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OF FINANCIAL ASSISTANCE 
Under the authority of Public Law 95-91 DOE Organization Act and PL 102-486 Energy Policy Act 1992

 

I. PROJECT TITLE "Demonstration of a Coal-based Transport 2. INSTRUMENT TYPE
Gasifier?

 

[3 GRANT COOPERATIVE AGREEMENT
3. RECIPIENT (Name. address, zip code} 4. INSTRUMENT NO. 5. AMENDMENT NO.
Southern Company Services. Inc. A004

 

600 North 13'? Street
PO. Box 2641
Birmingham, AL 35291

6. BUDGET PERIOD 7. PROJECT 

 

7f08 

 

8. RECIPIENT PROJECT DIRECTOR (Name, phone and Smart) IO. TYPE OF AWARD

new

ECONTINUATION C1 RENEWAL

 

9. RECIPIENT BUSINESS OFFICER (Name. phone and E-mail) El REVISION



CI INCREMENTAL FUNDING

 

1t. DOE PROJECT OFFICER (Name. address, phone and E?malt)
Nation at Energy Technology Laboratory
ATTN: Diane R. Madden. MIS 922-3420
626 Cochrane Mitt Road, P. O. Box 10940
Pittsburgh, PA 15236-0940
(412)386-5931 Diane.Medden@nett.doe.gov

13. RECIPIENT TYPE

12. DOE AWARD ADMINISTRATOR (Name, address, phone and EvmaII)
National Energy Technology Laboratory
ATTN: K. Robbins, MIS 921.107
626 Cochrans Road, P. O. Box 10940
Pittsburgh. PA 15236-0940
(412)336-5430 Brittley.Robbins@neti.dee.gov

 

FOR PROFIT Ci INDIVIDUAL

ORGANIZATION

LOCAL GOVT CI INSTITUTION OF CI OTHER NONPROFIT CORPORATION CI PARTNERSHIP CI SOLE OTHER (Specie
HIGHER EDUCATION ORGANIZATION PROPRIETOR

STATE INDIAN TRIBAL CI HOSPITAL

 

15. EMPLOYER ID. NUMBER

a. 
b. DUNS: 137519547

14. ACCOUNTING AND APPROPRIATIONS DATA:

 

 

1S. BUDGET AND FUNDING 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

a. CURRENT BUDGET PERIOD INFORMATION b. CUMULATIVE DOE OBLIGATIONS

(I) DOE Fonds Obttgated This Action 5 (1) This Budget Period 3 0

(2) DOE Funds Authorized for Carry Over 50.00 St (Tatar ofrrnes am and 

(3) DOE Funds Previoust Obligaied in this Budget Periods .I

(4) DOE Share of Totat Approved Budget 270.2? 5?373 Prior Budget Perlods 253,386,111

(5) Reciptent Share of Totat Approved Budget 0: . 55. 22

(6) Total Approved Budget $17572. Project Period to Date 243,386,111
are! of?nes M1) and 

 

 

 

. 17. TOTAL ESTIMATED COST Looms-Doe FUNDS TO Franc:
29 (DOE: ?293l750,000 Recipient: 
(This Is the current estimated cost or the Ergo-of:-  Ismnoruaforo_mise 0 award nor an authorization to expeno' (ones in {hrs amount.)

18. AWARD AGREEMENT TERMS AND CONDITIONS
This awardtagreement consists of this form plus the foiidwing:
a. Spaciat terms and conditions. -
b. Appticabte program regulations (specify) (Date) .
o. DOE Assistance Regulations. 10 OFR Pan and if the award Is for research and to a university or non-profit, the
Research Terms a Conditions and the DOE Agency Speci?c Requirements at It not ovrbfardi I lie 
d. DOE and Southern Campany Services (SOS) agree that 308?s application dated June 16, 2004, as amended by continuation application dated
January 2007 and site retooallon applications dated 2(1412008 and 3r14rzooe, has been approved by DOE and Is Incorporated Into the 

 

 

 

 

 

 

 

 

agreement.

a. National Policy Assurances to Be Incorporated as Award Terms in effect on date of award 
19. REMARKS

Seo?continuatlon pages. 
20. EVIDENCE OF RECIPIENT ACCEPTANCE . 21. AW BY

IREDACTEDI  .. 3 
(Signature ofAuihorized Recipient omelet} {Date} (Signature) (Oats)
I Richard D. Ronus
{Name} {Name}
JRE DACTI: Contracting Officer

 

 

I (750w {nae}

 

 

TAELE OP CONTENTS

SECTION II - SPECIAL TERMS AND CONDITIONS ..4
2.1 PREVAILINO REGULATIONS (SEPT 2994) ..4
2.2 ORDER OP PRECEDENCE (AUG 2991) ..4
2.9 DEFINITIONS (MAR 2992) ..4
2.4 SUSSTANTIAL INVOLVEMENT BETWEEN DOE AND THE RECIPIENT (MAR 2992) -4
2.9 BUDGET PERIODS AND ESTIMATED PROJECT COSTS ..s
2.9 RESERVED ..9
2.7 COST OVSRRUNS ..9
2.9 ALLOWABLE PRE-AVVARD COSTS (MAR 1999) ..9
2.9 COST SHARING (MAR 2992) 
2.19 PAYMENT PROCEDURES THROUGH THE AUTOMATED STANDARD
APPLICATION FOR PAYMENTS (ASAP) SYSTEM (OCT 2994) "7
2.19 CONTINUATION APPLICATION AND FLINOINC ..9
2.12 PROPERTY MANAGEMENT AND DISPOSITION ..9
2.13 REAL PROPERTY - .9
2.14 PECERALLY OWNED PROPERTY (GOVERNMENT-FURNISHED) - NONE (JAN 1999) ..9
2.19 KEY PERSONNEL ..9
2.19 PROJECT SITE AND ACCESS -19
2.17 PAPERVVORN REDUCTION COOPERATIVE AGREEMENTS (SEPT 2992) ..19
2.19 PUELIC ACCESS TO INFORMATION (APR 2999) .. I9
2.19 COMPLIANCE WITH SUY AMERICAN ACT (OCT 2994) .. :9
2.29 NOTICE REGARDING THE PURCHASE OP EQUIPMENT AND
PRODUCTS A SENSE OF CONGRESS (OCT 2994) ..19
2.21 LOSDYINC RESTRICTIONS (OCT 2994) .. I9
2.22 NOTICE REGARDING IINALLOWASLE COSTS AND LOSEYING ACTIVITIES (NOV 1999). I9
2.23 REPORTING (NOV 1999) .. II
2.24 RECIPIENT PRESS RELEASES (APR 1999) .. I I
2.29 PUBLICATION OP RESULTSIACKNOWLEDGMENT STATEMENT (MAR II
2.29 NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS ..11
2.27 ENVIRONMENTAL. SAFETY 9 HEALTH (OCT 2993) .12
2.29 I HAZARDOUS WASTES MANIFESTS AND LABELS (MAR 2999) .. I2
2.29 PERMITS AND LICENSES .. :2
2.39 INSURANCE ..12
2.91 LIMITATION OP DOE LIABILITY (MAR 2992) ..12
2.32 TERMINATION (MAR 2992) .13
2.93 RECORDS RETENTION. ACCESS, AND DISCLOSURE (MAR 2992) .13
2.34 SEVERADILITY (MAR 2992) .. I3
2.35 PERFORMANCE OP VYORK IN THE UNITED STATES (AUG 2993) 13
2.99 RESERVED .14
2.97 ANNUAL INDIRECT COST PROPOSAL AND RECONCILIATION (OCT 2994) .. I4
2.39 CONDITIONS ON AWARD .. I4
2.99 OF ELINDS ..14

SECTION .INTELLECTUAI. PROPERTY PROVISIONS ..19
3.1 INTELLECTUAL PROPERTY PROVISIONS (FOR-PROFIT RED) (JAN 2994) .. I9
3.2 CONFIDENTIAL. BUSINESS INPORMATION (JAN 2994) .. I9
3.9 92.222-1AUTHORI2ATION AND CONSENT (JUL 1999) ALTERNATE 1994)  16
9.4 92227-2 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIG HT
INFRINGEMENT (AUG 1999) .. IS
9.9 52227.3 PATENTINDEMNITY (APR 1994) ..17

