EXPLORATORY RESEARCH

REQUEST FOR PROPOSALS

RFP2015-ER

Issued by the

Illinois Department of Commerce and Economic Opportunity

Office of Coal Development

through the

Illinois Clean Coal Institute

Date Issued: Monday, May 5, 2014

Date Due: Monday, July 7, 2014

TABLE OF CONTENTS

ANNOUNCEMENT OF REQUEST FOR PROPOSALS............................................................... 1

LEGAL.......................................................................................................................................... 1

REQUIREMENTS AND CONDITIONS FOR PROPOSALS........................................................ 2

GENERAL PROPOSAL INFORMATION..................................................................................... 4

PROPOSAL FORMAT................................................................................................................. 4

PROPOSAL PACKET.................................................................................................................. 5

DEADLINE................................................................................................................................... 5

SUBMISSION INFORMATION.................................................................................................... 5

PROPOSAL RESPONSIVENESS............................................................................................... 6

PROPOSAL REVIEW PROCESS............................................................................................... 6

DETAILED INSTRUCTIONS FOR COMPLETING RFP2015-ER................................................ 7

Principal Investigator Diversity Form..................................................................................... 7

Section 1. Instructions for the Application Form.................................................................. 9

Section 2. Abstract Page..................................................................................................... 12

Section 3. Executive Summary........................................................................................... 12

Section 4. Description of Technology................................................................................. 12

Section 5. Application to Illinois Coal.................................................................................. 12

Section 6. Proposed R&D and Statement of Work............................................................. 13

Section 7. Project Management Statement........................................................................ 15

Section 8. Project Cost Proposal........................................................................................ 16

Section 9. Subgrant Review Certification........................................................................... 27

APPENDIX A. RESUMES........................................................................................................ 28

APPENDIX B. DETAILED SUBCONTRACTS.......................................................................... 28

ANNOUNCEMENT OF REQUEST FOR PROPOSALSEnclosed is information pertaining to the Request for Exploratory Research Proposals number RFP2015-ER, issued by the Illinois Department of Commerce and Economic Opportunity’s (DCEO) Office of Coal Development (OCD), through the Illinois Clean Coal Institute (ICCI).

This Exploratory Research (ER) program is aimed at providing initial funding for coal-related research projects. Through this Request for Proposals (RFP), the ICCI hopes to attract researchers new to the field. In ER projects, the scientific merit and technical feasibility of a proposed concept can be investigated. Through the ER approach, the ICCI can determine whether a research idea, often on high-risk advanced concepts, is technically feasible, whether the individual and/or company can do high-quality research, and whether sufficient progress has been made to consider further investigation of the proven concept. The ER RFP also releases applicants from some of the stricter budget and reporting requirements in the ICCI’s Research and Development RFP.

Prospective proposers interested in obtaining funding for research and development of clean coal technologies for Illinois coal should also read the concurrent RFP2015, a separate document available at http://icci.org/rfppage.php.

LEGALNeither receipt of this RFP from the ICCI nor the submission of a proposal in response to this RFP confers any rights upon the applicant. The issuance of this RFP does not obligate the ICCI to award a contract or to pay costs incurred by the applicant in preparation and submission of a proposal.

Contractual terms of awards resulting from this RFP will include the requirements of the ICCI and the DCEO. Funding in any research area is subject to receipt of suitable proposals and formal release of appropriated funds.

The ICCI reserves the right to reject proposals not complying with requirements of this RFP, and also reserves the right to waive non-material irregularities in a proposal if it determines that such waiver is in the best interest of the ICCI.

Late proposal packets may be accepted at the discretion of the ICCI only if tardiness is due to uncontrollable shipping problems and the proposal was scheduled to arrive by the deadline. Documentation of such scheduling will be required.

Proposals should not include trade secrets and/or confidential/proprietary or privileged information. The ICCI can only make a best-effort attempt to protect such information. The ICCI cannot be held responsible if disclosures of such information occur. Consequently, the proposing individual and/or organization acknowledges by submission of a proposal in response to this RFP that these disclosures may be possible and the sponsor will not be held responsible. However, this should not deter an applicant from explaining the technology or process in detail. For example, a catalytic process can be described without mentioning the specific composition of the catalyst or how it is manufactured.

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IMPORTANT INFORMATION SIGNThroughout this RFP, the preceding sign will be used to identify important information. This sign will highlight areas important to proposal responsiveness, and will also draw attention to requirements of the RFP that may have changed from previous solicitations.

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

REQUIREMENTS AND CONDITIONS FOR PROPOSALSThis section provides a broad overview of the requirements and procedures for the preparation and submission of proposals in response to RFP2015-ER.

The following conditions apply to RFP2015-ER:

All proposals must have an Illinois coal emphasis, and the proposed research must use Illinois coal. In gasification/combustion research and investigation of downstream related processes, a simulated syngas/flue gas may be used if the gas reflects conditions and components from the combustion or gasification of Illinois coal.

