).........................................................................................6
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REPORTING REQUIREMENTS (OCT 2004)..............................................................................7
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PUBLICATIONS (OCT 2004)........................................................................................7
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FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS OCT 2004)...........................................................8
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INTELLECTUAL PROPERTY PROVISIONS (OCT 2004)....................................................................8
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NATIONAL SECURITY: CLASSIFIABLE RESULTS ORIGINATING UNDER AN AWARD (OCT 2004)..................................8
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LOBBYING RESTRICTIONS (OCT 2004)...............................................................................9
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NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUIPMENT AND PRODUCTS -- SENSE OF CONGRESS (OCT 2004)..........9
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COMPLIANCE WITH BUY AMERICAN ACT (OCT 2004)....................................................................9
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ANNUAL INDIRECT COST PROPOSAL AND RECONCILIATION (OCT 2004)....................................................9
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REAL PROPERTY - NONE (JAN 1999)................................................................................9
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RECIPIENT ACQUIRED PROPERTY - FOR-PROFIT ORGANIZATIONS (JAN 2004).............................................10
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FEDERALLY OWNED PROPERTY (GOVERNMENT-FURNISHED) - NONE (JAN 1999).............................................10
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ACKNOWLEDGMENT OF FEDERAL FUNDING (NOV 1998)..................................................................10
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PUBLIC ACCESS TO INFORMATION (APR 2000).......................................................................10
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NOTICE REGARDING UNALLOWABLE COSTS AND LOBBYING ACTIVITIES (NOV 1998).........................................10
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RECIPIENT PRESS RELEASES (APR 1998)...........................................................................10
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HAZARDOUS WASTES MANIFESTS AND LABELS (MAR 2003)..............................................................11
SECTION II - INTELLECTUAL PROPERTY PROVISIONS....................................................................12
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INTELLECTUAL PROPERTY PROVISIONS (FOR-PROFIT R&D) (JAN 2004)..................................................12
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CONFIDENTIAL BUSINESS INFORMATION (JAN 2004)..................................................................12
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52.227-1 AUTHORIZATION AND CONSENT (JUL 1995) - ALTERNATE I (APR 1984)........................................12
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52.227-2 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT (AUG 1996).........................12
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PATENT RIGHTS (SMALL BUSINESS FIRMS AND NONPROFIT ORGANIZATIONS) (OCT 2003)...................................13
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RIGHTS IN DATA - GENERAL (OCT 2003)...........................................................................19
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LIMITED RIGHTS DATA (JAN 2004)................................................................................24
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52.227-23 RIGHTS TO PROPOSAL DATA (TECHNICAL). (JUN 1987).....................................................25
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SECTION III - LIST OF ATTACHMENTS...............................................................................26
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ATTACHMENT A -- STATEMENT OF PROJECT OBJECTIVES...............................................................27
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ATTACHMENT B - FEDERAL ASSISTANCE REPORTING CHECKLIST.........................................................42
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ATTACHMENT C - BUDGET PAGE(S).................................................................................50
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ATTACHMENT D -- RECIPIENT ACQUIRED PROPERTY...................................................................51
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SECTION I - SPECIAL TERMS AND CONDITIONS
RESOLUTION OF CONFLICTING CONDITIONS (OCT 2004) )
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Any apparent inconsistency between Federal statutes and regulations and the
terms and conditions contained in this award must be referred to the DOE Award
Administrator identified in Block 12 of the Notice of Financial Assistance Award
for guidance.
LIMITATION ON PERFORMANCE AND MAXIMUM GOVERNMENT LIABILITY
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In performing the Statement of Project Objectives (Attachment A) under this
Cooperative Agreement, the Recipient intends to evaluate two technologies
(TOXECON IITM and high-temperature sorbents) at four (4) different sites. The
Recipient plans on testing TOXECON IITM at AEP Gavin (high S bituminous), and
Entergy Independence (PRB), and will test high-temperature sorbents at
MidAmerican's Council Bluffs and Louisa (PRB) sites. It is recognized that the
sequence of field testing may change; however, regardless of the order in which
the field testing is conducted host site agreements will be executed and
furnished to DOE for each site PRIOR to the conduct of specific testing.
(a) The Recipient must provide to DOE a fully executed host site for each of the
proposed field testing locations prior to the conduct of any field testing.
(b) For the selected sequence of field testing, the Recipient is authorized to
perform associated (site specific) activities including: Task 1 for each site
entitled "Site Coordination, Kickoff Meeting, Test Plan, and QA/QC Plan," the
portion (i.e., limited to pre-site testing) of Task 2 for each site entitled
"Design and Install Site Specific Equipment," and associated Task 11 "Management
and Reporting," but not authorized to incur project expenditures exceeding the
DOE share shown below:
o Louisa - $50,000
o Council Bluffs - $404,000
o Gavin - $370,000
o Independence - $345,000
until such time as an executed host site agreement is furnished to the DOE
which:
(1) provides for the use of the selected (AEP Gavin; Entergy
Independence (PRB); MidAmerican Council Bluffs; or Louisa)
facility for the project, or
(2) provides the use of an alternate host site that is acceptable to
DOE.
(c) In the event the Recipient has not satisfied the conditions set forth above,
DOE shall have the right to declare the cooperative agreement concluded. In such
event, DOE shall not be liable for any costs in excess of the amounts shown
above.
PAYMENT PROCEDURES - REIMBURSEMENT THROUGH THE AUTOMATED STANDARD APPLICATION
FOR PAYMENTS (ASAP) SYSTEM (OCT 2004)
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a. Method of Payment. Payment will be made by reimbursement through the
Department of Treasury's ASAP system.
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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.
COST SHARING (OCT 2004)
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a. Notwithstanding the recipient's cost share described below in paragraph b,
you must cost share a minimum of 27.6 percent of the total allowable
Project Costs (Total allowable Project Costs are the sum of the Government
share and the Recipient share of allowable project costs). Your cost share
must come from non-Federal sources. By accepting federal funds under this
award, you agree that you are liable for your percentage share of the total
allowable Project Costs incurred even if the project is terminated early or
is not funded to its completion.
b. Total Estimated Project Cost is the sum of the Government share and
Recipient share of the estimated project costs. This cost is shared as
follows:
Total Estimated Cost of Project: $5,447,910
DOE: $3,946,323 72.4%
Participant: 1,501,588 27.6%
c. If you discover that you may be unable to provide cost sharing of at least
the amount identified in paragraph b of this article, you should
immediately provide written notification to the DOE Award Administrator
identified in Block 12 of the Notice of Financial Assistance Award
indicating whether you will continue or phase out the project. If you plan
to continue the project, the notification must describe how replacement
cost sharing will be secured.
d. You must maintain records of all project costs that you claim as cost
sharing, including in-kind costs, as well as records of costs to be paid by
DOE. Such records are subject to audit.
e. Failure to provide the cost sharing required in paragraphs a and b may
result in the subsequent recovery by DOE of some or all the funds provided
under the award.
INCREMENTAL FUNDING (OCT 2004)
------------------------------
This budget period is funded on an incremental basis. The maximum obligation of
the DOE is limited to $600,000.00 (the amount shown in Block 16.b. (3)
"CUMULATIVE DOE OBLIGATIONS Project Period to Date" on the Notice of Financial
Assistance Award). You are not obligated to continue performance of the project
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beyond the total amount shown in Block 16.b. (3) and your pro rata share of the
project costs, if cost sharing is required. Subject to the availability of
additional funds, DOE anticipates obligating the total amount shown in Block
16.a. (4) for the current budget period.
STATEMENT OF FEDERAL STEWARDSHIP (OCT 2004)
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DOE will exercise normal Federal stewardship in overseeing the project
activities performed under this award. Stewardship activities include, but are
not limited to, conducting site visits; reviewing performance and financial
reports; providing technical assistance and/or temporary intervention in unusual
circumstances to correct deficiencies which develop during the project; assuring
compliance with terms and conditions; and reviewing technical performance after
project completion to insure that the award objectives have been accomplished.
STATEMENT OF SUBSTANTIAL INVOLVEMENT (OCT 2004)
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RECIPIENT'S RESPONSIBILITIES. The Recipient is responsible for:
Performing the activities supported by this award, including providing the
required personnel, facilities, equipment, supplies and services;
Defining approaches and plans, submitting the plans to DOE for review, and
incorporating DOE comments;
Managing and conducting the project activities;
Attending semiannual program review meetings and reporting project status;
Submitting technical reports and incorporating DOE comments; and;
Presenting the project results at appropriate technical conferences or
meetings as directed by the DOE Project Officer.
DOE RESPONSIBILITIES. DOE is responsible for:
Reviewing in a timely manner project plans, including technology transfer
plans, and redirecting the work effort if the plans do not address critical
programmatic issues;
Conducting semiannual program review meetings to ensure adequate progress
and that the work accomplishes the program and project objectives.
Redirecting work or shifting work emphasis, if needed;
Promoting and facilitating technology transfer activities, including
disseminating program results through presentations and publications; and
Serving as scientific/technical liaison between awardees and other program
or industry staff.
SITE VISITS (OCT 2004)
----------------------
6
DOE's authorized representatives have the right to make site visits at
reasonable times to review project accomplishments and management control
systems and to provide technical assistance, if required. You must provide and
must require your subawardees to provide reasonable facilities and assistance
for the safety and convenience of the government representatives in the
performance of their duties. All site visits and evaluations must be performed
in a manner that does not unduly interfere with or delay the work.