2

 

3.0 952.227-9 REFUND OF ROYALTIES (FEB 1995) ..17
3.7 PATENT RIGHTS (LARGE BUSINESS FIRMS) - NO WAIVER (OCT 2003) ..13
3.0 RIGHTS IN DATA - PROGRAMS COVERED UNDER SPECIAL DATA STATUTES (OCT 
3.9 LIMITED RIGHTS DATA (JAN 2004) .. 31
3.10 RESTRICTED COMPUTER SOFTWARE (JAN 2004) .. 32
3.11 PROTECTED DATA (JAN 2004) ..33
3.12 AVAILABILITY OF CONTRACT AND OTHER DATA (DEC 2003) .. 34
3.13 COMMERICIALIZATION OF DEMONSTRATION TECHNOLOGY. (DEC 2003) ..34
3.14 52227-23 RIGHTS To PROPOSAL DATA (TECHNICAL). (JUN 1907) .35
SECTION IV - LIST OF ATTACHMENTS ..37
ATTACHMENT A - STATMENT OF PROJECT 
ATTACHMENT - FEDERAL ASSISTANCE REPORTING CHECKLIST ..- ..54
ATTACHMENT 0 BUDGET PACEIS) ..07
ATTACHMENT - AMENDED AND RESTATED REPAYMENT AGREEMENT ..72

 

The purpose of this amendment is to acknowledge a relocation of the Project site from Orlando, Florida to
Kemper County, Mississippi and to matte certain changes associated with that relocation, including the addition
of 002 capture and compression. On and after the date of Amendment A004. the Cooperative Agreement is as
follows: .

SECTION ll - SPECIAL TERMS AND 
2.1 Prevailing Regulatiggs (SEPT 2004]

As indicated on the face page, Block 180, this award is subject to the DOE Assistance Regulations of Title 10,
Code of Federai Regulations. Part 600. This set of regulations may be found in most major libraries or on the

World Wide Web at: 
2.2 7 Order of Precedence (AUG 20011

in the event of any inconsistency among the provisions of this agreement, the inconsistency shalt be received by
giving precedence as foliows: applicable public laws; 10 CFR Part 600; the special terms and
conditions: and other documents, exhibits and attachments.

2.3 Definitions WAR 2002)

?Cooperative Agreement" means this agreement between the United States Department of Energy (DOE) and
the Recipient, DOE instrument number and any subsequent amendments.

?Recipient? or ?Participant? means Southern Company Services, Inc. and its successors and assigns.

"Repayment Agreement" means the agreement made by Southern Company Services. lnc.; Kellogg Brown 
Root, Inc: and DOE in DOE Cooperative Agreement Number DE-FCZB-OSNT42391 on January 30. 2006, as
amended and restated on May 2, 2007 andagaln on December 5. 2008, to repay the DOE share of costs paid
under this Cooperative Agreement. The Repayment Agreement is agreement number 

?United States" means the United States of America and its 50 States, the District of Columbia, the
Commonwealth of Puerto Rico, and any possession or trust territory of the United States.

2.4 Substantial involvement Between DOE and the Recipient 2902)
Recipient Role

The Recipient shall be responsible for all aSpects of Project performance as set forth in the Statement
of Project Objectives. Ali services. personnel, facilities. equipment, materials. and suppiies shail be
furnished by the Recipient, unless otherwise specified under this Cooperative Agreement. The
Recipient Project Director shall serve as its authodzed representative for the technical elements of all
work to be performed under this Cooperative Agreement. The Recipient Business Officer shall serve as
its authorized representative for administrative elements dealing with the Cooperative Agreement.

DOE Role

DOE shalt monitor the Recipient?s progress in performing the Project and shait have a substantial role in
Project decision making.

The DOE Contracting Officer is the only Government Representative authorized to accept the reports
and other deliverabies the Recipient is required to provide under this Cooperative Agreement. The DOE
Project Officer (same as Contracting Of?cer's Representative) shalt have the authority to comment on
those technical reports. plans, and other technical information the Recipient is required to submit to
DOE for review and comment. 

 

(0)

2.5




The DOE Project Of?cer shall have the authority to Issue written technical advice which suggests
redirecting the Project work by changing the emphasis among different tasks), or pursuing specific
lines of inquiry likely to assist in accomplishing the Statement of Project Objectives. The DOE Project
Officer is not authorized to issue, and the Recipient must not follow, any technical advice which
constitutes work which is not within the scope of the Statement of Project Objectives; which in any
manner causes an increase or decrease in the total estimated cost or in the time required for
performance of the Project; which has the effect of changing any of the terms or conditions of the
Cooperative Agreement; or which interferes with the Recipient's right to perform the Project in
accordance with the terms and conditions of this Cooperative Agreement.

No Government Obligation to Third Parties

In connection with the performance of the Project, the Government shalt have no obligation or
responsibility to any contractor, subcontractor or other person who Is not a party to this Cooperative
Agreement. The foregoing limitation shall apply notwithstanding the Contracting Officer's prior approval
of or consent to any contract aWarded by the Recipient. The Recipient shaii be responsible, without
recourse to DOE, except for amounts DOE is otherwise obligated to pay pursuant to the provisions of
this Cooperative Agreement for the resolution and satisfaction of ail pro-award protests. contract
administration issues, and contract disputes arising out of contracts awarded by the Recipient for
acquisitions related to the Project.

Budget Perigds and Estimated Project Costs
Bugget Periods

The project period of this Cooperative Agreement is divided into Project budget periods for funding
purposes.

We

The Project is divided Into major categories of work project definition. design, construction.
demonstration, etc.) called phases for project management planning and control. Additionaily, sub-
phases have been established to distinguish between work completed at the Orlando site and work
proposed for the Kemper County site. The phases and sub-phases are aligned to specific budget
periods and correSpond to specific tasks in the Statement of Project Objectives. The delineation of
phases is identi?ed in the next section under Total Estimated Project Costs.

Totai Estimated 

DOE and the Recipient shall share in allowable direct and indirect project costs, on an invoice by invoice
basis, in the percentages up to the amounts shown below:

TOTAL ESTIMATED PROJECT COST: $1,622,905.779
Bgdget Period 1 - Phase 1 Erojeci Definition

DOE Share 9.285.033 50%
Recipient Share 9,285,033 50%
$18,570,066
Budgg; Period 2g Phase Dejgiied Design {Qriangq FL) and Phase  il.a Construction
Orlando FL
DOE Share $14,248,983 45.0%
Recipient Share 55.0%
$31,684,407

 

Budget Period 2b - - Phase lib Detailed Design (gemper Coungg. Phase -
Construction [Kemger qunty. MS) (sublegt to Article 2.38. Conditions on
Award]; and Ehase Iy Demonstration - (subiect to Article 2.38.

Conditions on Award and Article 2.39. Withholding of Funds)

DOE Share 270,215,984 17.2%
Recipient Share 82.8%

$1 .306

Total Pro ect

DOE Share 293350.000 18.1%
Recipient Share 81.9%

$1 

(0) Budget Revisions

The Recipient may re?budget funds within a total approved budget, subject to the prior approval
requirements of 10 CFR 600.315.

Additional Funds

The Recipient shall immediately notify the Contracting Officer in writing whenever it becomes apparent
that the costs of completing that portion of the Project to be performed during a Budget Period exceeds
the Total Approved Budget. Such written notice shall. at a minimum, set forth (1) a detailed explanation
of the magnitude and factors causing the cost overrun and (2) the Recipient?s proposed plan to fund the
increased cost.

2.8 RESEREED
2.7 Cost Overruns

The estimated DOE cost-share set forth in Section 2.5 is the maximum amount permitted bylaw. The
Government shall not share in any additional cost overruns. Therefore, Southern Company Services, Inc. shall
be responsible for at! further cost overruns that may occur in order to complete the Project in accordance with
the Statement of Project Objectives contained in the Cooperative Agreement.

2.8 Allowable Ere-award Costs 1999)

'{he Recipient is entitled to reimbursement by DOE of its share of pre~award costs in the amount not to exceed
$7,200,670. per the pro-award cost authorization letter to Recipient from DOE dated December 20. 2004.
These costs are limited to work associated with performance of work detailed in Recipient?s letter of December
16. 2004, incurred during the period starting on January 3. 2005 through the effective start date of this award
(Block 7, DOE 4600.1).