Any resulting research contracts will be cost-reimbursable. Although a principal investigator (PI) may submit more than one proposal for

consideration under this RFP, only one ER project per PI will be chosen for funding. Applicants may not submit the same proposal to both RFP2015 and RFP2015-ER. Reports will be limited to a 6-month interim report and a final report. Follow-up funding is not guaranteed.

EXPLORATORY RESEARCH PROGRAM FUNDING AREAS

The ICCI encourages interaction between small businesses, universities, business schools, research centers, industry, the DOE, and/or other state and federal agencies to provide the multi-disciplinary expertise and cost sharing necessary to develop a successful research program. Although this RFP has an Illinois Basin coal emphasis, there are numerous opportunities that do not require experience in hands-on coal research, such as carbon management, materials, catalysis, fundamental and applied chemistry, business practices, mining, and engineering studies. Individuals who would like more information on these areas should refer to the Research and Development RFP (RFP2015), a separate document available online at http://icci.org/rfppage.php. The RFP2015 discusses possible research areas in detail, and also includes research areas not of interest, which also apply to this solicitation. The ICCI welcomes research in any area that supports the overall goals of the ICCI as defined in the ICCI Mission Statement. A copy of the ICCI Mission Statement is available at http://icci.org/mission.php.

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WHO MAY APPLY & FUNDING PRIORITIES

The ER program has been instituted with the goal of stimulating breakthrough research that can lead to innovations beyond the current state of the art. This RFP is intended for all qualified research organizations including, but not limited to, universities, colleges, laboratories, research centers, and private businesses. We encourage any proposals that will benefit the use of Illinois coal. Once suitable projects for funding have been identified, preference will be given to:

Principal investigators new to the area of coal research, and/or who have not previously been funded by the ICCI. Collaborative efforts with an experienced researcher are encouraged, but not required. Practical, experimental research is preferred as opposed to literature reviews or computer modeling exercises only.

Researchers who would like to explore innovative ideas and concepts that may lead to the utilization of Illinois coal in an environmentally acceptable manner. The research does not have to be directly applicable to any established coal technology; it should rather be cutting edge research in its initial stages.

This RFP does not target researchers with extensive coal research experience; however, we encourage these persons to act as mentors for junior/inexperienced researchers.

In acting as a mentor, senior researchers should contribute their salaries and other costs as a cost share to the project to allow the PI to gain maximum benefit from limited project funds.

Proposals that include collaboration and cost sharing between research organizations and industry are particularly desired and will be viewed favorably. Funding decisions are made solely on the quality and applicability of the proposed research. We encourage proposals from researchers all over the United States, as long as the research addresses areas discussed in detail in RFP2015, and supports the overall goals of the Illinois Clean Coal Institute as defined in the ICCI Mission Statement available on the ICCI website. The RFP2015 is for funding of research and development projects, and is a concurrent but separate document available at http://icci.org/rfppage.php.

AWARD FUNDING

Funding for individual proposals is limited to a maximum of $50,000 with a project period of one year (12 months) starting January 1, 2015. Budget amendments and project extensions will not be allowed. All project funds will be dependent on appropriation and allocation of state funds to the ICCI for FY15.

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GENERAL PROPOSAL INFORMATION

PROPOSAL FORMATThis section describes the required proposal format. A complete proposal must consist of the following sections and appendices in the order given, using the appropriate section number.

Section 1. Application Form.

The application form must be the first page of your proposal. (Please see the Important Information Sign below for the only exception).

Do not include cover letters, cover pages, brochures, table of contents, or forms not provided in this RFP.

Section 2. Abstract Page. A maximum of 500 words.

Section 3. Executive Summary. A maximum of two pages.

Section 4. Description of Technology.

Section 5. Application to Illinois Coal.

Section 6. Proposed R&D and Statement of Work.

The total number of pages for sections 2 through 6 should not

exceed 10 pages.

Section 7. Project Management Statement.

Section 8. Project Cost Proposal. Consists of five (5) budget forms.

Section 9. Subgrant Review Certification.

Appendix A. Resumes.

Instructions for preparing each of the above sections are provided in the following pages.

The State of Illinois’ Department of Commerce and Economic Opportunity Office of Coal Development now requires the completion of a Principal Investigator Diversity Form. Only one copy is needed by the ICCI, and must be attached as the first page to an original copy of the proposal (see Proposal Packet, page 5). Including the Diversity Form with all other proposal copies is not required.

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PROPOSAL PACKETA complete proposal packet will consist of:

One (1) single-sided proposal with original signatures. Use a binder clip only; do not staple or bind the proposal in any other way.

The original proposal should have the Diversity Form placed before the Application Form. Diversity Forms for the other proposal copies are not required.

Seven (7) double-sided copies. These copies must be stapled in the top left corner.