REPORTING REQUIREMENTS (OCT 2004)
---------------------------------
a. Requirements. The reporting requirements for this award are identified on
the Federal Assistance Reporting Checklist, DOE F 4600.2, attached to this
award. Failure to comply with these reporting requirements is considered a
material noncompliance with the terms of the award. Noncompliance may
result in 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 unsatisfactory performance of
this and/or other financial assistance awards, may also result in a
debarment action to preclude future awards by Federal agencies.
b. Dissemination of scientific/technical reports. Scientific/technical reports
submitted under this award will be disseminated on the Internet via the DOE
Information Bridge (xxx.xxxx.xxx/xxxxxx), unless the report contains
patentable material, protected data or SBIR/STTR data. In addition, these
reports must not contain any limited rights data (proprietary data),
classified information, information subject to export control
classification, or other information not subject to release. Citations for
journal articles produced under the award will appear on the DOE Energy
Citations Database (xxx.xxxx.xxx/xxx).
PUBLICATIONS (OCT 2004)
-----------------------
a. You are encouraged to publish or otherwise make publicly available the
results of the work conducted under the award.
b. An acknowledgment of Federal support and a disclaimer must appear in the
publication of any material, whether copyrighted or not, based on or
developed under this project, as follows:
Acknowledgment: "This material is based upon work supported by the
Department of Energy [National Nuclear Security Administration] [add
name(s) of other agencies, if applicable] under Award Number(s) [enter the
award number(s)]."
Disclaimer: "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."
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FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS (OCT 2004)
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You must obtain any required permits and comply with applicable federal, state,
and municipal laws, codes, and regulations for work performed under this award.
INTELLECTUAL PROPERTY PROVISIONS (DEC 2004)
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The intellectual property provisions applicable to this award are provided in
Section II of this award.
NATIONAL SECURITY: CLASSIFIABLE RESULTS ORIGINATING UNDER AN AWARD (OCT 2004)
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a. This award is intended for unclassified, publicly releasable research. You
will not be granted access to classified information. DOE does not expect
that the results of the research project will involve classified
information. Under certain circumstances, however, a classification review
of information originated under the award may be required. The Department
may review research work generated under this award at any time to
determine if it requires classification.
b. Executive Order 12958 (60 Fed. Reg. 19,825 (1995)) states that basic
scientific research information not clearly related to the national
security shall not be classified. Nevertheless, some information concerning
(among other things) scientific, technological, or economic matters
relating to national security or cryptology may require classification. If
you originate information during the course of this award that you believe
requires classification under this Executive order, you must promptly:
1. Notify the DOE Project Officer identified in Block 11 and the DOE
Award Administrator identified in Block 12 of the Notice of Financial
Assistance Award;
2. Submit the information by registered mail directly to the Director,
Office of Classification and Information Control, SO-10.2; U.S.
Department of Energy; P.O. Box A; Xxxxxxxxxx, XX 00000-0000, for
classification review.
3. Restrict access to the information to the maximum extent possible
until you are informed that the information is not classified, but no
longer than 30 days after receipt by the Director, Office of
Classification and Information Control.
c. If you originate information concerning the production or utilization of
special nuclear material (i.e., plutonium, uranium enriched in the isotope
233 or 235, and any other material so determined under section 51 of the
Atomic Energy Act) or nuclear energy, you must:
1. Notify the DOE Project Officer identified in Block 11 and the DOE
Award Administrator identified in Block 12 of the Notice of Financial
Assistance Award.
2. Submit the information by registered mail directly to the Director,
Office of Classification and Information Control, SO-10.2; U.S.
Department of Energy; P. O. Box A; Xxxxxxxxxx, XX 00000-0000 for
classification review within 180 days of the date the recipient first
discovers or first has reason to believe that the information is
useful in such production or utilization.
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3. Restrict access to the information to the maximum extent possible
until you are informed that the information is not classified, but no
longer than 90 days after receipt by the Director, Office of
Classification and Information Control.
d. If DOE determines any of the information requires classification, you agree
that the Government may terminate the award by mutual agreement in
accordance with 10 CFR 600.25(d). All material deemed to be classified must
be forwarded to the DOE, in a manner specified by DOE.
e. If DOE does not respond within the specified time periods, you are under no
further obligation to restrict access to the information.
LOBBYING RESTRICTIONS (OCT 2004)
--------------------------------
By accepting funds under this award, you agree 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.
NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUIPMENT AND PRODUCTS -- SENSE
OF CONGRESS (OCT 2004)
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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.
COMPLIANCE WITH BUY AMERICAN ACT (OCT 2004)
-------------------------------------------
By accepting funds under this award, you agree 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"). You should review the provisions of the Act to ensure that
expenditures made under this award are in accordance with it.
ANNUAL INDIRECT COST PROPOSAL AND RECONCILIATION (OCT 2004)
-----------------------------------------------------------
a. In accordance with the applicable cost principles, you must submit an
annual indirect cost proposal, reconciled to your financial statements,
within six months after the close of each fiscal year, unless you have
negotiated a predetermined or fixed indirect rate(s), or fixed amount for
indirect or facilities and administration (F&A) costs.
b. You should submit your 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 you do not have a cognizant agency or if you do not
know your DOE CDO, contact the DOE Award Administrator identified in Block
12 of the Notice of Financial Assistance Award.
REAL PROPERTY - NONE (JAN 1999)
-------------------------------
9
No real property may be acquired under this award.
RECIPIENT ACQUIRED PROPERTY - FOR-PROFIT ORGANIZATIONS (JAN 2004)
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Reference Attachment D for a listing of property authorized for acquisition
under this award. Property acquired by the Recipient under this award shall be
managed in accordance with 10 CFR 600.320 to 10 CFR 600.325, and reported as
prescribed in Attachment B, Federal Assistance Reporting Checklist.
FEDERALLY OWNED PROPERTY (GOVERNMENT-FURNISHED) - NONE (JAN 1999)
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No Government-furnished property is provided under this award.
ACKNOWLEDGMENT OF FEDERAL FUNDING (NOV 1998)
--------------------------------------------
When issuing statements, press releases, requests for proposals, bid
solicitations, and other documents describing this project, the Recipient shall
clearly state (1) the percentage of the total cost of the project which will be
financed with Federal money, and (2) the dollar amount of Federal funds for the
project.
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.
NOTICE REGARDING UNALLOWABLE COSTS AND LOBBYING ACTIVITIES (NOV 1998)
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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.
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.
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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.
11
SECTION II - INTELLECTUAL PROPERTY PROVISIONS
---------------------------------------------
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 Xxxxxx
0000 Xxxxx Xxxx Xxxxxx
Xxxxxxx, XX 00000
In reading these provisions, any reference to "contractor" shall mean
"recipient", and any reference to "contract" or "subcontract" shall mean "award"
or "subaward".
The Recipient shall include intellectual property clauses in any subaward in
accordance with requirements of the clauses in this section and of 10 CFR Parts
600.136 or 600.325 as appropriate.
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.
52.227-1 AUTHORIZATION AND CONSENT (JUL 1995) - ALTERNATE I (APR 1984)
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(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.
52.227-2 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT (AUG
1996)
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(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.
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(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.
PATENT RIGHTS (SMALL BUSINESS FIRMS AND NONPROFIT ORGANIZATIONS) (OCT 2003)
---------------------------------------------------------------------------
(a) Definitions
Invention 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 which is or may be protected under the Plant Variety
Protection Act (7 U.S.C. 2321 et seq.). Made when used in relation to any
invention means the conception or first actual reduction to practice of
such invention.
Nonprofit organization means a university or other institution of higher
education or an organization of the type described in section 501(c)(3) of
the Internal Revenue Code of 1954 (26 U.S.C. 501(c)) and exempt from
taxation under section 501(a) of the Internal Revenue Code (26 U.S.C.
501(a)) or any nonprofit scientific or educational organization qualified
under a State nonprofit organization statute.
Practical application means to manufacture in the case of a composition or
product, to practice in the case of a process or method, or to operate in
the case of a machine or system; and, in each case, under such conditions
as to establish that the invention is being utilized and that its benefits
are to the extent permitted by law or Government regulations available to
the public on reasonable terms.
Small business firm means a small business concern as defined at section 2
of Public Law 85-536 (16 U.S.C. 632) and implementing regulations of the
Administrator of the Small Business Administration. For the purpose of this
clause, the size standards for small business concerns involved in
Government procurement and subcontracting at 13 CFR 121.3 through 121.8 and
13 CFR 121.3 through 121.12, respectively, will be used.
Subject invention means any invention of the Recipient conceived or first
actually reduced to practice in the performance of work under this award,
provided that in the case of a variety of plant, the date of determination
(as defined in section 41(d) of the Plant Variety Protection Act, 7 U.S.C.
2401(d) must also occur during the period of award performance.
13
(b) Allocation of Principal Rights
The Recipient may retain the entire right, title, and interest throughout
the world to each subject invention subject to the provisions of this
Patent Rights clause and 35 U.S.C. 203. With respect to any subject
invention in which the Recipient retains title, the Federal Government
shall have a non-exclusive, nontransferable, irrevocable, paid-up license
to practice or have practiced for or on behalf of the U.S. the subject
invention throughout the world.
(c) Invention Disclosure, Election of Title and Filing of Patent Applications
by Recipient
(1) The Recipient will disclose each subject invention to DOE within two
months after the inventor discloses it in writing to Recipient
personnel responsible for the administration of patent matters. The
disclosure to DOE shall be in the form of a written report and shall
identify the award 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
disclosure, of the nature, purpose, operation, and the 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 will promptly notify DOE of the
acceptance of any manuscript describing the invention for publication
or of any on sale or public use planned by the Recipient.
(2) The Recipient will elect in writing whether or not to retain title to
any such invention by notifying DOE within two years of disclosure to
DOE. However, in any case where publication, on sale, or public use
has initiated the one-year statutory period wherein valid patent
protection can still be obtained in the U.S., the period for election
of title may be shortened by the agency to a date that is no more than
60 days prior to the end of the statutory period.
(3) The Recipient will file its initial patent application on an invention
to which it elects to retain title within one year after election of
title or, if earlier, prior to the end of any statutory period wherein
valid patent protection can be obtained in the U.S. after a
publication, on sale, or public use. The Recipient will file patent
applications in additional countries or international patent offices
within either ten months of the corresponding initial patent
application, or six months from the date when permission is granted by
the Commissioner of Patents and Trademarks to file foreign patent
applications when such filing has been prohibited by a Secrecy Order.