2.9 Cost Sharing (MAR 2902)

in order to be recognized as allowable cost sharing. a cost must be otherwise allowable in accordance with the
applicabie Federal cost principles and DOE Regulations (10 CFR 600.313) governing cost sharing. Cost
sharing may be in various forms or combinations. including. but not limited to. cash outlays and ln-kind
contributions. All allowable Project costs, whether ln-cash or in-kind, shall be shared by DOE when such costs
are incurred by applying the share ratios set forth in the Cooperative Agreement.

Provided below is a non-exclusive list of costs that are unaliowabie as Project costs and cost sharing:

 

- Costs Incurred in negotiating a Cooperative Agreement with DOE are not aliowable as direct
charges to the Project.

0 Allowable costs under past, present, or future Federal Government contracts, grants or
Cooperative Agreements may not be charged against this Cooperative Agreement. Likewise.
the Recipient may not charge costs allowable under this ProjectI including any portion of its cost
share to the Federal Government under any other contracts, grants, or Cooperative
Agreements.

0 Only the operating costs directly associated with the proposed work effort (is, incremental
costs distinct from the daily operational costs) may be recognized as allowable costs for cost-
sharing purposes if adequately supported and properly documented.

DOE will not share in the acquisition costs of any fuel other than coal. under this Clean Coal
Power initiative. unless prior written approval is obtained from the DOE Contracting Officer.
The cost of natural gas for flare operation and gasifler start-up and commissioning is, however,
an allowable cost and includes natural gas for initial and subsequent startups. The DOE share
of natural gas cost for Budget Period 2b shall not exceed $7,468,046.

0 Previously expended research or development costs are unaliowabie.

DOE shall not accept valuation for property sold. transferred. exchanged. or manipulated in any
way to acquire a new basis for depreciation purposes or to establish a fair use value in
circumstances that would amount to a transaction for the purpose of the Cooperative
Agreement. -

- interest on borrowings (however represented) and other financial costs such as bond
discounts, cost of financing and refinancing capital (net worth plus long-term liabilities). are
unallowabie Project costs. This includes interest on funds borrowed for construction.

it DOE will not share in both the direct cost and depreciation on the same item. Depreciation is
not allowable for cost sharing on any item charged to the Project as a direct cost. For example,
DOE will cost share the direct cost on equipment or facilities purchased or constructed for the
Project; but, will not also cost share the depreciation.

The value of patents and data contributed to the Project is unaiiowable.

Facilities capital cost of money shall be an unaliowable cost on ail real property or equipment
acquired by or on behalf of the Recipient in connection with the performance of the Project.

. Forgone tees, forgone profits, orforgone revenues as well as replacement power costs are not
allowable costs.

0 Fee or profit paid to any member of the proposing team having a substantial and direct interest
in the commercialization of the demonstration technology is unailowabie. Competitive
subcontracts, where a preposing team member is selected for award of a subcontract, placed
with the prior written consent of the Contracting Officer and subcontracts for routine supplies
and services are not covered by this prohibition.

0 Business losses are unallowable.

NOTE: See Federal Acquisition Regulations (FAR) 31.2 for the complete Cost Principles and
Procedures applicable to Commercial Organizations.

2.10 Payment Procedures *Reimbursemegt Through the Automated Standa[d Application for
Payments (ASAP) System (OCT 2004!

 





(0)





2.11


Method of Payment. Payment will be made by reimbursement through the Department of
Treasury's ASAP system.

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 biillng period.

Adjusting payment requests for available cash. You must disburse any funds that are available from
repayments to and interest earned en 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.

Payments. Ail payments are made by electronic funds transfer to the bank account identified on the
ASAP Bank information Form that you ?ied with the U.S. Department of Treasury.

invoice documentation shalt include the following information:

Name and address of recipientlvendor.

Invoice date.

(3) Award number.

(4) Project Billing Cost Report: Detailed breakdown on the expenses showing Travel and
Living Expenses. Direct Materials, Outside Services, Direct Labor. Overheadleringe Benefits
less cost shares. This is shown for the current period and cumulative.

(5) DOE Allowable Overhead Calculations: Showing the labor. allowable and unaliowabie
overheads. -

(8) Name (where practicable), title, phone number and complete mailing address of responsible
official to whom payment is to be sent (must be the same as that in the contractor in a proper
notice of assignment).

(7) Name (where practicable), title, phone number and complete mailing address of the person to
be notified in the event of a defective invoice. .

(8) Total charges for the month by Work Order Sub: Total charges. labor dollars. labor hours,
overheads. employee expenses. outside services. resource usage, and other expenses.

(9) Current month 808 billing that summarizes expenses on the Project.

Continuation Agpiigatlon and Funding

Continuation Application. A continuation application is a non-competitive application for an additional
budget period within a previously approved Project period. At least 90 days before the end of each
budget period. you must submit to the DOE Project Officer identified in Block 11 and the DOE Award
Administrator identified in Block 12 of the Notice of Financial Assistance Award your continuation
application, which includes the following information:

1. A report on your progress towards meeting the objectives of the Project. including any
signi?cant findings, conclusions, or developments, and an estimate of any unobilgated balances
remaining at the end of the budget period. If the remaining unobligated balance is estimated to
exceed 20 percent-of the funds avaiiabie for the budget period. explain why the excess funds have not
been obligated and how they will be used in the next budget period.

2. A detailed budget and supporting justification for the upcoming budget period if additional funds
are requested. a reduction of funds is anticipated. or a budget for the upcoming budget period was not
approved at the time of award. 

3. A description of your plans for the conduct of the Project during the upcoming budget period. if
there are changes from the DOE approved application.

 

 Continuation Funding. Continuation funding is contingent on availability of funds; (2)satisfactory
progress towards meeting the Statement of Project Objectives; (3) submittat of required reports; and
(4) compliance with the terms and conditions of the award.

to) The continuation application shall be submitted an the DOE Forrn 424A. Technical and budgetary
information supperting the continuation application shall be provided in accordance with 10 CFR
600.26. Forms for submission of continuation applications can be found at


2.12 Property Management and Disposition

Equipment procured under this award to the Recipient will be installed at the premises of Mississippi Power
Company (Teaming Member, subcontractor and host site to the Project) (hereinafter referred to as the ?hosting
entity?). Such hosting entity is the owner of the facility at which the Project is to be performed and wilt lake title to
the procured equipment. Such title vesting in the hosting entity will not void ability to share financial
benefit from any property disposition.

Title to all real property, equipment and supplies (excluding Government-furnished property) acquired by or on
behalf of the hosting entity in connection with performance of the Project shall vest upon acquisition and
completion of the Project in the above referenced hosting entity. The hosting entity shalt make such property
available for use in the Project. During the period of the Cooperative Agreement. the hosting entity may, with the
DOE Contracting Of?Cer's prior approval, encumber its title to or dispose of such property. Should said property
be sold during the Project period, DOE shall share In the sale proceeds at DOE's overall project cost-share ratio.
After completion of the demonstration period the hosting entity retains unconditional title and has no further
obligation to DOE with respect to the property. The Contracting Of?cer grants consent for the purchase of
equipment, fuels, materials, and services consistent with Recipient?s application.

The cost of disposal of the Demonstration Facility is an allowable cost only if proposed and included in the cost
estimate for DemonstrationlOperatlons.

The use. management, and disposition of all government-furnished property shall be governed by 10 CFR 
600.320 thru 600.324.

2.13 . Real Pronerty - None (JAN 1999}
No land is anticipated to be procured under this award.

2.14 Federally Owned Property (GovernmenttFurnished) - [gone (JAN 1999}

it is not anticipated that any Government-furnished property will be provided under this award.
2.15 Key Personnel
Personnel considered to be essential and key to the work being performed hereunder are specified below:

NAME TITLE TELEPHONE COMPANY
KBR
808
$08
808

MP0

 

The personnel specified In this clause are considered to be essential to the Project. Before removing or
replacing any key personnel, the Recipient shall notify the Contracting Officer reasonably in advance and shall
submit justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the
project. No key persomnel may be substituted without the Contracting Officer's approval. Such approval shall be
obtained in advance of the substitution, except that the Contracting Officer may ratify a substitution which,
because of exigent circumstances, was made before the Recipient could request andlor obtain the Contracting
Officer?s approval.