A CD-ROM containing the complete proposal in Microsoft Word format. PDF files will not be accepted. The Diversity Form must be included as a separate Word document. The proposal document should contain all the sections as listed under Proposal Format on page 4 in one file – do not make separate files for each section. The CD must be labeled with the proposal title, principal investigator’s name and organization, and RFP2015-ER.

Do not include cover letters, cover pages, brochures, or forms not provided in this RFP.

DEADLINE The complete proposal packet as described above must be received at the location listed below no later than Monday, July 7, 2014, at 4:00 PM (Central Daylight Time). Early receipt will be welcomed.

SUBMISSION INFORMATIONSubmit the proposal packet via Courier or US Mail to:

Dr. Francois Botha Illinois Clean Coal Institute5776 Coal Drive, Suite 200Carterville, IL 62918-3328

Telephone: 618 985 3500

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PROPOSAL RESPONSIVENESSTo be considered responsive, the proposal must:

Adhere to the requirements listed in the section Proposal Packet.Consist of all the sections and appendices in the order given, as discussed

under the section Proposal Format on page 4, including one copy of the Diversity Form.

Adhere to all requirements listed in the Detailed Instructions for Completing RFP2015-ER section.

Meet the submission deadline.

PROPOSAL REVIEW PROCESSTo achieve the goal of the DCEO/ICCI R&D program, investments must be made in ideas and technology with the greatest potential to benefit the Illinois coal industry in the shortest possible time. Therefore, the intent of the proposal review process is to select those projects that identify and promote the development of cutting-edge ideas and technologies that have the greatest potential to benefit the Illinois coal industry.

The complete ER review process is discussed in The ER Proposal Review Process document, found at: http://www.icci.org/erreviewprocess.pdf.

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DETAILED INSTRUCTIONS FOR COMPLETING RFP2015-ER

PRINCIPAL INVESTIGATOR DIVERSITY FORM This form is a requirement from the State of Illinois’ Department of Commerce and Economic Opportunity Office of Coal Development. Only one copy is required, and must be placed as the first page to the original copy of the proposal (see Proposal Packet, page 5).

Providing this information is voluntary. Completing the form, or failure to provide this information, will not affect your proposal’s status, or influence your chance of being funded, in any way.

The form must be attached even if you decline to provide the diversity information.

PROJECT TITLE AND PRINCIPAL INVESTIGATOR

Please use the same values as used on the Application Form (see page 11).

DIVERSITY QUESTIONNAIRE

If you decline to provide this information, please draw a diagonal line across the requested diversity fields as indicated.

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PRINCIPAL INVESTIGATOR DIVERSITY QUESTIONNAIRERFP2015-ER

PROJECT TITLE

PRINCIPAL INVESTIGATOR

Name: (Dr., Mr., Ms.)

Organization:

The diversity information below is requested from the ICCI by the State of Illinois’ Department of Commerce and Economic Opportunity Office of Coal Development.

Providing the requested information below is voluntary. Providing this information, or failure to provide this information, will not affect your proposal’s status, or influence your

chance of being funded, in any way.

If you decline to provide this information, please draw a diagonal line across the fields below.

SEX

Male Female

ETHNIC ORIGIN

White American Indian or Alaskan Native

Black or African American Hispanic or Latino

Asian Native Hawaiian or other Pacific Islander

Other

ARE YOU A VETERAN OF THE UNITED STATES ARMED FORCES?Yes No

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Section 1. Instructions for the Application FormRecommendation: Complete Section 8 prior to completing the Project Financials area on this

form.

FONTS AND SIZE

The Diversity Form, Application Page, and Budget Forms are already set up to use the Arial font in an appropriate size. For the body of the document, starting with Section 2, please use:

Arial 12 point font with single spacing for text Full justification for text paragraphs 1” margins Double spacing between paragraphs Block format for paragraphs (no indents)

PROJECT TITLE

The project title must be as short as possible with a maximum of 75 characters. Use keywords in the title that closely reflect the topic. The use of the title must be consistent throughout the proposal. If the project is funded and the ICCI believes a more suitable title should be used, the title may be revised and the proposal may need to be resubmitted after discussion between the ICCI and the principal investigator.

PRINCIPAL INVESTIGATOR

The principal investigator (PI) listed on the proposal must be the person who either performs the major portion of the work or the one who does the day-to-day direction of the project. Supervisors who are not performing these functions cannot be listed as the PI. List only one person. Please indicate the correct title (e.g., Dr., Mr., Ms.) for the individual.

CONTRACT MANAGER

The contract manager is the person responsible for monitoring the budget, and sending financial statements and invoices to the ICCI. The contract manager may be the same person as your financial officer.

PI’S EXPERIENCE IN COAL RESEARCH

Check with an “X” the appropriate box applicable to the experience of the principal investigator.

PROJECT INFORMATION

Project Location.The location of the laboratory, building, or site where the research will be conducted.

Has this work been submitted for funding elsewhere?