(4) Requests for extension of the time for disclosure to DOE, election,
and filing under subparagraphs (c) (1), (2), and (3) of this clause
may, at the discretion of DOE, be granted.
(d) Conditions When the Government May Obtain Title
The Recipient will convey to DOE, upon written request, title to any
subject invention:
14
(1) If the Recipient fails to disclose or elect the subject invention
within the times specified in paragraph (c) of this patent rights
clause, or elects not to retain title; provided that DOE may only
request title within 60 days after learning of the failure of the
Recipient to disclose or elect within the specified times;
(2) In those countries in which the Recipient fails to file patent
applications within the times specified in paragraph (c) of this
Patent Rights clause; provided, however, that if the Recipient has
filed a patent application in a country after the times specified in
paragraph (c) of this Patent Rights clause, but prior to its receipt
of the written request of DOE, the Recipient shall continue to retain
title in that country; or
(3) In any country in which the Recipient decides not to continue the
prosecution of any application for, to pay the maintenance fees on, or
defend in a reexamination or opposition proceeding on, a patent on a
subject invention.
(e) Minimum Rights to Recipient and Protection of the Recipient Right To File
(1) The Recipient will retain a non-exclusive royalty-free license
throughout the world in each subject invention to which the Government
obtains title, except if the Recipient fails to disclose the subject
invention within the times specified in paragraph (c) of this Patent
Rights clause. The Recipient's license extends to its domestic
subsidiaries and affiliates, if any, within the corporate structure of
which the Recipient is a party and includes the right to grant
sublicenses of the same scope of the extent the Recipient was legally
obligated to do so at the time the award 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's domestic license may be revoked or modified by DOE to
the extent necessary to achieve expeditious practical application of
the subject invention pursuant to an application for an exclusive
license submitted in accordance with applicable provisions at 37 CFR
part 404 and the agency's licensing regulation, if any. This license
will not be revoked in that field of use or the geographical areas in
which the Recipient has achieved practical application and continues
to make the benefits of the invention reasonably accessible to the
public. The license in any foreign country may be revoked or modified
at discretion of the funding Federal agency to the extent the
Recipient, its licensees, or its domestic subsidiaries or affiliates
have failed to achieve practical application in that foreign country.
(3) Before revocation or modification of the license, the funding Federal
agency will furnish the Recipient a written notice of its intention to
revoke or modify the license, and the Recipient will be allowed thirty
days (or such other time as may be authorized by DOE for good cause
shown by the Recipient) after the notice to show cause why the license
should not be revoked or modified. The Recipient has the right to
appeal, in accordance with applicable regulations in 37 CFR Part 404
and the agency's licensing regulations, if any, concerning the
licensing of Government-owned inventions, any decision concerning the
revocation or modification of its license.
15
(f) Recipient Action To Protect Government's Interest
(1) The Recipient agrees to execute or to have executed and promptly
deliver to DOE all instruments necessary to:
(i) Establish or confirm the rights the Government has throughout the
world in those subject inventions for which the Recipient retains
title; and
(ii) Convey title to DOE when requested under paragraph (d) of this
Patent Rights clause, and to enable the government to obtain
patent protection throughout the world in that subject invention.
(2) 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 this award in order that
the Recipient can comply with the disclosure provisions of paragraph
(c) of this Patent Rights 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. The disclosure format
should require, as a minimum, the information requested by paragraph
(c)(1) of this Patent Rights clause. The Recipient shall instruct such
employees through the employee agreements or other suitable
educational programs on the importance of reporting inventions in
sufficient time to permit the filing of patent applications prior to
U.S. or foreign statutory bars.
(3) The Recipient will notify DOE of any decision not to continue
prosecution of a patent application, pay maintenance fees, or defend
in a reexamination or opposition proceeding on a patent, in any
country, not less than 30 days before the expiration of the response
period required by the relevant patent office.
(4) The Recipient agrees to include, within the specification of any U.S.
patent application and any patent issuing thereon covering a subject
invention, the following statement: "This invention was made with
Government support under (identify the award) awarded by (identify
DOE). The Government has certain rights in this invention."
(g) Subaward/Contract
(1) The Recipient will include this Patent Rights clause, suitably
modified to identify the parties, in all subawards/contracts,
regardless of tier, for experimental, developmental or research work
to be performed by a small business firm or nonprofit organization.
The subrecipient/contractor will retain all rights provided for the
Recipient in this Patent Rights clause, and the Recipient will not, as
part of the consideration for awarding the subcontract, obtain rights
in the subcontractors' subject inventions.
(2) The Recipient will include in all other subawards/contracts,
regardless of tier, for experimental, developmental or research work,
the patent rights clause required by 10 CFR 600.325(c).
16
(3) In the case of subawards/contracts at any tier, DOE, the Recipient,
and the subrecipient/contractor agree that the mutual obligations of
the parties created by this clause constitute a contract between the
subrecipient/contractor and DOE with respect to those matters covered
by the clause.
(h) Reporting on Utilization of Subject Inventions
The Recipient agrees to submit on request periodic reports no more
frequently than annually on the utilization of a subject invention or on
efforts at obtaining such utilization that are being made by the Recipient
or its licensees or assignees. Such reports shall include information
regarding the status of development, date of first commercial sale or use,
gross royalties received by the Recipient and such other data and
information as DOE may reasonably specify. The Recipient also agrees to
provide additional reports in connection with any march-in proceeding
undertaken by DOE in accordance with paragraph (j) of this Patent Rights
clause. As required by 35 U.S.C. 202(c)(5), DOE agrees it will not disclose
such information to persons outside the Government without the permission
of the Recipient.
(i) Preference for United States Industry.
Notwithstanding any other provision of this Patent Rights clause, the
Recipient agrees that neither it nor any assignee will grant to any person
the exclusive right to use or sell any subject invention in the U.S. unless
such person agrees that any products embodying the subject invention or
produced through the use of the subject invention will be manufactured
substantially in the U.S. However, in individual cases, the requirement for
such an agreement may be waived by DOE upon a showing by the Recipient or
its assignee that reasonable but unsuccessful efforts have been made to
grant licenses on similar terms to potential licensees that would be likely
to manufacture substantially in the U.S. or that under the circumstances
domestic manufacture is not commercially feasible.
(j) March-in-Rights
The Recipient agrees that with respect to any subject invention in which it
has acquired title, DOE has the right in accordance with procedures at 37
CFR 401.6 and any supplemental regulations of the Agency to require the
Recipient, an assignee or exclusive licensee of a subject invention to
grant a non-exclusive, partially exclusive, or exclusive license in any
field of use to a responsible applicant or applicants, upon terms that are
reasonable under the circumstances and if the Recipient, assignee, or
exclusive licensee refuses such a request, DOE has the right to grant such
a license itself if DOE determines that:
(1) Such action is necessary because the Recipient or assignee has not
taken or is not expected to take within a reasonable time, effective
steps to achieve practical application of the subject invention in
such field of use;
(2) Such action is necessary to alleviate health or safety needs which are
not reasonably satisfied by the Recipient, assignee, or their
licensees;
(3) Such action is necessary to meet requirements for public use specified
by Federal regulations and such requirements are not reasonably
satisfied by the Recipient, assignee, or licensee; or
17
(4) Such action is necessary because the agreement required by paragraph
(i) of this Patent Rights clause has not been obtained or waived or
because a licensee of the exclusive right to use or sell any subject
invention in the U.S. is in breach of such agreement.
(k) Special Provisions for Awards With Nonprofit Organizations
If the Recipient is a nonprofit organization, it agrees that:
(1) Rights to a subject invention in the U.S. may not be assigned without
the approval of DOE, except where such assignment is made to an
organization which has as one of its primary functions the management
of inventions, provided that such assignee will be subject to the same
provisions as the Recipient;
(2) The Recipient will share royalties collected on a subject invention
with the inventor, including Federal employee co-inventors (when DOE
deems it appropriate) when the subject invention is assigned in
accordance with 35 U.S.C. 202(e) and 37 CFR 401.10;
(3) The balance of any royalties or income earned by the Recipient with
respect to subject inventions, after payment of expenses (including
payments to inventors) incidental to the administration of subject
inventions, will be utilized for the support of scientific or
engineering research or education; and
(4) It will make efforts that are reasonable under the circumstances to
attract licensees of subject inventions that are small business firms
and that it will give preference to a small business firm if the
Recipient determines that the small business firm has a plan or
proposal for marketing the invention which, if executed, is equally
likely to bring the invention to practical application as any plans or
proposals from applicants that are not small business firms; provided
that the Recipient is also satisfied that the small business firm has
the capability and resources to carry out its plan or proposal. The
decision whether to give a preference in any specific case will be at
the discretion of the Recipient. However, the Recipient agrees that
the Secretary of Commerce may review the Recipient's licensing program
and decisions regarding small business applicants, and the Recipient
will negotiate changes to its licensing policies, procedures or
practices with the Secretary when the Secretary's review discloses
that the Recipient could take reasonable steps to implement more
effectively the requirements of this paragraph (k)(4).
(l) Communications
All communications required by this Patent Rights clause should be sent to
the DOE Patent Counsel address listed in the Award Document.
(m) Electronic Filing
Unless otherwise Specified in the award, the information identified in
paragraphs (f)(2) and (f)(3) may be electronically filed.
18
RIGHTS IN DATA - GENERAL (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, as used in this clause, means the rights of the Government
in limited rights data as set forth in the Limited Rights Notice of
subparagraph (g)(2) if included in this clause.
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 is confidential or privileged; or is published
copyrighted computer software; including minor modifications of such
computer software.