2.16 Pro ect tean cce

The Project shall be performed principally at the Mississippi Power Company site in Kemper County, MS. At
the request of the DOE Contracting Officer or the COR, the Recipient shall provide Government officials and
interested members of the public as determined by DOE with access to the Project site(s) to observe project
operations at reasonable times, with reasonable limitations on the number of people during each visit. and
subject to Compliance with applicable site safety and security requirements.

2.1? Paperwork Reduction Cooperatlve Agreements (SEPT 2002}

The award is subject to the requirements of the Paperwork Reduction Act of i980 as implemented by the Office
of Management and Budget rules, "Controlling Paperwork Burdens on the Public,? published at 5 CFR1320.

The Recipient shall submit any proposed sponsored information collection to the person identi?ed on the DOE 
4600.1 (Award Face Page, Block 12). The proposal shall be submitted at least 120 clays prior to the intended
date of information collection. DOE will seek the requisite approval from the Office of Management and Budget
(OMB) and will notify the Recipient of the disposition of the request.

2.18 Public Agcess 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 fer release.

2.19 Compliance with Buy American Act (OCT 2004!

in accepting this award, the Recipient agrees to comply with sections 2 through 4 of the Act of March 3, 1933
(41 U.S.C. 10a~10c, popularly known as the "Buy American Act?). The Recipient should review the provisions of
the Act to ensure that expenditures made under this award are in accordance with it.

2.20 Notige Regarding the Purchase of American-Made Equipment and Products Sense of
Congress (OCT 2004)

It Is the sense of the Congress that. to the greatest extent practicable, all equipment and products purchased
with funds made available under this award should be American-made.

2.21 Lobbying Restrictions (OCT 2004!

By accepting funds under this award. Recipient agrees that none of the funds obligated on the award shall be
made available for any activity or the publication or distribution of literature that In any way tends to promote
public support or opposition to any legislative proposal on which Congressional action is not complete. This
restricii0n is in addition to those prescribed elsewhere in statute and regulation.

2.22 Notice Regarding Ungllowabte Costs and Lobbying Activities (NQV 199?j

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 lncooststent with the allowable cost or any other provisions governing expenditures in an

 

it)

 

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 sepects of specific energy technologies, but not to encourage or
support political activities such as the collection and dissemination of information rotated to potential, planned or
pending legislation.

2.23 Re ortln 

Failure to comply with the reporting requirements contained in this award will be considered a material
noncompliance with the terms of the award. Noncompliance may result in a withholding of future payments,
suspension or termination of the current award, and withholding of future awards. A willful faiiure to perform, a
history of failure to perform, or of unsatisfactory performance of this andlor other financial assistance awards,
may also result in a debarment action to preclude future awards by Federal agencies.

2.24 Recipient Press Releases 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 feast ten (1 0) 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 Of?cer wilt then obtain necessary reviews and clearances and
provide the Recipient with the results of such reviews prior to the planned issue date.

2.25 Publication 9f Statemgnt (MAR 2004]

Publications, as well as reports prepared under this award shail contain the following acknowledgment
statement:

"This was prepared with the support of the U5. Department of Energy, under
Award Number However, any opinions, findings, conciusions, or
recommendations expressed herein are those of the author(s) and do not necessarily re?ect the views
of the 

2.28 National Environmental Policy Act (NEPA) 

You are restricted from taking any action using Federal funds that would have an adverse effect on the
environment or limit the choice of reasonable aiternatlves prior to DOE providing either a NEPA clearance or a
final NEPA decision regarding this Project. DOE shall not share in any Project cost for the Kamper County, MS
Project unless and until DOE issues a Record of Decision approving the Project. This restriction does not
preclude the Recipient from completing activities associated with Phase of Budget Period 2b.at the
Recipient's expense reference the Statement of Project Objectives. Parties agree that all Phase lib costs shall
be absorbed by the Recipient. Allowable Phase lilb costs of Budget Period 2b incurred by the Recipient for the
Kemper County, MS Project prior to the issuance of a Record of Decision (ROD) are not subject to
reimbursement by DOE until after the issuance of an ROD approving the Project.

Prior to the completion and issuance of the ROD, DOE agrees to discuss with the Recipient any proposed
conditions and requirements that may be included in the ROD it DOE approves the proposed action. While DOE
intends to avoid surprise or undue hardship for the Recipient, DOE retains sole discretion on whether to include
in the ROD any conditions and requirements. if DOE approves in the ROD the proposed action subject to
specific conditions, limitations. mitigation requirements, andlor monitoring requirements, the Recipient agrees to:

a) abide by the conditions, limitations. mitigation requirements, and/or monitoring requirements specified in the


it

 


aw Ni
MM

b) negotiate changes to the project schedule. costs, andfor scope as necessary to effect the requirements or
conditions in the 

c) aiiow authorized representatives the right to visit the site and facilities at reasonable times and upon
reasonable notice to verify oompiiance with any conditions and requirements in the and

d) submit data or otherwise meet specified reporting requirements that may be in the ROD.

if the Recipient ?nds the conditions and requirements to be unacceptable. the Recipient reserves the right
withdraw from the Project upon written notice to DOE, as prescribed under 10 CFR 

2.27 Environmental, Safety 8: Health 20031

The recipient must compiy with appiicabie Federai. State, and [coat environmental, safety and health laws
and regulations for work performed under this award;

2.28 Hazardous Wastes Manifests and Labels 30031

The Recipient shalt not identity, on wastes manifests or container labels or otherwise. DOE or NETL as the
owner or generator of hazardous wastes without written permission, signed by either the NETL Director or both
the NETL ContractingOfticer and the NETL Division Director, unless expresstyand specificaliy permitted
by the award.

2.29 I Permits and LicenSes

Within sixty (60) days of the award date (identified In Block 21 on the face page) of amendment A004 to this
Cooperative Agreement. the Recipient shait submit to the DOE Project Officer a iist of approvals that. in
the Recipient's opinion, shalt be required to complete the work under this award. The iist shall inctude the topic
of the approval being sought, the approving authority, and the expected submittailapprovai schedule. The DOE
Project Of?cer shall be notified as specific items are added or removed from the list and processed through their
approvai cycles. 

The Recipient agrees to include this oiause in first-tier subcontracts and agrees to enforce the terms of this
clause.

2.30 Insurance

is) Within 120 days of the award date (identified in Block 21 on the face page) of amendment A004 to this
Cooperative Agreement. the Recipient must submit to DOE an updated risk management plan for this
Project. The insurance requirements on the part of the Recipient for this Project shall be as set forth in
its submitted pian. Such pian must be approved by a letter from the DOE Contracting Officer. The
Recipient shall provide evidence that DOE has been named as an additional insured on the appropriate
policies.

indemnity
The Recipient shaii indemnify the Government and its of?cers. agents, or employees for any and all
including litigation expenses and attorneys? fees, arising from suits. actions. or ciaims of any

character for death. bodily injury. or toes of or damage to property or to the environment. resulting from
the fault or negiigence of the Recipient in performing the Project under this Cooperative Agreement.

2.31 Limitation of DOE Liability 2002!

Awards under this part are subject to the requirement that the maximum DOE obitgetion to the recipient is the
amount shown in the Notice of Financial Assistance Award as the amount of DOE funds obligated. DOE shalt

12

 

 

not be obligated to make any additional. supplemental, continuation. renewal or other awards for the same or
any other purpose.

2.32 Termination (MAR 2002)

The Cooperative Agreement may be terminated in accordance with 10 CFR 600.351.

2.33 Records Retention. Access, and (MAR 2002]
Period of Retentigg

The Recipient shall retain all financial and performance records, supporting documents, statistical
records. and other records of the Recipient which are required to be retained by the terms of this
Cooperative Agreement. and any other records the Recipient reasonably considers to be pertinent to
this Cdoperative Agreement. The period of required retention shall be from the date each such record
is created or received by the Recipient until three years after one of the following dates. whichever is
latest: the expiration date of this Cooperative Agreement; the date the Recipient's final expenditure
report is submitted to or if this Cooperative Agreement is terminated in its entirety. the effective
date of the termination. if any claim, litigation. negotiation. investigation. audit, or other action involving
the records starts before the expiration of the three-year retention period. the Recipient shall retain the
records until-such action is completed and all related issues are resolved, or until the end of the three-
year retention period. whichever is later.