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If you have submitted, or plan to submit a proposal to perform similar work to another funding agency, please indicate “Yes” with an “X” in the space provided. Otherwise, check “No.”

If yes, name the organization(s).If you checked “Yes” above, name the organization(s) to whom you have applied or will be applying for funding in the space provided.

Applicants may not submit the same proposal to both RFP2015 and RFP2015-ER.

PROJECT FINANCIALS

Project Cost.Fill in the Total Project Cost from the last line of the table from Form 8.5.

Funding Provided by Applicant.Fill in the corresponding contribution total from the last line of the table from Form 8.5.

Funding from Other Sources.Break down contributions from other sources into “in-kind” and “cash” contributions. The total contributions from other sources must match the value from the last line of the table from Form 8.5.

Funding Requested from ICCI.Fill in the total from "ICCI Amount Requested" from the last line of the table from Form 8.5.

SIGNATURES

This form must be signed and dated by the principal investigator and the contract manager (or financial officer). Institutions that require an additional signature can add the appropriate signature here.

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APPLICATION FORM FOR RFP2015-ER

PROJECT TITLE (maximum of 75 characters)

PRINCIPAL INVESTIGATOR CONTRACT MANAGER / FINANCIAL OFFICER

Name: (Dr., Mr., Ms.) Name: (Dr., Mr., Ms.)

Organization: Organization:

Address: Address:

E-Mail: E-Mail:

Telephone: Telephone:

PI’s Experience in Coal Research: New, or less than 2 years 2 - 5 years More than 5 years

PROJECT INFORMATION

Research Area to be Addressed: Project Start Date: January 1, 2015

Project End Date: December 31, 2015

Project Location:

Have you submitted, or do you plan to submit this work for funding elsewhere? Yes No

If yes, name the organization(s):

PROJECT FINANCIALS

Total Project Cost: Funding Provided by Applicant:

Funding from Other Sources:

Funding Requested from ICCI: (specify in table below)

FUNDING FROM OTHER SOURCESSource of Funds Cash Funding In-Kind Funding Total Funding

I.

II.

Total of Funding from Other Sources:

SIGNATURES

Principal Investigator: Date:

Contract Manager: Date:

Other signature: (optional) : Date:

ICCI USE ONLYER PM#

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The total number of pages for sections 2 through 6 must not exceed 10 pages. Also see the font requirements on page 9.

Section 2. Abstract PageWrite an abstract of no more than 500 words describing the proposed research. Include a general description of the project, the objectives of the research, and how those objectives will be achieved. This abstract will be published on the ICCI website if your project is funded.

Starting with this section, number all pages at the bottom-center position. The Abstract Page will be the first numbered page (1).

Section 3. Executive SummaryThis section, which can be no longer than two pages, must briefly summarize the proposal. The Executive Summary should provide a concise overview of the proposed research effort and why it is superior to existing or other technologies available or under development.

Section 4. Description of TechnologyProvide a detailed description of the proposed research, including project objectives and measurable decision points. Include in this section:

the theoretical basis of the technology, a brief review of pertinent literature, a discussion of any previous work done by the proposer in the area of research or on the

technology proposed, an overview/comparison of your main competitors’ processes, discuss the predicted advantages of the proposed technology over competing

technologies.

Section 5. Application to Illinois CoalSummarize the application to, and the possible benefits of the project to Illinois coal. Identify existing and/or new technologies that would benefit from the work.

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Section 6. Proposed R&D and Statement of Work

6.1 STATEMENT OF WORK (SOW)

This section must specifically define the work that will be done under the proposed contract. The work should be broken into tasks. (The ICCI recommends a maximum of four tasks for ER projects). For each task, include a complete description of the project task to be conducted, including operating parameters to be investigated, and key personnel responsible for the task. The following two items cannot be included as tasks:

Report Writing. The ICCI views reporting as an integrated essential to the project and as such, no aspects of report writing can be included as a separate task. Literature Surveys. Literature surveys should be conducted before submission of the proposal.

Work being subcontracted should be clearly identified. The following information must be submitted for each subcontract/consultant:

1. Qualifications of the subcontractor/consultant.

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

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

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

Depending on the scope of work or the amount requested, the ICCI may request that a subcontractor/consultant complete a separate set of budget forms if deemed necessary. The ICCI may also request that the SOW be revised depending on whether all issues are adequately addressed.

Project extensions will not be given, so pay close attention to the proposed tasks and ensure that you can complete the project within the one year time period.

6.2 PERSONNEL

Include a list, by name and title, of the top three key personnel involved in the project. Roles must be defined in terms of experience in pertinent areas of project responsibility. The time commitment of key project staff must be provided. Brief resumes of the key project personnel must be included as Appendix A. Also, identify other workforce requirements and the projected source of personnel, i.e., graduate students, technicians, etc. If names are available, list them here. If these persons must be hired, indicate the timeframe to complete staffing for the project.