Restricted rights, as used in this clause, means the rights of the
Government in restricted computer software, as set forth in a Restricted
Rights Notice of subparagraph (g)(3) if included in this clause, or as
otherwise may be provided in a collateral agreement incorporated in and
made part of this contract, including minor modifications of such computer
software.
19
Technical data, as used in this clause, means data (other than computer
software) 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, and to have or permit others to do so.
(b) Allocations of Rights
(1) Except as provided in paragraph (c) of this clause regarding
copyright, the Government shall have unlimited rights in -
(i) Data first produced in the performance of this agreement;
(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 limited rights data or restricted computer software
in accordance with paragraph (g) of this clause.
(2) The Recipient shall have the right to -
(i) Use, release to others, reproduce, distribute, or publish any
data first produced or specifically used by the Recipient in the
performance of this agreement, unless provided otherwise in
paragraph (d) of this clause;
(ii) Protect from unauthorized disclosure and use those data which are
limited rights data or restricted computer software to the extent
provided in paragraph (g) of this clause;
(iii) Substantiate use of, add or correct limited rights, restricted
rights, or copyright notices and to take over appropriate action,
in accordance with paragraphs (e) and (f) 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. Unless
provided otherwise in paragraph (d) of this clause, the Recipient may
establish, without prior approval of the Contracting Officer, claim to
copyright subsisting in data first produced in the performance of this
20
agreement. When claim to copyright is made, the Recipient shall affix
the applicable copyright notices of 17 U.S.C. 401 or 402 and
acknowledgement 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 in such copyrighted data to reproduce,
prepare derivative works, distribute copies to the public, and perform
publicly and display publicly, by or on behalf of the Government.
(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 not first produced in the performance of this
agreement and which contains 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 (g)(3) of this clause
if included in this agreement or as otherwise may be provided in a
collateral agreement incorporated in or made 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
agreement, 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 agreement.
(2) The Recipient agrees that to the extent it receives or is given access
to data necessary for the performance of this award, 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 (g)(2) or (g)(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.
21
(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
subparagraph (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
subparagraph (e)(1)(iii) until final resolution of the matter
either by the Contracting Officer's determination becoming 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 or 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;
22
(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) Protection of Limited Rights Data and Restricted Computer Software
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
qualify as either limited rights data or restricted computer software, if
the Recipient desires to continue protection of such data, the Recipient
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. Limited rights data that are formatted as a computer data base for
delivery to the Government are to be treated as limited rights data and not
restricted computer software.
(h) Subaward/Contract
The Recipient has the responsibility to obtain from its
subrecipients/contractors all data and rights therein necessary to fulfill
the Recipient's obligations to the Government under this agreement. If a
subrecipient/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 the
subaward/contract award without further authorization.
(i) 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.
23
(j) The recipient agrees, except as may be otherwise specified in this award
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 award, inspect at
the Recipient's facility any data withheld pursuant to paragraph (g) 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.
LIMITED RIGHTS DATA (JAN 2004)
------------------------------
(a) 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.
1. Sorbent injection system (design of sorbent storage and sorbent
feeding equipment); and
2. Sorbents (manufacturing process and composition).
(b) 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.
(c) The Recipient shall not introduce or utilize any limited rights data not
identified in paragraph (a) above in the performance of the award without
the expressed written permission of the Contracting Officer.
(d) Minimum technical data deliverable with unlimited rights. Not withstanding
any other provision of this award, the following technical data first
produced under this award as a minimum, shall be delivered to the DOE with
unlimited rights:
1. Sorbent Injection System (operating parameters-throughput, airflow
rate, location of injection ports, number of injection locations,
general process diagram)
2. Sorbents
a. performance at removing mercury from flue gas (% removal)
b. physical properties (particle size distribution, pore size,
surface area, iodine numbers, sorption capacity)
c. conditions of use (temperature, use rate, concentrations of
gas components treated)
d. impacts of fly ash (if tested)
24
52.227-23 RIGHTS TO PROPOSAL DATA (TECHNICAL). (JUN 1987)
---------------------------------------------------------
Except for data contained in pages [None], 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 proposal dated 04/30/04, upon which this
contract is based.
25
SECTION III - LIST OF ATTACHMENTS
---------------------------------
Attachment A -- Statement of Project Objectives
Attachment B -- Federal Assistance Reporting Checklist
Attachment C -- Budget Page(s)
Attachment D -- Recipient Acquired Property
26
ATTACHMENT A -- STATEMENT OF PROJECT OBJECTIVES
-----------------------------------------------
"Low-Cost Options for Moderate Levels of Mercury Control"
A. OBJECTIVES
The purpose of the proposed test program is to evaluate two technologies
that utilize the injection of sorbent materials to remove mercury from
coal-fired power plant flue gas--TOXECON IITM and high-temperature sorbents.
Key objectives of the program are to:
o lessen the cost of mercury control,
o test control technology that is applicable to a different power plant
configuration that is currently not adequately addressed (hot-side
ESP),
o test technology that is applicable to the largest population of power
plant configurations, and
o expand the database of what is known about mercury and control
systems.
The program will test TOXECON IITM at AEP Gavin (high S bituminous), and
Entergy Independence (PRB). The program will test high-temperature sorbents at
MidAmerican Council Bluffs and Louisa (PRB). In addition to the mentioned host
sites, EPRI, Dynegy, and Oglethorpe Power are supporting the program with
financial commitments.
Because these technologies have not had previous widespread testing at
plants burning different ranks of coal, tests are suggested at both low rank and
bituminous burning plants to evaluate whether rank makes a difference in
performance of the technology. These technologies are directly applicable to
coal-fired power plant sites that employ electrostatic precipitators (ESPs) as
the primary particulate removal system. This configuration represents
approximately 797 plants that produce a combined 277,000 MW, or approximately
72% of existing coal-fired generating capacity and potentially a significant
portion of new plants. These sites will allow documentation of sorbent
performance on the following configurations:
o PRB coal with ESP
o Bituminous coal with ESP
o PRB coal with hot-side ESP
The secondary objectives of this program are to:
o accelerate the scale-up and availability of commercial mercury control
systems for subbituminous- and bituminous-fired plants with standard
particulate control systems;
o evaluate technological advancements likely to improve performance and
reduce costs associated with mercury control;
o obtain data on operability, maintainability, and reliability;
o document technology to reduce impacts on coal utilization byproducts;
o determine maximum mercury removal for various plant configurations;
and
o determine the total costs associated with mercury control as a
function of fuel and plant characteristics.
B. TEST SITES
Testing is planned for four host sites. TOXECON IITM will be tested at two sites
and high-temperature sorbents will be tested at two sites. The characteristics
and virtues of each site are itemized in Tables 1, 2 and 3.
26
Table 1. Matrix Identifying Host Site with NETL Area of Interest
------------------------- ----------- ------------ ------------ ------------ ----------- ----------- ----------------
Area of Interest AEP Entergy MidAm CB MidAm
Gavin Indepen. (1) Louisa (1)
========================= =========== ============ ============ ============ =========== =========== ================
Technology to be
evaluated TOXECON II(TM) High-Temperature Sorbents
------------------------- -------------------------------------------------- ----------------------------------------
Approximate number of
units of applicability 715 82
------------------------- ------------ ----------- ------------- ----------- ------------- ------------- ------------
Low rank fuels X X X
------------------------- ------------ ----------- ------------- ----------- ------------- ------------- ------------
Bituminous fuels X
------------------------- ------------ ----------- ------------- ----------- ------------- ------------- ------------
Blended fuels
------------------------- ------------ ----------- ------------- ----------- ------------- ------------- ------------
Test size (MW) 200 210 88 350
------------------------- ------------ ----------- ------------- ----------- ------------- ------------- ------------
Longer-term tests
(1-2 months) X X See Note 1 See Note 1
------------------------- ------------ ----------- ------------- ----------- ------------- ------------- ------------
Note 1. Dry sorbents will be tested at Council Bluffs and liquid sorbents will
be tested at Louisa. Sorbents will be tested at each site through the parametric
testing phase where performance will me measured as a function of several
operating parameters. Depending on the parametric tests, long-term testing will
be performed at only the site exhibiting the better sorbent performance. In
other words, long-term testing of high temperature sorbents will occur at only
one site.
Table 2. Host Site Key Descriptive Information
----------------- ------------- ------------- ------------- -------------
AEP Entergy MidAm MidAm
Gavin Indepen. CB Louisa
================= ============= ============= ============= =============
Unit No. 1 or 2 1 2 1
----------------- ------------- ------------- ------------- -------------
Size (MW) 1,200 842 88 700
----------------- ------------- ------------- ------------- -------------
Test Portion 200 210 88 350
(MW)
----------------- ------------- ------------- ------------- -------------
Coal Bit PRB PRB PRB
----------------- ------------- ------------- ------------- -------------
Heating 11,111 8,870 8,425 8,500
Value
(as rec'd.)