Authorized Cgpies

Copies made by microfilm. photocopying, or similar methods may be substituted for original records.
Records originally created by computer may be retained on an electronic medium. provided such
medium is "read only? or is protected in such a manner that the electronic record can be authenticated
as an original record.

(0) Access to Records

Subject to any legitimate claims of AttorneinIIent Privilege as determined by a court of competent
jurisdiction, DOE and the Comptroller General of the United States, or any of their authorized
representatives, shall have the right of access to any books, documents, papers. or other records
(including those on electronic media) which are pertinent to this Cooperative Agreement. The purpose
of such access is limited to the makingof audits. examinations. excerpts. and transcripts. The right of
access described in this paragraph shall last as long as the Recipient retains records which are
pertinent to this Cooperative Agreement.

Restrictions on Public Disclosure
The Federal Freedom of information Act 5 USC Section 552 does not apply to records the Recipient is
required to retain by the terms of this Cooperative Agreement to the extent that the records are not also
In the possession of the Government. Unless otherwise required by law or a court of competent
jurisdiction, the Recipient shall not be required to disclose such records to the public.

2.34 Sev rabili MAR 2002

it a court of competentjurisdiction or the DOE Financial Assistance Appeals Board determines that any part of

this Copperative Agreement is invalid. void. unenforceable. or inconsistent with any applicable Federal statute or
regulation, such part shall be deemed to have been amended or deleted to conform to such determination.

2.35 of Work in the United States (AUG 20031

The Recipient agrees that at least 75% of the direct labor cost for the project (including subcontractor labor) will

13

 



be incurred in the United States unless the Recipient can demonstrate to the satisfaction of the DOE that the
United States economic interest will be better served through a greater percentage of work performed outside
the United States.

2.36 RESERVED

2.37 Annual indirect Cost Proposal Reconciliation (OCT 2004)

In accordance with the applicable cost principles, Recipient must submit an annual indirect cost
proposal, reconciled to Recipient's financial statements. within six months after the close of each fiscal
year, unless Recipient has negotiated a predetermined or fixed indirect rate(s), or ?xed amount for
indirect or facilities and administration costs.

Recipient should submit its annual indirect cost propose! 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 Of?ce (000). It Recipient does not have a cognizant agency or if Recipient does
not know the DOE CDO, contact the DOE Award Administrator identified in Block 12 of the Notice of
Financial Assistance Award.

2.38 Conditions on Award
The Recipient is not authorized to proceed into Phase of Budget Period 2b without prior DOE approval.

(3) Estimated Cost of Award

The estimated cost of the award is based on the Recipient's revised budget application dated February 2008
and reflects estimated costs available at that time. The Recipient agrees that all costs expended in Phase lib of
Budget Period 2b will be absorbed by Recipient. DOE agrees to share costs in Phase lilb of Budget Period 2b
upon Recipient?s submission and DOE's approval of an updated detailed cost breakdown for Phase lltb. 
agreement to share costs in Phase of Budget Period 2b is subject to the conditions of this Article and to DOE
receiving a detalied breakdown of the expected project costs for Phase IV at teast 90 days before the scheduled
and of Phase illb. DOE will review each detailed cost breakdown and will provide 803 with any comments on
such detailed cost breakdown within ninety (90) days of receipt thereof. in the event that DOE disputes the
aliewabtlity of particular cost items in the detailed cost breakdown, 808 and DOE will conduct discussions to
resolve any such issues. if issues on particular cost items cannot be resolved, SOS wilt have the option of
proceeding with the Project without seeking DOE funding for any such particular cost items.

2.39 Withhgiding of Funds

(A) The parties agree that $25.000.000 (twenty-five million dollars) of the DOE?obligated funds will be deterred
for payment during Phase of Budget Period 2b (the Demonstration Phase) in the manner set forth in items
and below.

(1) During Phase it! of the Project. Reclpientwili submit invoices to DOE in the normal course of business
as provided under the cooperative agreement. and DOE will reimburse Recipient for allowable costs in the
manner provided under the cooperative agreement.

(2) Each year during Phase IV of the Project, DOE will have the right to withhold up to $1,500,000 (one
mlilion five hundred thousand dollars) if Recipient fails to submit to DOE all of the required reports for that
year as defined by the cooperative agreement.

(3) Once DOE has paid to Recipient $283,750,000 mlilloc seven-hundred?tifty
thousand dollars) in DOE funds, DOE wilt disburse the remaining funds for allowable costs earned and
invoiced by Recipient as follows:

$5,000,000 upon Recipient's submission of complete final deitverables, including the Patent
Certification and the Final Scientific/Technical Report.

 

(to) $5,000,000 upon DOE's acceptance of Recipient's Final ScientificlTeohnical Report. DOE shalt
have 60 days after receipt of the Finat Scientificri?echnicet Report (or any revised versions) to provide
Recipient with comments andlor conounence. Upon receipt of comments. the Recipient shall
have 60 days to revise the Fina! Scientificl?l'echnioat Report and resubmit it to DOE (if necessary).
Should DOE not provide comments within the 60 days period, the Final Scientifici't?echnical Report shall
be deemed to be accepted and the remaining funds will be disbursed.

 

SECTION PROPERTY PROVISIONS
3.1 Intellectual Pm};er Provisions (JAN 2094] I

The patent and technical data ciauses Included in this section apply to this award. As used In these applicable
clauses, the term "Patent Counsel" refers to the following point of contact:

intellectual Property Law Division
U.S. Department of Energy
Chicago Operations Office

9800 South Cass Avenue
Argonne, iL 60439

In reading these provisions, any reference to ?contractor? shall mean "recipient". and any reference to ?contract?
or ?subcontract? shall mean ?award? or ?sub-award".

The Recipient shall include intellectual property clauses in any sub-award in accordance with requirements of
the clauses in this section and of 10 CFR Parts 600.136 or 600.325 as appropriate.

3.2 Confidential Business Information (JAN 20041

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 sub-
mitted as an attachment to the required reports and wilt be withheld from disclosure outside the U.S.
Government to the extent permitted by law. Such attachment and each page therein shall be stamped with the
following legend and no other:

CONFIDENTIAL BUSINESS INFORMATION

The Recipient considers the material furnished herein to contain confidential business information which
is to be withheld from disclosure outside the U.S. Government to the extent permitted by law.

3.3 52.2274 Authorization and Consent (JUL 1995! - Alternate IIAPR 19?41

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.

The Contractor agrees to Include, and require inclusion of, this clause, suitably modified to identify the
parties, in all subcontracts at any tier for supplies or services (Including construction, architect-engineer
services. and materials. supplies. models. samples, and design or testing services expected to exceed the
simplified acquisition threshold); however. omission of this clause from any subcontract, including those at
or below the simplified acquisition threshold. does not affect this authorization and consent.

3.4 . 52.227-2 Notice and Assistance Regarding Patent and Copyright Infringement (AUG 1&961

The Contractor shait report to the Contracting Officer. 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.

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 contractor 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 OfficerI ail 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.

t6

 

(0)

3.5




3.6








(9)

The Contractor agrees to include. and require inclusion of, this ciause in all subcontracts at any tier for
supplies er services (including construction and architect-engineer subcontracts and those for materiai,
supplies, models. samptes, or design or testing services) expected to exceed the simplified acquisition
threshold at FAR 2.101.

?2.227-3 Patent Indemnity 1984}

The Contractor shall indemnify the Government and its officers. agents. and empioyees against liability.
including costs, for infringement of any United States patent (except a patent issued upon anappiication that
is now or may hereafter be withheid from issue pursuant to a Secrecy Order under 35 0.8.0. 181) arising
cut of the manufacture or delivery of supplies, the performance of services, or the construction, alteration,
modification, or repair of real property (hereinafter referred to as ?construction work?) under this contractdisposal by or for the account of the Government of such supplies or construction work.