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6.3 SAFETY

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

6.4 PROJECT SCHEDULE

Based upon the tasks outlined in the SOW, a project timeline chart or schedule showing milestones and decision points for every task must be completed. This milestone/decision point chart will be an important project management tool and must be carefully prepared. Milestones are measurable events such as completing installation of equipment, initiating testing, completion of a particular test campaign, etc. A decision point is a milestone upon which a significant project decision is dependent. For example, achieving a required sorbent capacity or some other performance parameter that influences the project viability would be considered a decision point. A sample chart giving examples of hypothetical milestones and decision points is shown in Figure 1. All milestones must be completed by the end date of the project as noted on the Application Form. Revisions may be required to the final technical report after the end date of the project, and no ICCI project funds may be used after the end date of a project to complete these revisions.

Month 1 2 3 4 5 6 7 8 9 10 11

12Task 1 - Cold Tests a b

Task 2 - Hot Tests a c

A

Task 3 – Physical Analysis d

B C

Task 4 – Chemical Analysis e

Milestones Decision Pointsa Equipment assembled A Acceptable attrition resistanceb Cold Tests completed B Achieve objective sulfur capacityc Hot Tests completed C Compare to existing sorbentsd Density analysis completede Mercury analysis completed

Figure 1. Example of a Schedule of Projected Milestones and Decision Points for a 12-month ER project.

6.5 DELIVERABLES

Projects funded under this solicitation will require at least two types of deliverables:

Reports as required by the ICCI.

Presentation(s) to the ICCI during the project term.

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Section 7. Project Management StatementSign and date this form after reading its contents.

As principal investigator, I understand that I, in consultation with my supervisors as necessary in the normal conduct of business and research, will be required:

To be the initial point of contact for the ICCI on technical and administrative matters pertaining to this project;

To be responsible for submitting technical reports to the ICCI on time and in the accepted format;

To be responsible for maintaining the safest possible working conditions and procedures for activities relating to this research project;

To present results of my research at meetings and conferences as the ICCI may request.

The principal investigator signing this form must be the person who will actually be performing or doing the day-to-day direction of the majority of the research proposed. I also understand that the following additional conditions apply to my application for RFP2015-ER:

All proposed research must use Illinois coal, or a simulated syngas or flue gas as discussed on page 2 of the RFP2015-ER solicitation.

Research contracts will be cost-reimbursable. Although I may submit more than one proposal for consideration under this RFP, only

one project can be chosen for funding. The proposals received under this RFP will be reviewed only by ICCI and DCEO

personnel. Their decisions will be final and debriefing explaining the funding choices will not be issued.

Follow-up funding will not be guaranteed. Budget amendments and project extensions will not be allowed.

The above statements of responsibility are recognized and accepted for this project:

SIGNATURE

Principal Investigator Signature:

Principal Investigator Name:

Organization:

Project Title:

Date:

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Section 8. Project Cost ProposalSection 8 consists of five sub-sections, each with a corresponding form that must be completed.

Section 8.1 Direct Labor and Benefits

Section 8.2 Project Travel

Section 8.3 Major Equipment

Section 8.4 Additional Project Costs

Section 8.5 Budget Summary

VALUES

Round all numbers to the nearest dollar. Do not include cents in any budget form.

All values are for the funding requested from ICCI only. The only exceptions are the penultimate column in Form 8.3 (cost sharing provided towards equipment purchase by parties other than ICCI), and the columns provided in Form 8.5 for funds provided by cost-sharing organizations. Please contact the ICCI if clarification is needed on completing any form.

FORM MODIFICATION

IMPORTANT: DO NOT MODIFY THE FOLLOWING FORMS IN ANY WAY.

Do not alter the sequence and/or orientation of the following forms, or change the font sizes or outlays of these forms. Also, do not include additional text providing explanations between the budget fields. Such modifications will cause the proposal to be deemed non-responsive to this solicitation,

and such proposals will not be reviewed.

ADDITIONAL MATERIALS

You must complete the budget forms requested by the ICCI in this document. Do not substitute your organization’s forms or other computer printouts instead of the ICCI forms. Do not add any supplemental explanatory material to this section, or to the back of the proposal.

Note: Financial Statement: Organizations may need to submit a financial statement to the ICCI if requested, showing proof that the applicant can cover any cost overruns that the project may incur.

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8.1 Instructions for Form 8.1 Direct Labor and Benefits

On this form, only technical personnel who will work on this project together with their respective work titles should be listed. Do not include any support staff, such as secretarial, accounting, or janitorial services; these persons should be covered by your indirect cost.

The first person listed must be the principal investigator. At a minimum, all key personnel identified in Appendix A must be listed here. When names are not available, list “Person A”, “Person B”, etc., with appropriate work titles.