----------------- ------------- ------------- ------------- -------------
Sulfur 3.9 0.32 0.32 0.32
(% by
weight)
----------------- ------------- ------------- ------------- -------------
Chlorine 1,333 50 50-100 50-100
(ppm)
----------------- ------------- ------------- ------------- -------------
Mercury 0.17 0.04 0.08 0.08
((mu)g/g)
----------------- ------------- ------------- ------------- -------------
Particulate CSESP CSESP HSESP HSESP
Control
----------------- ------------- ------------- ------------- -------------
SCA/fields 430/6 542/8 224/(4) 459/5
(ft2/kacfm)
----------------- ------------- ------------- ------------- -------------
Sulfur Control Wet Compl. Coal Compl. Coal Compl. Coal
FGD
----------------- ------------- ------------- ------------- -------------
Disposition of Disposed Sold Some sold Sold
Ash
----------------- ------------- ------------- ------------- -------------
Typical Inlet
Mercury 13-18 6-7 11.1-13.5 11.1-13.4
((mu)g/dncm)
----------------- ------------- ------------- ------------- -------------
Typical Mercury 0% (ESP) 10%-20% 0%-10% 0%-10%
Removal 70%+ in
(FGD)
----------------- ------------- ------------- ------------- -------------
28
Table 3. Measured and Predicted Mercury Concentrations and Removal
-------------------------------------- ------------------------ ----------------------- ------------------------------
Inlet Outlet Removal Efficiency
-------------------------------------- ------------------------ ----------------------- ------------------------------
Gavin(a)
-------------------------------------- ------------------------ ----------------------- ------------------------------
Particulate ((mu)g/dncm) 0 0
-------------------------------------- ------------------------ ----------------------- ------------------------------
Oxidized ((mu)g/dncm) 2 2
-------------------------------------- ------------------------ ----------------------- ------------------------------
Elemental ((mu)g/dncm) 13 13
-------------------------------------- ------------------------ ----------------------- ------------------------------
Total ((mu)g/dncm) 15 15 0% across ESP
-------------------------------------- ------------------------ ----------------------- ------------------------------
Independence(b)
-------------------------------------- ------------------------ ----------------------- ------------------------------
Particulate ((mu)g/dncm) 0.8-1.0 0 >99%
-------------------------------------- ------------------------ ----------------------- ------------------------------
Oxidized ((mu)g/dncm) 1.0-1.2 0.8-1.1
-------------------------------------- ------------------------ ----------------------- ------------------------------
Elemental ((mu)g/dncm) 4.0-4.9 3.2-4.4
-------------------------------------- ------------------------ ----------------------- ------------------------------
Total ((mu)g/dncm) 6.0-7.0 4.8-6.3 10-20%
-------------------------------------- ------------------------ ----------------------- ------------------------------
Council Bluffs(c)
-------------------------------------- ------------------------ ----------------------- ------------------------------
Particulate ((mu)g/dncm) 1.4-1.8 0 >99%
-------------------------------------- ------------------------ ----------------------- ------------------------------
Oxidized ((mu)g/dncm) 1.9-2.4 1.7-2.4
-------------------------------------- ------------------------ ----------------------- ------------------------------
Elemental ((mu)g/dncm) 7.5-9.6 6.7-9.6
-------------------------------------- ------------------------ ----------------------- ------------------------------
Total ((mu)g/dncm) 11.1-13.5 10.0-13.5 0-10%
-------------------------------------- ------------------------ ----------------------- ------------------------------
Louisa(c)
-------------------------------------- ------------------------ ----------------------- ------------------------------
Particulate ((mu)g/dncm) 1.4-1.7 0 >99%
-------------------------------------- ------------------------ ----------------------- ------------------------------
Oxidized ((mu)g/dncm) 1.9-2.4 1.7-2.4
-------------------------------------- ------------------------ ----------------------- ------------------------------
Elemental ((mu)g/dncm) 7.5-9.6 6.7-9.6
-------------------------------------- ------------------------ ----------------------- ------------------------------
Total ((mu)g/dncm) 11.1-13.4 10.0-13.4 0-10%
-------------------------------------- ------------------------ ----------------------- ------------------------------
a. Mercury measurements during EPRI testing 2001.
b. Mercury speciation and concentration estimated based on coal analysis.
Removal efficiency estimated from similar configurations and using actual
test site outlet data.
c. Mercury speciation and concentration estimated based on coal analysis.
Removal efficiency estimated from similar configurations.
29
C. SCOPE OF WORK
To achieve the overall objective of this program an extensive field-test program
is proposed for each site. A team of experienced personnel has been assembled to
conduct the primary tasks. This approach will minimize the challenges associated
with installing the technologies and assure the same quality data and execution
as previous tests that ADA-ES has performed. The key components are summarized
below.
o The use of a semi-continuous mercury analyzer (SCEM) similar to the
design used during sorbent injection field-testing at the seven
full-scale coal-fired power plants under EPRI and DOE/NETL programs in
2001 through 2003. During previous programs, the analyzer demonstrated
reliable performance when operated by a skilled engineer and could be
quickly repaired if problems occurred. ADA-ES personnel will operate
the SCEM.
o Injection equipment will be operated and maintained by experienced
engineers who can quickly determine and fix operating problems.
o Results will be analyzed and reviewed daily by engineers experienced
in parametric evaluations of new pollution control technologies.
The field-tests will be accomplished through a series of tasks. The tasks are
independent from each other in that they each have specific goals and tests
associated with them. However, they are also interdependent, as the results from
each task will influence the test parameters of subsequent tasks. A summary of
each task is presented.
ADA-ES engineers will coordinate with plant personnel to retrieve the necessary
plant operating data files. An example of the operating data is included in
Table 4. These data will be integrated into the sorbent injection and mercury
control data. Data will be reviewed daily if it can be provided by the plant
daily. ADA-ES site engineers will work closely with plant operators to monitor
plant operation in real-time during testing. If at any time the performance of
the existing pollution control equipment degrades or if there is a measurable
increase in outlet emissions that becomes a concern, testing will be halted.
The primary extraction locations for the mercury SCEMs will be across the entire
air pollution control train, and at the inlet and outlet of the ESP. Triplicate
manual mercury samples using the draft Ontario Hydro Method will be collected at
the inlet and outlet locations. One set of triplicate measurements will be done
during baseline testing and three sets of triplicate measurements will be made
during the long-term testing phase (near the beginning, middle and end of the
long-term tests). Because of the influence of HCl on sorbent effectiveness, HCl
measurements will be made at each site to better characterize the flue gas. The
extraction location will be identified after a full velocity and temperature
traverse to indicate a representative duct average mercury concentration.
30
Table 4. Typical Data Collected During Field-Testing
----------------------------- --------------------------------------------- --------------- ---------------------
Parametric/
Parameter Sample/Signal/Test Baseline Long-Term
----------------------------- --------------------------------------------- --------------- ---------------------
Coal Batch sample Yes Yes
----------------------------- --------------------------------------------- --------------- ---------------------
Coal Plant signals: Yes Yes
burn rate (lb/hr)
quality (lb/MMBTU, % ash)
----------------------------- --------------------------------------------- --------------- ---------------------
Fly ash Batch sample Yes Yes
----------------------------- --------------------------------------------- --------------- ---------------------
Wet scrubber blowdown, Batch sample Yes No/Yes
solids discharge and feed
limestone
----------------------------- --------------------------------------------- --------------- ---------------------
Unit operation Plant Signals: Yes Yes
Boiler load
Measure of flow for partial unit
test (e.g., fan amps)
----------------------------- --------------------------------------------- --------------- ---------------------
Temperature Plant signal at particulate collector inlet Yes Yes
and outlet
----------------------------- --------------------------------------------- --------------- ---------------------
Temperature Full traverse, inlet and outlet Yes No
----------------------------- --------------------------------------------- --------------- ---------------------
Duct Gas Velocity Full traverse, inlet and outlet Yes No
----------------------------- --------------------------------------------- --------------- ---------------------
Mercury (total and Au-CVAAS SCEM Yes Yes
speciated)
----------------------------- --------------------------------------------- --------------- ---------------------
Mercury (total and Ontario Hydro, inlet and outlet Yes (1 set) No/Yes (2 sets)
speciated)
----------------------------- --------------------------------------------- --------------- ---------------------
Multi-Metals Emissions Method 29 Yes, outlet No/Yes, outlet
----------------------------- --------------------------------------------- --------------- ---------------------
Sorbent Injection Rate PLC, lbs/min No Yes
----------------------------- --------------------------------------------- --------------- ---------------------
Plant CEM data (NOx, O2, Plant data--stack Yes Yes
SO2)
----------------------------- --------------------------------------------- --------------- ---------------------
HCl EPA Method 26A Yes Yes
----------------------------- --------------------------------------------- --------------- ---------------------
Stack Opacity Plant data Yes Yes
----------------------------- --------------------------------------------- --------------- ---------------------
Pollution control equipment Plant data (ESP power, baghouse cleaning, Yes Yes
operation etc.)
----------------------------- --------------------------------------------- --------------- ---------------------
Figures 1 and 2 below show general configurations of power plant to be tested
for TOXECON IITM and the high-temperature sorbents. The figures show sampling
locations and types of samples to be collected.
31
-- GRAPHIC ON FILE --
Figure 1. General arrangement and samples to be collected in TOXECON II(TM)
tests.
Figure 2 (below). General arrangement and samples to be collected in
high-temperature sorbent tests.
-- GRAPHIC ON FILE --
32
D. TASKS TO BE PERFORMED
A work plan is proposed that will effectively accomplish the objectives and
perform long-term testing at the optimum conditions. The program will be
accomplished by following a series of technical tasks:
Task 1. Site Coordination, Kickoff Meeting, Test Plan and QA/QC Plan
Task 2. Design and Install Site Specific Equipment
Task 3. Field-Tests-Sorbent Screening
Task 4. Field-Tests-Baseline Tests
Task 5. Field-Tests-Parametric Tests
Task 6. Field-Tests-Long-Term Tests
Task 7. Data Analysis
Task 8. Sample Evaluation
Task 9. Site Report
Task 10. Technology Transfer
Xxxx 00. Management and Reporting
Xxxx 00. Ash Processing/Sorbent Recycling Options
Tasks 1-11 will be repeated for each test site with modifications designed
to address the specific configurations, needs and challenges of each host site.
The field-testing tasks are the heart of the program where mercury controls are
actually tested and operating experience is gained.
Task 1. Site Coordination, Kickoff Meeting, Test Plan and QA/QC Plan
Efforts within this task include planning the site-specific tests with the host
site, DOE/NETL and contributing team members. The planning process includes
meeting with plant personnel, corporate, and environmental personnel to discuss
and agree upon the overall scope of the program for that particular site, the
potential impact on plant equipment and operation, and to gather preliminary
information necessary to develop a detailed draft test plan and scope of work.
Efforts include identifying any permit requirements, developing a quality
assurance/quality control plan, finalizing the site-specific scope for each of
the team members, and putting subcontracts in place for Ontario Hydro mercury
measurement services.