This indemnity shalt not apply unless the Contractor shalt have been informed as soon as practicable by the
Government of the suit or action alleging such infringement and shall have been given such opportunity as
is afforded by applicable iaws, rules, or regulations to participate in its defense. Further, this indemnity shalt
not apply to -

An infringement resulting from compiiance with Specific written instructions of the Contracting
Officer directing a change in the suppiies to be delivered or in the materials or equipment to be
used, or directing a manner of performance of the contract not normaliy used by the Contractor;

(2) An infringement resulting from addition to or change in suppiies or components furnished or
construction work performed that was made subsequent to delivery or performance: or 

(3) A ciaimed infringement that is unreasonably settied without the consent of the Contractor. unless
required by final decree of a court of competent jurisdiction.

952.227-9 Refund of Royalties QFEB 19951

The contract price includes certain amounts for royalties payable by the Contractor or subcontractors or
both. which amounts have been reported to the Contracting Officer.

The term "royalties" as used in this clause refers to any costs or charges in the nature of royalties, iicense
fees. patent or license amortization costs, or the like, for the use of or for rights in patents and patent
apptications in connection with performing this contract or any subcontract here-under. The term also
tnciudes any costs or charges associated with the access to. use of. or other right pertaining to data that is
represented to be proprietary and is related to the performance of this contract or the copying of such data
or data that is copyrighted.

The Contractor shall furnish to the Contracting Officer. before ?nal payment underthis contract. a statement
of royalties paid or required to be paid in connection with performing this contract and subcontracts
hereunder together with the reasons.

The Contractor will be compensated for royalties reported under paragraph of this clause. only to the
extent that such royalties were included in the contract price and are determined by the Contracting Officer
to be property chargeable to the Government and atlocable to the contract. To the extent that any royalties
that are included in the contract price are not, in fact. paid by the Contractor or are determined by the
Contracting Officer not to be property chargeable to the government and aliocabie to the contract. the
centract price shalt be reduced. Repayment or credit to the Government shall be made as the Contracting
Officer directs. The approval by DOE of any individual payments or royalties shall not prevent the
Government from contesting at any time the enforceability, validity. scope of. or title to, any patent or the
proprietary nature of data pursuant to which a royalty or other payment is to be or has been made.

If, at any time within 3 years after tine! payment under this contract. the Contractor for any reason is relieved

 





in whole or in part from the payment of the royalties included in the final contract price as adjusted pursuant
to paragraph of this clause. the Contractor shall notify the Contracting Officer of that fact and
shall reimburse the Government in a corresponding amount.

The substance of this clause. including this paragraph (f)I shalt be inciuded in any subcontract in which the
amount of royatties reported during negotiation of the subcontract exceeds $250.

Patent Rights (Large Business Firms) - Ne Waiver (OCT 2003)

De?nitions



to)



DOE patent waiver regulations. as used in this clause, means the Department of Energy patent waiver
regulations in effect on the date of award. See 10 CFR Part ?84.

invention, as used in this clause, means any invention or discovery which is or may be patentable or
otherwise protectable under title 35 of the United States Code or any novel variety of plant that is or may be
protectabte under the Plant Variety Protection Act (7 U.S.C. 2321, et seq).

Patent Counsel, as used in this clause, means the Department of Energy Patent Counsel assisting the
awarding activity.

Subject invention. as used in this clause, means any invention of the Recipient conceived or first actually
reduced to practice in the course of or under this agreement.

Allocations of Principal Rights

(1) Assignment to the Government. The Recipient agrees to assign to the Government the entire right,
title. and interest throughout the world in and to each subject invention, except to the extent that
rights are retained by the Recipient under subparagraph and paragraph of this clause.

(2) Greater rights determinations. The Recipient. or an employee-Inventor after consultation with the
Recipient. may request greater rights than the nonexclusive license in the foreign patent rights
provided in paragraph of this clause on identified inventions in accordance with the DOE patent
waiver regulation. Each determination of greater rights under this agreement shall be subject to
paragraph of this clause, unless otherwise provided in the greater rights determination, and to
the reservations and conditions deemed to be appropriate by the Secretary of Energy or designee.

Minimum Rights Acquired by the Government

With respect to each subject invention to which the Department of Energy grants the Recipient principal or
exclusive rights, the Recipient agrees to grant to the Government: A nonexclusive. nontransferabie,
irrevocable. paid?up license to practice or have practiced each subject invention throughout the world by or
on behalf of the Government of the United States (including any Government agency); "march-in rights? as
set forth in 3? CFR 401 preference for us. industry as set forth in 37 CFR periodic
reports upon request, no more frequently than annually, on the utilization or intent of utilization of a subject
invention in a manner consistent with 35 U.S.C. 202(c)(5): and such Government rights in any instrument
transferring rights in a subject invention. -

Minimum Rights to the Recipient

The Recipient is hereby granted a revocable. nonexclusive, royalty-free iicense in each patent
application filed in any country on a subject invention and any resulting patent in which the
Government obtains title, unless the Recipient fails to disciose the subject invention within the times
specified in subparagraph of this clause. The Recipient's license extends to its domestic
subsidiaries and af?liates, if any, within the corporate structure of which the Recipient is a part and
includes the right to grant subiicenses of the same scope to the extent the Recipient was legally

 

(2)

obligated to do so at the time the agreement was awarded. The license is transferable oniywith the
approval of DOE except when transferred to the successor of that part of the Recipient's business
to which the invention pertains.

The Recipient may request the right to acquire patent rights to a subject invention in any foreign
country where the Government has elected not to secure such rights, subject to the minimum rights
acquired by the Government similar to paragraph of this clause. Such request must be made in
writing to the Patent Counsel as part of the disclosure required by subparagraph of this
clause. with a copy to the DOE Contracting Officer. DOE approval, if given. will be based on a
determination that this would best serve the national interest.

invention identification. Disclosures, and Reports

(1)

(2)

(3)

(4)

The Recipient shall establish and maintain active and effective procedures to assure that subject
inventions are identified and disclosed to Recipient personnel responsible for patent
matters within 6 months of conception andior first actual reduction to practice. whichever occurs
first in the performance of work under this agreement. These procedures shalt include the
maintenance of laboratory notebooks or equivalent'records and other records as are reasonably
necessary to document the conception andior the first actual reduction to practice of subject
inventions. and records that show that the procedures for identifying and disclosing the inventions
are followed. Upon request, the Recipient shall furnish the Contracting Officer a description of such
procedures for evaluation and for determination as to their effectiveness.

The Recipient shall disclose each subject invention to the DOE Patent Counsel with a copy to the
Contracting Officer within 2 months after the inventor discloses it in writing to Recipient personnel
responsible for patent matters or, it earlier. within 6 months after the Recipient becomes aware that
a subject invention has been made. but in any event before any on sale, public use, or publication of
such invention known to the Recipient. The disclosure to DOE shalt be in the form of a written
report and shall identify the agreement under which the invention was made and the inventor(s). it
snail be sufficiently complete in technical detail to convey a clear understanding. to the extent
known at the time of the disclosure. of the nature, purpose, operation. and physical. chemical.
biological, or electrical characteristics of the invention. The disclosure shall also identify any
publication, on safe, or public use of the invention and whether a manuscript describing the
invention has been submitted for publication and, if so. whether it has been accepted for publication
at the time of disclosure. in addition. after disclosure to DOE, the Recipient shall notify
Patent Counsel of the acceptance of any manuscript describing the invention for publication or of
any on sale or public use planned by the Recipient. The report should also include any request for a
greater rights determination in accordance with subparagraph of this clause. When an
invention is disclosed to DOE under this paragraph, it shall be deemed to have been made in the
manner specified in Sections (ajlt) and of42 0.3.0. 5908. unless the Recipient contends in
writing at the time the invention is disclosed that it was not so made.

The Recipient shall furnish the Contracting Officer a final report. within 3 months after completion of
the work listing alt subject inventions or containing a statement that there were no such inventions,
and listing all sub~awardsicontraots at any tier containing a patent rights clause or containing a
statement that there were no such sub-awards/contracts.

The Recipient agrees to require. by written agreement. its employees. other than clerical and non-
technicai employees. to disclose in writing to personnel identified as responsible for the
administration of patent matters and in a format suggested by the Recipient each subject invention
made under sub-awardicontract in order that the Recipient can comply with the disclosure
provisions of paragraph of this clause. and to execute all papers necessary to tile patent
applications on subject inventions and to establish the Government's rights in the subject
inventions. This disclosure format should require. as a minimum. the information required by
subparagraph of this clause.