This RFP does not target researchers with extensive coal research experience; however, we encourage these persons to act as mentors for junior/inexperienced researchers. In acting as a mentor, senior researchers should contribute their salaries and other costs as a cost share to the project to allow the PI to gain maximum benefit out of limited project funds.

In Column A, list time to be spent on the project by each person; use units commensurate with the salary or wage rate to be quoted (months or hours). In Column B, give the full gross wage (indicating 9-month or 12-month) or salary rate for each listed person; quote salary or wage rates for all personnel according to standards for your institution and clearly show units ($/month or $/hr). Do not convert monthly salaries to hourly wages, or vice versa. Calculate the total labor cost for each person and enter this value as an estimated cost in Column C. Wage and salary figures should not include the cost of employee benefits. Benefits should be listed separately as a percentage of wages or salary. The percentage that will be added to personnel costs for employee benefits is listed in Column D. This percentage should cover retirement, health and life insurance, workmen’s compensation, unemployment, and any other employee benefits. Calculate the total benefit cost for each person and enter this value as an estimated cost in Column E.

The total direct labor cost and the total benefits amount on this form must agree with the amounts shown for “Direct Labor” and “Labor Benefits” on Form 8.5.

Only labor and benefit costs being requested from ICCI funding should be included on this form. Ensure that the numbers in the totals columns for C and E are the true sum of the values listed above each number.

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FORM 8.1 DIRECT LABOR AND BENEFITS

A B C D E

Name Work Title Hoursor Months

Rate($/hr or $/mo)

Direct Labor Cost(A*B)

Benefits%

Benefits Amount(C*D)

Principal Investigator

TOTALS

TOTAL LABOR AND BENEFITS (COLUMN C + E)

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8.2 Instructions for Form 8.2 Project Travel

PROJECT TRAVEL

List only project-related travel costs to be billed to the ICCI here. If any travel costs will be contributed by your organization, list those costs as cost sharing in the “Applicant” column on Form 8.5.

In general, justified travel is related to carrying out the objectives of the project, e.g., collaborating with other investigators, meetings with sponsors, obtaining samples, conducting field trials, etc. Excessive travel costs will significantly weaken the proposal, thus the ICCI encourages applicants to cost share travel costs wherever possible. Travel outside the continental United States is not allowed. All air travel, if applicable, must be in coach class.

ConferencesDo not include any conference requests in this section. While the ICCI encourages publishing and presenting results of ICCI-funded work even after a project is completed, attending professional conferences and meetings is funded directly by the ICCI with non-project funds. The procedure for applying for such funding is contained in the Principal Investigator Guidelines that will be distributed to PIs of projects selected for funding.

MeetingsTravel for project meetings or meetings with project sponsors is acceptable.

Provision should also be made for two trips by the principal investigator to the ICCI office in Carterville, Illinois, to report on research progress. These meetings are already noted on the form. Dates will be set in advance to the mutual satisfaction of the PI and the ICCI. The first presentation will be at the mid-point of the project, and will update the ICCI on research progress to date. The second presentation will be during the last two weeks of the project period and will be a summary of the project outcome.

Do not include travel costs to the ICCI for researchers other than the PI on this form. Researchers working on the project are welcome to accompany the PI to Carterville for the project presentations, but their travel costs should be paid by the proposing organization and the value included as cost sharing on Form 8.5. Additional meetings between the ICCI and the PI will be at the project location, and no additional travel cost towards this purpose should be added in this section.

List each trip with all pertinent details and corresponding costs. If you enter a value in the “Other Costs” column, explain those costs in the space provided below the table. Additional lines may be added if needed. Finally, add all total estimated costs and enter the total in the appropriate box.

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FORM 8.2 PROJECT TRAVEL

PROJECT TRAVEL

Destination Purpose of Trip Number of People Airfare Car Rental

or Mileage Lodging* Other Costs or Per Diem

(explain below)Total Cost

Carterville, Illinois ICCI Mid-Point Project Presentation by PI 1

Carterville, Illinois ICCI Final Project Presentation by PI 1

TOTAL TRAVEL

* EXPLANATION OF OTHER COSTS

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8.3 Instructions for Form 8.3Major Equipment

MAJOR EQUIPMENT

Major Equipment for this solicitation is defined as equipment that:

Has a unit value of $500 or more,

Is not permanently attached to the organization’s buildings or grounds, and

Has a life expectancy of one year or more.

The following electronics cannot be considered equipment under this solicitation:

Personal electronic devices, including cell phones, tablets, digital cameras, etc.

Standalone personal computers (both desktops and laptops/notebooks) and computer peripheral equipment. Purchase of computers must be associated with equipment being acquired and must be operated as a dedicated data collection device.

List each piece of major equipment separately including brand name, model number, and the vendor from whom you expect to buy this equipment. You must indicate whether this equipment will be a new resource or if it will replace an existing item.