A key component of the planning process for these evaluations is identifying
potential sorbents for testing. The test program at each site allows for the
evaluation of different sorbents because of the economic impact of sorbent cost
on the overall cost of mercury control and disposal considerations. In addition,
sorbents that have the potential to capture mercury at the low HCl conditions
typical of subbituminous units will be evaluated. NORIT DARCO FGD will be one of
the sorbents tested because of its benchmark qualities as being tested widely in
previous DOE/EPRI/EPA-sponsored testing. Because of the economic impact of
sorbent cost on the overall cost of mercury control and disposal considerations,
it is desirable to find less expensive sorbents and non-carbon-based sorbents.
As part of the proposed scope, Quality Assurance and Quality Control (QA/QC)
will be documented and specific procedures adhered to. The primary objectives of
the QA/QC effort at each proposed site will be to control, evaluate, and
document data quality to ensure that data generated are of sufficient quality to
meet program objectives. Specific key parts of the QA/QC plan will include:
o QA/QC in sample collection, analytical and data analysis,
o Integral performance evaluation and verification of Hg removal,
o Procedural remedies for identified data deficiencies, and
33
o Oversight and documentation of all QA/QC.
o
A draft test plan will be presented at a kickoff meeting at the plant site. The
test plan and supporting documents will be available for host site personnel to
use when addressing permitting, scheduling and operating issues. Following the
kickoff meeting, the final test plan will be developed with input and approval
from both the host site and DOE.
Task 2. Design and Install Site-Specific Equipment
Some components are site-specific and, by necessity, will be provided by the
host utility. These are components that must be sized and designed for the
specific plant arrangements and ductwork configurations. Site-specific equipment
includes the sorbent distribution manifold and sorbent injectors (if possible
these components will be re-used at multiple sites). Required site support
includes installation of the injection and sampling ports (if not available),
installation of required platforms and scaffolding, compressed air, electrical
power, wiring plant signals including boiler load to the injection skid and
control trailer, and balance of plant engineering.
ADA-ES engineers will work with plant engineers to develop an installation and
contractor bid package for installation activities, and work with the
installation contractors. The host utility will be responsible for all
permitting and any variance requirements. In addition, the host utility will
make arrangements to isolate fly ash from the test unit during sorbent
injection.
Silo systems from previous Phase I and II testing will be used as much as
possible on the testing proposed here. The equipment will cover the expected
range of plant sizes and flue gas conditions described in this proposal. In
summary, the equipment will include a sorbent injection system with a
bulk-storage silo and twin blower/feeder trains. Sorbent is metered by variable
speed screw feeders into eductors that provide the motive force to carry the
sorbent to the injection point. Flexible hose carries the sorbent from the
feeders to distribution manifolds located on the flue gas duct, feeding the
injection probes. Silo systems will be used at all plants except MidAmerican
Louisa. A liquid sorbent will be used at Louisa, and the site is already
equipped with a liquid injection system for flue gas conditioning, therefore new
lances and distribution systems will not be required.
PAC is delivered in bulk pneumatic trucks and loaded into the silo, which is
equipped with a bin vent bag filter. From the two discharge legs of the silo,
the sorbent is metered by variable speed screw feeders into eductors that
provide the motive force to carry the sorbent to the injection point.
Regenerative blowers provide the conveying air. A PLC system is used to control
system operation and adjust injection rates. Figure 3 is a photograph of the
sorbent silo and feed train designed to treat a 150-MW boiler on a unit with an
ESP. Flexible hose carries the sorbent from the feeders to distribution
manifolds located on the flue gas ducts, feeding the injection probes. Each
manifold supplies up to six injectors.
ADA-ES will oversee installation and system checkout of the mercury control
equipment. Procedures followed in this task will be similar to those used in the
previous full-scale mercury control programs ADA-ES conducted for DOE (Phase I
testing). If necessary, ADA-ES is capable of taking responsibility for all
phases of the installation, except for final connections into plant utilities.
ADA-ES will work with the host utility to assure that the equipment is installed
in an efficient manner, within the resources available at the site.
ADA-ES will be responsible for the final checkout of all systems and for the
general maintenance of the systems during testing. At least one engineer or
technician who is solely dedicated to the operation of the equipment will be
on-site for all tests. The actual equipment installation, not including
preparation tasks, is estimated to take three weeks. This includes time for
checkout and troubleshooting. ADA-ES will also install the mercury SCEMs at the
host utility.
34
-- GRAPHIC ON FILE --
Figure 3. Carbon injection storage silo and feeder trains for 150 MWs (Phase I
System).
Special consideration for site-specific equipment will be made for injection and
sampling locations for the high-temperature sorbent test sites given the extreme
temperature conditions. Reaction Engineering will be contracted to perform
computational fluid dynamic modeling of the high-temperature zones in order to
aid in the optimal siting of the injection lances.
For the TOXECON IITM sites, ESP designs will be studied thoroughly to evaluate
proper siting of the injection lances between collection fields. In addition,
xxxxxx sections and ash handling systems will be evaluated for potential
modifications to maximize the segregation of clean ash from the ash that
contains sorbent.
Task 3. Field-Tests - Sorbent Screening (HT Sorbents Sites Only)
At the Council Bluffs site (the Louisa site may be substituted as a surrogate
for the Council Bluffs site for the sorbent screening testing because flue gas
characteristics are similar and test locations may have easier access), selected
dry sorbents will be screened on actual flue gas. ADA-ES has successfully used a
process in past projects where sorbent suppliers and developers are solicited to
provide samples of material for the screening tests. Qualification criteria are
used to down-select sorbents based on projected commercial prices and the
vendor's ability to produce sorbents in quantities required for full-scale runs.
Results on screening tests will be used by the team to select alternative
sorbents.
Sorbent screening tests are not planned for the TOXECON IITM sites because a
considerable amount of sorbent information will have been collected from other
Phase II plants that ADA-ES is testing during 2004 under similar cold-side ESP
flue gas conditions (20-30 sorbents have been screened at Sunflower Xxxxxxx in
Spring 2004).
35
ADA-ES has developed a sorbent screening fixture that can be used to evaluate
three sorbents at a time. Flue gas from the host site is drawn through a fixture
where it is split into three streams, each containing a bed of sorbent. An
analyzer is used to measure inlet and outlet mercury concentrations from each
sorbent bed. The fixture was used to evaluate more than 20 different sorbents in
a matter of just a few days recently as part of the Phase II testing being
conducted at Sunflower Electric's Xxxxxxx Station.
Task 4. Field-Tests - Baseline Tests
Once the equipment is installed, a set of baseline tests will be conducted just
prior to the parametric testing. Ontario Hydro mercury measurements will be
conducted in conjunction with SCEM measurements during this task. Unit operation
will be set at conditions expected during the parametric tests. It is
anticipated that boiler load will be held constant at full-load and that the air
pollution equipment will be operated under standard full-load conditions (e.g.,
standard soot blowing and ESP rapping sequences will be used).
Task 5. Field-Tests - Parametric Tests
The goals of this task are to define the quantity of sorbent required to obtain
different levels of mercury removal, such as 30%, 50% and 70% of the remaining
mercury. Up to four weeks of parametric testing will be conducted, depending on
the host site test plan.
The first week of parametric testing at the TOXECON II sites will be conducted
using the benchmark sorbent, FGD. The second week typically evaluates alternate
sorbents at injection concentrations determined in the week one tests. The third
and fourth weeks will be used to evaluate additional sorbents and varying
operating conditions. A condition is typically tested for about 8 hours, and
then the system is shut down and allowed to return to baseline conditions before
the next parametric test.
Several liquid sorbents will also be tested at Louisa. This will be done by
preparing several different formulations of liquid chemicals and spraying these
chemicals into the Louisa flue gas using the existing equipment at the site.
Mercury measurements will be made upstream and downstream of the liquid
injection location. to measure mercury removal rates.
Task 6. Field-Tests - Long-Term Tests
Long-term testing will be conducted at the "optimum" settings as determined in
the parametric tests and approved by both DOE and the host utility. The goal of
this task is to obtain sufficient operational data on removal efficiency over
time (this will be done for at least 4 continuous weeks), determine the effects
on the particulate control device, determine the effects on the sulfur control
equipment (if any), determine effects on byproducts, and determine impacts to
the balance of plant equipment to prove viability of the process and determine
the economics. During this test, Ontario Hydro measurements will be conducted at
the inlet and outlet of the pollution control device(s) on three occasions
(beginning, middle and end of the long term test phase). This task is the single
most important step in gaining acceptance from the utility industry as to the
practical implementation of mercury removal technologies on coal-fired power
plants.
36
Task 7. Data Analysis
Data collection and analysis for this program is designed to measure the effect
of sorbent injection on mercury control and the impact on the existing pollution
control equipment. The mercury levels and plant operation will be characterized
without sorbent injection and with various sorbents and injection rates and
possible combustion modifications as defined by the final test plan, and a
long-term evaluation to identify effects that may not be immediate.
Many signals typically archived by the plant will be monitored to determine if
any correlation exists between changes in mercury concentration with measured
plant operation. A correlation is not unusual between temperature and load for
example.
Because of the apparent influence of HCl on sorbent effectiveness, HCl
measurements will be conducted and samples analyzed to determine if a
correlation between sorbent effectiveness and HCl concentrations.
Task 8. Sample Evaluation
Coal and combustion byproduct samples collected throughout the field-test will
be analyzed in this task. During all test phases, samples of coal, fly ash and
scrubber waste will be collected for analysis. Dr. Xxxxxx Senior of Reaction
Engineering International will head up this task.