19

 

(5) The Recipient agrees. subject to FAR 27.3020): that the Government may duplicate and disclose
subject invention disciosures and all other reports and papers furnished or required to be furnished
pursuant to this clause.

Examination of Records Relating to inventions

The Contracting Officer or any authorized representative shall, until 3 years after finai payment
under this agreement. have the right to examine any books (including laboratory notebooks),
records. and documents of the Recipient relating to the conception or first actuat reduction to
practice of inventions in the same field of technoiogy as the work under this agreement to determine
whethen?

Any such inventions are subject inventions;

(it) The Recipient has established and maintains the procedures required by
subparagraphs and (4) of this clause; .

The Recipient and its inventors have complied with the procedures.

(2) if the Contracting Officer teams of an unreported Recipient invention which the Contracting Officer
believes may be a subject invention, the Recipient may be required to disclose the invention to DOE
for a determination of ownership rights.

(3) Any examination of records under this paragraph will be subject to appropriate conditions to protect
the confidentiality of the information involved.

(9) Sub-AwerdiContract

(1) The recipient shalt Include the clause PATENT (SMALL BUSINESS FIRMS AND
NONPROFIT ORGANIZATIONS) (suitably modi?ed to identify the parties) in sub-
regardless of tier, for experimentai, developmental, demonstration. or research
to be performed by a small business firm or domestic nonpro?t organization. exceptwhere the
work of the sub-award/contract is subject to an Exceptional Circumstances Determination by DOE.
in all other regardless of tier, for experimental, developmental,
demonstration, or research work, the Recipient shalt include this cieuse (suitany modified to identify
the parties), or an atternate clause as directed by the contracting officer. The Recipient snail not, as
part of the consideration for awarding the sub-awerdlcontract, obtain rights in the sub-
subject inventions.

(2) In the event of a refusat by a prospective sub-reclpientlcontractcr to accept such a stance the
Recipient:

Shall submit a written notice to the Contracting Officer setting forth the sub-
reci?plentfcontractor's reasons for such refusal and other pertinent information that may
expedite disposition of the matter; and.

(ii) Shall not proceed with such sub-award/contract without the written authorization of the
Contracting Officer.

(3) in the case of sub-awards/contracts at any tier, DOE. the sub-recipientfcontractor, and Recipient
agree that the mutual obligations of the parties created by this clause constitute a contract between
the sub~reclptenifcontractcr and DOE with respect to those matters covered by this clause.

(4) The Recipient shall notify the Contracting Officer in writing upon the award of any sub-
award/contract at any tier containing a patent rights clause by identifying the sub-
recipientlcontractor. the applicable patent rights clause. the work to be performed under the sub-
and the dates of award and estimated completion. Upon request of the Contracting
Officer, the Recipient shall furnish a copy of such sub-awardlcontract, and. no more frequently than

20

 

annualiy, a listing of the sub-awards/contracts that have been awarded.

(5) The Recipient shall identify att subject Inventions of a subvecipientlcontractor of which it acquires
knowledge in the performance of this agreement and shall notify the Patent Counsel, with a copy to
the contracting of?cer, upon identification of the inventions.

Atomic Energy

(1) No cteim for pecuniary award of compensation under the provisions of the Atomic Energy Act of
1954, as amended, shalt be asserted with respect to any invention or discovery made or conceived in
the course of or under this agreement.

(2) Except as?otherwise authorized in writing by the Contracting Officer, the Recipient will obtain patent
agreements to effectuate the provisions of subparagraph of this clause from all persons who
perform any part of the work under this agreement, except non-technical personnel, such as clerical
empioyees and manuai iaborers.



(5) Publication

It is recognized that during the course of the work under this agreement, the Recipient or Its employees may
from time to time desire to retease or publish information regarding scientific or technical developments
conceived or ?rst actually reduced to practice in the course of or under this agreement. in order that public
disclosure of such information will not adversely affect the patent interests of DOE or the Recipient, patent
approval for reiease of publication shalt be secured from Patent Counsel prior to any such release or pubiication.

Forfeiture of Rights in Unreported Subject invention

(1) The Recipient shall forfeit and assign to the Government, at the request of the Secretary of Energy
or designee, rights in any subject invention which the Recipient fails to report to Patent Counsel
within six months after the time the Recipient:

Files-or causes to be filed a United States or foreign patent application thereon; or
(it) Submits the final repert required by subparagraph of this clause, whichever is later.

(2) However, the Recipient shall not forfeit rights in a subject invention it, within the time specified
[mach?paragraph of this ciause, the Recipient:

Prepares a written decision based upon a review of the record that the invention was neither
conceived nor first actually reduced to practice in the course of or under the agreement and
delivers the decision to Patent Counsel, with a copy to the Contracting Officer, or

(ii) Contending that the invention is not a subject invention, the Recipient nevertheless
discloses the invention and all facts pertinent to this contention to the Patent Counsel. with a
copy of the Contracting Officer; or

Establishes that the failure to disclose did not result from the Recipient's fault or
negligence.

(3) Pending written assignment of the patent application and patents on a subject invention determined
by the Secretary of Energy or designee to be forfeited (such determination to be a final decision under
the Disputes clause of this agreement), the Recipient shalt be deemed to hold the invention and the
patent applications and patents pertaining thereto in trust for the Government. The forfeiture provision of
this paragraph (1) shall be in addition to and shail not supersede other rights and remedies which the
Government may have with respect to subject Inventions.

2]

 

3.8 Rights in Data - Programs Covered Under Special Data Statutes [901? 20031

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 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, ?ow 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 ?nancial. 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 date identifying source, functional characteristics,
and performance requirements but specifically excludes the source code, algorithm. process, formulae, and
flow charts of the software.

Limited rights data, as used in this clause. means data (other than computer software) developed at private
expense that embody trade secrets or are commercial or ?nancial 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 ?nancial and confidential or privileged; or is published
copyrighted computer software; including modifications of such computer software.

Protected data, as used in this clause, means technical data or commercial or financial data first produced
in the performance of the award which, if it had been obtained from and first produced by a non-federal
party, would be a trade secret or commercial or financial information that is privileged or confidential under
the meaning of 5 U.S.C. 552(b)(4) and which data is marked as being protected data by a party to the
award.

Protected rights, as used in this clause, mean the rights in protected data set forth in the Protected Rights
Notice of paragraph (9) of this clause.

Technical data, as used in this clause, means that data which are of a scientific or technical nature.
Technical data does not include computer software, but does include manuals and instructional materials
and technical data formatted as a computer data base.
Unlimited rights. as used in this clause, means the right of the Government to use, disclose. reproduce.
prepare derivative works, distribute copies to the public. and perform publicly and display publicly. in any
manner and for any purpose whatsoever, and to have or permit others to do so.

Allocation of Rights

(1) Except as provided in paragraph of this clause regarding copyright. the Government shall
have unlimited rights in - 

22

 

(2)

Copyright
(1 

(2)



- Data specificaliy identified in this agreement as data to be delivered without restriction;

(ii) Form. tit, 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 detivered or
furnished for use under this agreement; and

(iv) All other data delivered under this agreement unless provided otherwise for protected
data in accordance with paragraph (9) of this ciause or for limited rights data or
restricted computer software in accordance with paragraph of this clause.

The Recipient shall have the right to 

Protect rights in protected data delivered under this agreement in the manner and to
the extent provided in paragraph (9) of this ctause;

(it) Withhold from delivery those data which are limited rights data or restricted computer
software to the extent provided in paragraph of this stance;

Substantiate use of, add. or correct protected rights or copyrights notices and to take
other appropriate action, in accordance with paragraph of this stones; and

(iv) Estabtish claim to copyright subsisting in data first produced in the performance of this
agreement to the extent provided in subparagraph of this ciause.

Data first produced in the performance of this agreement. Except as otherwise specificatly

provided in this agreement. the Recipient may establish, without the prior approve! of the
Contracting Officer, ctaim to copyright subsisting in any data first produced in the performance
of this agreement. if claim to copyright is made, the Recipient shall affix the applicable copyright
notice of 17 U.S.C. 401 or 402 and acknowledgment of Government sponsorship (lnctuding
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, inctudtng computer software, the Recipient grants
to the Government, and others acting on its behalf, a paid?up nonexclusive, irrevocable,
worldwide ticense to reproduce, prepare derivative works, distribute copies to the public, and
perform publicly and dispiay publicly, by or on behalf of the Government, for alt such data.