For every item listed in this table, you must include a recently-quoted purchase price for the equipment as well as quoted costs for freight and installation. Increase the cost for inflation depending on when the equipment will be purchased. List the cost-sharing amount to be contributed for the equipment from all organizations, and name the organizations and the amounts they will contribute in the space below the table. Finally, add all estimated costs and enter the total in the appropriate box.

Each piece of equipment to be acquired must have a short justification statement typed in the space below the table. Finally, a recently-dated price quote sheet from the manufacturer or distributor of the equipment must be attached immediately behind this form.

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FORM 8.3 MAJOR EQUIPMENT

The ICCI may require cost-sharing on major equipment purchases, and equipment purchases are not allowed in the last 30 days of a project.

MAJOR EQUIPMENT TO BE ACQUIRED (JUSTIFY BELOW)

Equipment Description & Model Number Proposed Vendor New or Replacement?

Total Item Cost ($)

$ Cost Sharing Amount for Item (explain

below) *

$ Amount Requested from ICCI

TOTAL EQUIPMENT

* IDENTIFICATION OF COST SHARING ORGANIZATION(S) FOR EQUIPMENT PURCHASES

JUSTIFICATION FOR MAJOR EQUIPMENT PURCHASE

(also attach equipment quote)

REMINDER: Attach all your equipment quotes immediately behind this page. 22

8.4 Instructions for Form 8.4Additional Project Costs

MATERIALS & SUPPLIES

Materials and Supplies include laboratory and other R&D supplies specific to the completion of the proposed work. This section usually includes items such as glassware, compressed gases, chemicals, fabrication materials (steel, aluminum), etc. Standard office supplies are not accepted as an itemized “Materials and Supplies” cost.

List similar items together with the corresponding cost. Additional lines may be added if needed. Finally, add all materials and supplies costs and enter the total in the appropriate box.

OTHER DIRECT COSTS

This element includes costs such as physical plant services, rentals/leases, utility services, repair and maintenance, and other professional services as needed. The following costs are not allowed in this area:

General office costs, such as shipping, duplicating or copying, postage, telecommunication services, etc. These costs are covered in the Indirect Cost line.

Salaries or wages of any kind. List these on Form 8.1.

Consultants. List these services under the Subcontracts and/or Consultants Summary section below.

Please list each item separately and in detail. Additional lines may be added if needed. Finally, add all costs and enter the total in the appropriate box.

SUBCONTRACTS AND/OR CONSULTANTS SUMMARY

This section is to only give a one line summary of the services of consultants and other subcontracted portions of the proposed project. Each entry listed here must be specified in detail in Section 6.1. Please refer to Appendix B for distinctions between a consultant and a subcontractor. For the most part, single-amount laboratory analyses or sample preparation should be listed as an Other Direct Cost instead of a subcontract.

List each entry separately in this section with a total estimated cost. Additional lines may be added if needed. Finally, add all costs and enter the total in the appropriate box.

This section is to only give a summary of subcontracts and/or consultant services.

INDIRECT COST

Specify how indirect cost is determined for your organization. List all components of this determination separately. Additional lines may be added if needed. Finally, add all costs and enter the total in the appropriate box. The DCEO-determined indirect cost rate for Illinois state-supported institutions is 10% of the Total Direct Cost (Form 8.5).

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FORM 8.4 ADDITIONAL PROJECT COSTS

MATERIALS & SUPPLIESDescription No. of Items Cost/Item Total Cost

TOTAL MATERIALS & SUPPLIES

OTHER DIRECT COSTSDescription Total Cost

TOTAL OTHER DIRECT COSTS

SUBCONTRACTS AND/OR CONSULTANTS SUMMARYSubcontractor / Consultant Total Cost

TOTAL SUBCONTRACTS

INDIRECT COSTSpecify how Indirect Cost is calculated Total Cost

TOTAL INDIRECT COST

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8.5 Instructions for Form 8.5Budget Summary

PROJECT INFORMATION

The project title, principal investigator, organization, and contract manager should be exactly as shown on previous forms.

ICCI AMOUNT REQUESTED

Complete this section using totals from corresponding forms for each element. The “Totals From Form” column gives an indication as to where totals for each cost element may be found. The total value in the far right column should include any cost-sharing contributions.

TOTAL DIRECT COST

This amount is the sum of all direct-cost elements. Ensure that the number is the true sum of the values listed above and that it matches the value where used on other forms.

INDIRECT COST

This amount must match the value from Form 8.4.

COST SHARING CONTRIBUTIONS

The ICCI encourages cash and in-kind contributions to the project by the proposing organization and/or by other sponsors. Add any cost sharing, whether cash or in-kind, from external organizations, including your own, and identify the organization(s) in the space shown. Use the first column for contributions by your organization. Please discuss these contributions with your institutional financial officer before including them. The next two columns can be used for other contributing organizations. Identify these organizations in the Source of Other Contributions space below the table. Cost sharing totals given here must match amounts on the application form. Illinois supported institutions: Please note that indirect costs in excess of the 10% allowed for Illinois supported institutions may not be included as a cost-sharing contribution.