A full analysis of the coal will be conducted including the mercury, sulfur
levels, chlorine and other halogens. Sorbent injection will result in the fly
ash and scrubber materials being mixed with mercury-containing sorbent. The ash
samples will be analyzed at a minimum for mercury and LOI. Scrubber solids
discharge material as well as reagent feed will be analyzed for mercury. Because
of the apparent influence of different halogens on sorbent effectiveness, gas
phase measurements of the various halogens such as chlorine, bromine and
fluorine will be conducted and samples analyzed to determine if there is a
correlation between sorbent effectiveness and halogen concentrations. Actual
number and types of tests are determined in the final test plan for each host
site.
Although previous tests from a number of programs have shown that the byproducts
mixed with activated carbon are highly stable, it is important to continue
evaluating these byproducts for each condition using well-established and
documented techniques and new techniques designed to perform even more robust
analyses of the byproducts. Standard test methods will include the Toxicity
Characteristic Leaching Procedure (TCLP, SW846-1311), synthetic groundwater
leaching procedure (SGLP), concrete acceptability tests under ASTM Specification
C618, and air entrainment tests. Additional ash and scrubber samples will be
collected and archived for other tests, including tests requested by EPA, DOE,
and independent companies approved by DOE.
Microbeam Technologies, Inc. (MTI) will be one of the subcontractors under this
task. Dr. Xxxxx Xxxxxx will coordinate the activities of MTI and act as a
technical consultant to the program. MTI specializes in the analysis of ash
produced as a result of combustion and gasification of fossil fuels using a
variety of analytical methods. Additional analytical organizations may be
contracted with to provide specific analytical services (e.g., EERC, CTL
Xxxxxxxx).
37
Table 5 summarizes the testing to be conducted under this task and Table 6 shows
the sampling frequency and total volume of samples to be collected from each
site.
Table 5. Summary of Waste Characterization Testing
------------ ------------------------ ------------------------------- -----------------------------------------------
Series Test Purpose Test Method Comments
------------ ------------------------ ------------------------------- -----------------------------------------------
Measures leachable Hg, As, Xx, Xx, Xx, Xx,
0 Xxx Xxxxxxxx XXXX (SW846-1311) Se, Ag
------------ ------------------------ ------------------------------- -----------------------------------------------
Measures LOI, total oxides, sulfur trioxide,
Cement Additive ASTM C618 moisture, available alkalines, fineness,
2 Suitability Air Entrainment Shaker Test pozzolanic activity, autoclave soundness,
specific gravity, air entrainment
------------ ------------------------ ------------------------------- -----------------------------------------------
Environmental Measures leachable Hg at 18 hrs, 2 weeks,
Stability - Leaching EERC SGLP and 4 weeks
3
Environmental
Stability - Air Release Measures Hg release as a function of
EERC Thermal Desorption temperature up to 500oC
------------ ------------------------ ------------------------------- -----------------------------------------------
As needed for troubleshooting or
4 Special Testing Various site-specific information needs
------------ ------------------------ ------------------------------- -----------------------------------------------
Table 6. Ash Sampling Schedule and Volumes - Each Test Site
-------------------------------- ------------------------------------------------ -----------------------------------
Test Condition Frequency Comments
-------------------------------- ------------------------------------------------ -----------------------------------
Baseline Grab samples Daily during tests ~30-gallon sample
-------------------------------- ------------------------------------------------ -----------------------------------
Parametric Test #1 Grab Samples Daily for 1 week ~30-gallon total sample
-------------------------------- ------------------------------------------------ -----------------------------------
Parametric Test #2 Grab Samples Daily for 1 week ~30-gallon total sample
-------------------------------- ------------------------------------------------ -----------------------------------
Parametric Test #3 Grab Samples Daily for 1 week ~30-gallon total sample
-------------------------------- ------------------------------------------------ -----------------------------------
Long-term Test Grab Samples Daily for 2 weeks ~200-gallon total sample
-------------------------------- ------------------------------------------------ -----------------------------------
Task 9. Site Report
This task provides time for performing an economic analysis for each site test
and completing a topical report for each site.
After completion of testing and analysis of the data at each plant, the
requirements and costs for full-scale permanent commercial implementation of the
selected mercury control technology will be determined. The program team will
meet with the host utility plant and engineering personnel to develop
plant-specific design criteria. Process equipment will be sized and designed
based on test results and the plant-specific requirements (e.g., reagent storage
capacity, plant arrangement, retrofit issues, winterization, controls
interface). A conceptual design document will be developed. This may include
modifications to the particulate collector, ash handling system, compressed air
supply, electric power capacity, other plant auxiliary equipment, utilities and
other balance of plant engineering requirements.
Finally, a budget cost estimate will be developed to implement the control
technology. This will include capital cost estimates for mercury control process
equipment as well as projected annual operating costs. Where possible,
order-of-magnitude estimates will be included for plant modifications and
balance of plant items.
38
The site report will include test procedures, analyses, and results obtained.
This report is intended to be a stand-alone document providing a comprehensive
review of the work at each site.
Task 10. Technology Transfer
Presentations will be made at selected conferences, with DOE approval, to
increase exposure of the test results and receive comments on the applicability
of the technology to the industry. Transferring the information generated during
this program to the coal-fired utility customers will be an important part of
the program. Xx. Xxxxxx, who led the technology transfer activities during the
Phase I program, will lead this important activity. The ultimate goal of
technology transfer is to make results available to the public as quickly,
comprehensively and accurately as possible. Technology transfer activities
performed in the previous tests included participating in DOE/NETL-sponsored
meetings, EPA Hg MACT Stakeholder meetings, presentations at more than 50 events
or companies, hosting a Web site for project team members and presentation of
project information, and publication of more than 100 technical papers. ADA-ES
will work with NETL in determining and supporting the key meetings,
presentations and publications. ADA-ES will also establish a Web site for the
project and participants. ADA-ES has done this on other NETL projects very
successfully.
Xxxx 00. Management and Reporting
This task provides time for overall program management, and preparation of
financial and administrative reports. This task will also support periodic
meetings with DOE to discuss progress and obtain overall direction of the
program from the DOE project manager.
Table 7 provides a summary of the reporting activities to be conducted
under the program.
Table 7. Summary of Reporting and Technology Transfer Activities
================================================================================
Activity or Report Frequency
--------------------------------------------------------------------------------
Program/Project Management
Federal Assistance Program/Project Status Report Quarterly
Financial Status Report Quarterly
Technical
Technical Progress Report Quarterly
Topical Report As Required
Final Report Final
Environmental
Hazardous Substance Plan Once After Award
Hazardous Waste Report Final
Property
Report of Termination or Completion Inventory Final
Exception
Hot Line Report As Required
Journal Articles/Conference Papers and Proceedings As Required
Technical Exchange Meetings
Contractor Review Meetings Yearly
Technical Conferences (e.g., A&WMA, Specialty Conferences) Semiannual
Other Deliverables
Mercury Control Cost Data Final
39
Task 12. Ash Processing and Sorbent Recycling Options
The purpose of this task is to investigate the recycling of sorbent in TOXECON
IITM. If recycling sorbent is technically feasible, considerable economic
benefit can result. During this task, a quantity of downstream ESP catch
(sorbent mixed with fly ash) will be collected for one day during a long-term
test series at one of the TOXECON IITM test sites. This will provide enough
material to be able to re-inject for at least an 8-hour period. Once the
long-term testing series is completed and the silo is empty of pure sorbent, it
will be filled with the recycle material for injection into the ESP. The
material will be fed at the same normalized sorbent concentration as that
established for the long-term testing. Mass balance calculations show that the
recycle mixture is expected to be slightly more than 50% sorbent content. This
means that the mixture will need to be injected at twice the feed rate as pure
sorbent in order to maintain the same normalized sorbent feed rate as when
feeding pure sorbent. The sorbent silo system is capable of providing this
turndown without significant modifications. Mercury measurements will be taken
upstream and downstream of the ESP using the same equipment that was used for
the long-term testing.
This task will be headed by Xxx Xxxxxx of Energy and Environmental Strategies,
an expert in ash processing technology assessment. Xx. Xxxxxx will evaluate the
technical data and perform an economic analysis of recycling.
The budget for this task includes site modifications that will allow xxxxxx
catch from downstream ESP fields to be collected easily. In addition, the budget
includes an allowance for vacuum trucks to remove the recycle material from the
hoppers, and conveying equipment to load the material into the sorbent silo.
E. DELIVERABLES
There will be a number of reports of different varieties prepared throughout the
project. Depending on the specific report or presentation, test results and data
analysis will be the focus for most. In addition, numerous technical papers will
be generated as a result of the work performed on the project. Again, these will
focus on the technical aspects of the effort (equipment, materials, test
protocols, test results, and data analysis). Equipment design parameters and
economic analysis of mercury control equipment and operation will also be
prepared.
F. BRIEFINGS AND TECHNICAL PRESENTATIONS
ADA-ES will prepare detailed briefings for presentation to the COR at the
COR's facility located in Pittsburgh, Pennsylvania, or Morgantown, West
Virginia. Briefings will cover the plans, progress, and results of the technical
effort.
40
In addition, ADA-ES will provide and present technical papers at the
DOE/NETL Annual Contractor's Review Meeting to be held at the NETL facility
located in Pittsburgh, Pennsylvania, or Morgantown, West Virginia.