Senior researchers acting as mentors should contribute their salaries and other costs as a cost share to the project to allow the PI to gain maximum benefit out of limited project funds.

You must attach a letter from each organization who will contribute cash to the project, stating their willingness to contribute the amount specified. Do not attach letters of support from organizations that will not be making monetary or material contributions to the project.

SIGNATURES

This form must be signed by the contract manager.

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Form 8.5 BUDGET SUMMARY

Project Title:

Principal Investigator: Organization:

DIRECT COSTSTOTALS

FROM FORM

ICCI AMOUNT

REQUESTED

OTHER FUNDS APPLIEDTO THIS PROJECT **

(SPECIFY SOURCES I AND II BELOW)TOTAL

PROJECT COSTAPPLICANT’S

ORGANIZATIONOTHER

COMPANY IOTHER

COMPANY IIDirect Labor 8.1

Labor Benefits 8.1

Materials & Supplies 8.4

Travel 8.2

Other Direct Costs 8.4

Subcontracts/Consultants 8.4

Major Equipment 8.3

TOTAL DIRECT COST

INDIRECT COST 8.4

PROJECT TOTALS

** SOURCE OF OTHER FUNDS (Totals must match amounts on the Application Form)

NAME OF OTHER COMPANY I.

NAME OF OTHER COMPANY II.

SIGNATURE

Contract Manager: Date:

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Section 9. Subgrant Review CertificationYour institution’s contract manager must sign and date this form after reading its contents.

If a project from your organization is selected for funding, your organization will be required to sign a subgrant agreement. The subgrant is executed through Southern Illinois University Carbondale and is based on the Illinois Department of Commerce and Economic Opportunity (DCEO) prime grant and State of Illinois and/or Southern Illinois University regulations. Please note that all awards are on a cost reimbursement basis. There are no exceptions to this provision.

The ICCI requires that the contract manager for each organization submitting a proposal, review the ICCI subgrant language and associated documents required by the ICCI and the State of Illinois. The documents used for the previous year’s RFP are posted online at http://www.icci.org/subgrantreview.php. While the subgrant and DCEO prime grant language may change slightly as laws and regulations change, the majority of the clauses stay the same from year to year. If your organization is unable or unwilling to sign a subgrant or adhere to its requirements, funding cannot be awarded to your institution. By signing this certification document, you indicate that you understand that while minor changes may be made to accommodate your organization, substantial changes, including the deletion of whole sections of the subgrant, and/or modifications to the prime grant language, are not allowed. Please note that use of the ICCI invoice form, referenced in the body of the subgrant and available on the webpage as referenced above, is required and is not negotiable.

Since some subgrant clauses may change to some degree from year to year, signing this certification form does not guarantee you will be able to execute the subgrant nor does it obligate you to do so. However, it does indicate that you are aware of the requirement and understand the document must be executed before funding will be provided for any proposal submitted by your organization.

CERTIFICATION

I have reviewed the requirements posted at http://www.icci.org/subgrantreview.php. I understand similar documents will be required if a project from my organization is selected for funding. I understand that while minor changes may be made to accommodate my organization, substantial changes, including the deletion of whole sections of the subgrant, and modification of the prime grant language, are not allowed.

SIGNATURE

Contract Manager Signature:

Contract Manager Name:

Organization:

Date:

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Appendix A. ResumesInclude brief resumes of the main scientific personnel participating in the proposed work. Do not include resumes for technicians and students. Resumes, including a few recent publications, are limited to one double-sided page in length for each individual.

Appendix B. Detailed SubcontractsSubcontracts/consultants may be arranged for consulting, field testing, operating equipment, and any other appropriately specified tasks that cannot be executed by the proposing organization.

A consultant for this solicitation is defined as a person or organization whose charges to the project will be requested in a single category as listed in Form 8.6 (i.e. labor, materials, travel, etc.). If the charges are for laboratory work, such as analytical services or sample preparation, please list those costs in the Other Direct Costs section of Form 8.4 instead. A contractor for this solicitation is defined as a person or organization whose charges to the project will be requested over multiple categories as listed in Form 8.6. For example, if Company ABC will provide services to the project and will request reimbursement from the proposing organization in labor, travel, and materials, Company ABC must be listed as a subcontractor. All subcontractors must be directly subcontracted by the proposing organization. Subcontractors are not allowed to subcontract portions of their work under this solicitation.

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

1. Qualifications of the subcontractor and/or consultant.

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

3. A cost summary for the work to be done, including cost-sharing contributions from the subcontractor and/or consultant, if any. The ICCI highly recommends cash and/or in-kind contributions from subcontractors and consultants.

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

Depending on the scope of work or the amount requested, the ICCI may request that a subcontractor/consultant complete a separate set of budget forms if deemed necessary. If unsure on how to proceed, please contact the ICCI.

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