41
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: DE-FC26-05NT42307 2. Program/Project Title: "Low-Cost
Options for Moderate Levels of Mercury Control"
-----------------------------------------------------------------------------------------------------------
3. Recipient: ADA-ES, Inc.
-----------------------------------------------------------------------------------------------------------
4. Reporting Requirements: Frequency No. of Copies Addresses
--------------------------------------------------------
I. MANAGEMENT REPORTING
|X| Progress Report Q 2 NETL AAD DOCUMENT CONTROL
|X| Special Status Report A 2 BLDG. 921
U.S. DEPARTMENT OF ENERGY
NATIONAL ENERGY
II. SCIENTIFIC/TECHNICAL REPORTING * TECHNOLOGY LABORATORY
X.X. XXX 00000
|X| Final Scientific/Technical Report FG 1 XXXXXXXXXX, XX 00000-0000
|X| Topical Report A 2
|X| Journal Articles/Conference Papers/Proceedings A 2
| | DOE 421.4, Software/Manual
| | Conference Record
III. FINANCIAL REPORTING
|X| SF-269 or SF-269A, Financial Status Report
| | SF-272, Federal Cash Transactions Report Q, FG 3
IV. CLOSEOUT REPORTING
|X| DOE F 2050.11, Patent Certification
|X| NETL F 580.1-9, Property Certificate FC 3
| | SF-120, Report of Excess Personal Property FC 3
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
| | Environmental Compliance Plan
| | Environmental Monitoring Plan
| | Environmental Status Report
| | Other
-----------------------------------------------------------------------------------------------------------
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:
* ONE PAPER COPY AND ONE ELECTRONIC PDF ELECTRONIC FILE COPY FOR ALL SCIENTIFIC/TECHNICAL REPORTS.
--------------------------------------------------------------------------------------------------
The forms identified in the checklist are available at
xxx.xxxx.xxx.xxx/xxxxxxxx/Xxxxxxxxx Assistance/forms-fa.html . Alternate
formats are acceptable provided the contents remain consistent with the form.
-----------------------------------------------------------------------------------------------------------
42
GENERAL INSTRUCTIONS FOR THE PREPARATION AND SUBMISSION OF REPORTS (JULY 2004)
------------------------------------------------------------------------------
The Recipient shall prepare and submit (postage prepaid) the reports indicated
on the "Federal Assistance Reporting Checklist" to:
NETL AAD DOCUMENT CONTROL
XXXX. 000
X. X. XXXXXXXXXX XX XXXXXX
NATIONAL ENERGY TECHNOLOGY LABORATORY
P. O. XXX 00000
XXXXXXXXXX, XX 00000-0000
Failure to follow these instructions can delay data entry of the report(s) into
the FEDERAL INFORMATION TRACKING SYSTEM and result in the report being lost or
considered delinquent.
The level of detail the Recipient provides in the reports shall be commensurate
with the scope and complexity of the effort and shall be as delineated in the
guidelines and instructions contained herein. The prime Recipient shall 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.
I. MANAGEMENT REPORTING
--------------------
PROGRESS REPORT
---------------
The Progress Report must provide a concise narrative assessment of the
status of work and 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. 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" 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. Results of work during reporting period- A detailed discussion of the
progress performance. The format will be determined by the DOE Project
Officer. (This section should not contain any proprietary or
classified data, or other information not subject to public release.
If such information is important to reporting progress, follow the
instructions in the clause entitled "Supplemental Guidelines"
regarding submission of a separate appendix for this type of
restricted data.). A suggested format is:
Approach - this should describe, or reference all experimental,
analytical and fabrication methods being used for the research and
development efforts. It should also provide detail about materials and
equipment being used. Standard methods can be referenced to the
appropriate literature, where details can be obtained. Equipment
should be described only if it is not standard, or if information is
not available through the literature or other reference publications.
43
Results and Discussion - 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.
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, as requested
by the DOE Project Officer.
6. 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.
7. Cost and schedule status. Cost Status - show approved budget by budget
period and actual costs incurred. If cost sharing is required break
out by DOE share, awardee share, and total costs. Schedule Status -
list milestones, anticipated completion dates and actual completion
dates. Awardees may use project management software, such as Microsoft
Project, to measure and report cost and schedule status.
8. 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.
9. 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.
10. 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:
44
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.
II. 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.
45
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.
GUIDELINES FOR ORGANIZATION OF FINAL SCIENTIFIC/TECHNICAL AND TOPICAL
REPORTS
---------------------------------------------------------------------
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 technical 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-FG26-04NT12345) 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*
46
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 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.
47
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 A SMALL
BUSINESS OR NONPROFIT ORGANIZATION 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 submit a draft version of the document to the DOE Project Officer
prior to the publication, presentation, or announcement. The DOE Project
Officer shall review the draft version of the document and notify the
Recipient of approval or recommended changes. The 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
48
III. FINANCIAL REPORTING
-------------------
FINANCIAL STATUS REPORT (STANDARD FORM 000 XX 000X)
---------------------------------------------------
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 immediately upon
completion or termination of the award.
PROPERTY CERTIFICATE (NETL F 580.1-9)
-------------------------------------
This certificate submitted on the NETL F 580.1-9 is due immediately upon
completion or termination of the award. The recipient must attach to this
certificate a final/completion inventory of all recipient acquired real
estate, equipment, and materials/supplies as specified in the appropriate
10 CFR 600 Financial Assistance Regulation.
V. OTHER REPORTING - None
---------------
49
ATTACHMENT C - BUDGET PAGE(S)
-----------------------------
DOE F 4600.4# U.S. DEPARTMENT OF ENERGY OMB Control No
(09-92) 1910-0400
Replaces EIA-459CF
All Other Editions
Are Obsolete
Federal Assistance Budget Information
OMB Burden Disclosure Statement
-------------------------------
Public reporting burden for this collection of information is estimated to
average 1.87 hours per response, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding
this burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to Office of Information
Resources Management, AD-241.2 - GTN, Paperwork Reduction Project (1910-0400),
U.S. Department of Energy, 0000 Xxxxxxxxxxxx Xxxxxx, X.X., Xxxxxxxxxx, XX 00000;
and to the Office of Management and Budget (OMB), Paperwork Reduction Project
(1910-0400), Xxxxxxxxxx, XX 00000.
---------------------------------------------------------------------------------------------------------------------------
1. Program/Project Identification No. 2. Program/Project Title
DE-FC26-05NT42307 "Low-Cost Options for Moderate Levels of Mercury Control"
---------------------------------------------------------------------------------------------------------------------------
3. Name and Address 4. Program/Project Start Date
ADA-ES, Inc. 02/**/05
0000 XxxxxXxxx Xxx, Xxxx X --------------------------------------------------------------
Xxxxxxxxx, XX 00000 5. Completion Date
02/**/08
---------------------------------------------------------------------------------------------------------------------------
SECTION A - BUDGET SUMMARY
---------------------------------------------------------------------------------------------------------------------------
Grant Program
Function or Federal Estimated Unobligated Funds New or Revised Budget
Activity Catalog No. ------------------------------- ----------------------------------------------------
(a) (b) Federal Non-Federal Federal Non-Federal Total
------------------ ------------------- --------------- --------------- -------------------- -------------------- ----------
1.Year 1 81.089 $595,189 $203,331 $798,520
2.Year 2 $1,708,587 $690,720 $2,399,307
3.Year 3 $1,642,546 $607,537 $2,250,083
4. TOTALS $ $ $3,946,322 $1,501,588 $5,447,910
---------------------------------------------------------------------------------------------------------------------------
SECTION B - BUDGET CATEGORIES
---------------------------------------------------------------------------------------------------------------------------
6. Object Class Categories Grant Program, Function or Activity
---------------------------------------------------------------------------------------------------------------------------
(1) Year 1 (2) Year 2 (3) Year 3 (4) Year 4 Total (5)
---------------------------------------------------------------------------------------------------------------------------
a. Personnel $71,244 $219,849 $198,143 $ $489,236
---------------------------------------------------------------------------------------------------------------------------
b. Fringe Benefits
(included in j. below)
---------------------------------------------------------------------------------------------------------------------------
c. Travel 36,126 104,083 86,200 226,409
---------------------------------------------------------------------------------------------------------------------------
d. Equipment
---------------------------------------------------------------------------------------------------------------------------
e. Supplies 47,100 38,380 85,480
---------------------------------------------------------------------------------------------------------------------------
f. Contractual 368,821 730,051 662,350 1,761,222
---------------------------------------------------------------------------------------------------------------------------
g. Construction
---------------------------------------------------------------------------------------------------------------------------
h. Other 7,322 314,244 327,419 648,985
---------------------------------------------------------------------------------------------------------------------------
i. Total Direct Charges 483,513 1,415,327 1,312,492 3,211,332
---------------------------------------------------------------------------------------------------------------------------
j. Indirect Charges 315,007 983,980 937,591 2,236,578
---------------------------------------------------------------------------------------------------------------------------
k. TOTALS $798,520 $2,399,307 $2,250,083 $ $5,447,910
---------------------------------------------------------------------------------------------------------------------------
7. Program Income $N/A $N/A $N/A $N/A $
---------------------------------------------------------------------------------------------------------------------------
50
ATTACHMENT D -- RECIPIENT ACQUIRED PROPERTY
-------------------------------------------
DESCRIPTION OF PROPERTY ESTIMATED ACQUISITION COST
----------------------- --------------------------
EQUIPMENT NONE
(Tangible, nonexpendable personal property
charged directly to the award having a useful
life of more than one year and an acquisition
cost of $5,000 or more per unit.)
TOTAL
----------
Non-Expendable Property
-----------------------
Misc. M&S $ 0
Sorbent $ 0
Non-Expendable M&S Through Subcontractors (See Note 1) $ 471,466
Non-Expendable M&S for ACI Equipment $ 0
NORIT Activated Carbon $ 0
Other $ 0
Expendable Materials and Supplies
---------------------------------
Misc. M&S
Fittings $ 7,558
Glassware $ 2,790
Chemicals $ 38,823
Tubing, heated lines $ 28,824
Filters $ 7,485
----------
Subtotal Misc. M&S $ 85,480
Sorbent $ 242,123
Expendable M&S Through Subcontractors (See Note 2) $ 159,069
Expendable M&S for ACI Equipment (See Note 3) $ 33,300
NORIT Activated Carbon $ 86,382
Other $ 0
TOTAL $1,077,820
----------
Note 1. Misc. pipe fittings, steel, scaffolding, electricals, hardware,
platforms, etc.
Note 2. Misc. tubing, fittings, valves, chemicals, electrical parts, glassware,
hardware, etc.
Note 3. Misc. hardware and upgrade allowance for sorbent injection system.