Data not first produced in the performance of this agreement. The Recipient shall not, without
prior written permission of the Contracting Of?cer, incorporate in data detlvered under this
agreement any data that are not first produced in the performance of this agreement and that
contain the copyright notice of t? U.S.C. 401 or 402, unless the Recipient identifies such data
and grants to the Government, or acquires on its behait, a license of the same scope as set
forth in subparagraph of this clause: provided, however, that it such data are computer
software, the Government shall acquire a copyright license as set forth in subparagraph 
of this clause it included in this agreement or as otherwise may be provided in a collateral
agreement incorporated or made a part of this agreement.

Removat of copyright notices. The Government agrees not to remove any copyright notices
placed on data pursuant to this paragraph and to include such notices on alt reproductions
of the data.

Release. Publication and Use of Data

23

 

 

(1) The Recipient shall have the right to use, release to others, reproduce, distribute, or publish any
data first produced or specifically used by the Recipient in the performance of this contract.
except to the extent such data may be subject to the Federal export control or national security
laws or regulations. or unless otherwise provided in this paragraph of this clause or expressly
set forth in this contract.

(2) The Recipient agrees that to the extent it receives or is given access to data necessary for the
performance of this agreement which contain restrictive markings, the Recipient shalt treat the
data in accordance with such markings unless otherwise specifically authorized in writing by the
Contracting Of?cer.

to) 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
or 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.



(ii)



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;

if the Recipient fails to respond or fails to provide written justi?cation to substantiate the
prepriety 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 anytime after said
period and the data will no longer be made subject to any disclosure prohibitions.

if the Recipient provides written justification to substantiate the propriety of the
markings within the period satin subdivision 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 ?les suit in a court
of competentjurisdiclion within 90 days of receipt of the Contracting Officer?s decision.
The Government shall continue to abide by the markings under this subdivision
until final resolution of the matter either by the Contracting Of?cer's
determination become final (in which instance the Government shall thereafter have
the right to cancel or ignore the markings at any time and the data will no longer be
made subject to any disclosure prohibitions). or by final disposition of the matter by
court decision if suit is ?ied.

(2) The time limits in the procedures set forth in subparagraph 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.

Omitted or incorrect Markings

(1) Data delivered to the Government without either the limited rights or restricted rights notice as

24

 

authorized by paragraph (9) of this clause, or the cepyright notice required by paragraph of
this clause. shail be deemed to have been furnished with unilmiied rights, and the Government
assumes no for the disclosure. use, or reproduction of such data. However. to the extent
the data has not been disctosed without restriction outside the Government, the Recipient may
request, within 6 months (or a tonger time approved by the Contracting Officer for good cause
shown) after deiivery of such data. permission to have notices pieced on qualifying data at the
Recipient?s expense, and the Contracting Officer may agree to do so if the Recipient -

identifies the data to which the omitted notice is to be applied;
(ii) Demonstrates that the omission of the notice was inadvertent;
Establishes that the use of the proposed notice is authorized; and

(iv) Acknowledges that the Government has no liability with respect to the disciosure. use,
or reproduction of any such data made prior to the addition of the notice or resuiting
from the omission of the notice.

(2) The Contracting Officer may also:

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

Correct any incorrect notices.
(9) Rights to Protected Date

(1) The Recipient may, with the concurrence of DOE, claim and mark as protected date, any data
first produced in the performance of this award that would have been treated as a trade secret
it developed at private expense. Any such ciairned "protected data" will be cteariy marked with
the following Protected Rights Notice, and will be treated in accordance with such Notice.
subject to the provisions of paragraphs and of this clause.

PROTECTED RIGHTS NOTICE

These protected data were produced under Agreement Number DE-FCQG-DBNT42391 with the
U.S. Department of Energy and may not be published, disseminated. or disclosed to others
outside the Government until five years after the compietion of the Demonstration Phase. unless
express written authorization is obtained from the recipient. Upon expiration of the period of
protection set forth in this Notice, the Government shalt have unlimited rights in this data. This
Notice shalt be marked on any reproduction of this date, in whole or in part.

(End of notice).

(2) Any each marked Protected Data may be disclosed under obligations of confidentiality for the
following purposes:

For evaluation purposes under the restriction that the "Protected Data? be retained in
confidence and not be further disclosed;

(it) To subcontractors or other team members performing work under the Government's
Clean Coal Power initiative program of which this award is a part, for information or
use in connection with the work performed under their activity! and under the restriction
that the Protected Data be retained in con?dence and not be further disclosed; or

25

 

 As otherwise allowed in this agreement, use by the Government or others on its behalf to
the extent necessary to enable the Government to complete the Statement of Project
Objectives (Attachment A) of this agreement.

(3) The obligations of confidentiality and restrictions on publication and dissemination shall and for
any Protected Data:

At the end of the protected period;

(it) If the data becomes publicly known or available from other sources without a breach of
the obligation of confidentiality with respect to the Protected Data;

if the same data is independently developed by someone who did not have access to
the Protected Data and such data is made available without obligations of
confidentiality: or .

(iv) lithe Recipient disseminates or authorizes another to disseminate such data without
obligations of confidentiality. - .

However. the Recipient agrees that the following types of data are not considered to be
protected and shall be provided to the Government when required by this award without any
claim that the data are Protected Data. The parties agree that notwithstanding the following lists
of types of data, nothing precludes the Government from seeking delivery of additional data in
accordance with this award, or from making pubticiy available additional non-protected data,
nor does the following list constitute any admission by the Government that technical data not
on the list is Protected Data.

RIGHTS DATA



Design


26

 

2?

 

(5) The Government?s sole obligation with respect to any protected data shall be as set forth in this
paragraph.

(in) Protection of Limited Rights Data

(1) When data other than that listed in subparagraphs and of this ciause are speci?ed to be
delivered under this agreement and such data quality as either limited rights data or restricted computer
software. the Recipient. if the Recipient desires to continue protection of such data. shall withhold such data
and not furnish them to the Government under this agreement. As a condition to this withholding the
Recipient shaii identify the data being withheld and furnish form, tit, and function data in lieu thereof.

(2) Notwithstanding subparagraph of this ciause, the agreement may identify and specify the delivery of
iimited rights data, or the Contracting Officer may require by written requestthe delivery of limited rights data that
has been withheld or would otherwise be withhoidable. 'if delivery of such data is so required. the Recipient may
affix the following "Limited Rights Notice" to the data and the Government witl thereafter treat the data, in
accordance with such Notice:

LIMITED RIGHTS NOTICE

23

 These data are submitted with limited rights under Government Agreement Number 
06NT42391. These data may be reproduced and used by the Government with the express
limitation that they will not. without written permission of the Recipient. be used for purposes of
manufacture nor disclosed outside the Government: except that the Government may disclose
these data outside the Government for the following purposes, if any, provided that the Government
makes such disclosure subject to prohibition against further use and disclosure:

(1) Use (except for manufacture) by Federal support services contractors within the scope of
their contracts; .

(2) This "limited rights data" may be disclosed for evaluation purposes under the restriction
that the "limited rights data? be retained in con?dence and not be further disclosed;

(3) This ?limited rights data" may be disclosed to other contractors participating in the
Government?s program of which this Recipient Is a part for information or use (except for
manufacture) in connection with the work performed under their awards and under the
restriction that the "limited rights data" be retained in confidence and not be further
disclosed;

(4) This "limited rights data" may be used by the Government or others on its behalf for
emergency repair or overhaul work under the restriction that the "iimited rights data? be
retained in confidence and not be further disclosed; .

(6) Release to a foreign government, or instrumentality thereof. as the interests of the United
States Government may require. for information or evaluation, or for emergency repair or
overhaul work by such government. This Notice shall be marked on any reproduction of
this data in whole or in part; and

(6) As otherwise ailcwed in this agreement, use by the Government or others on its behalf to
the extent necessary to enable the Government to complete the Statement of Project
Objectives (Attachment A) of this agreement.

This Notice shall be marked on any reproduction of these data, in whole or in part.
(End of notice)
Notwithstanding subparagraph of this clause, the agreement may identify and specifythe delivery of
restricted computer software, or the Contracting Officer may require by written request the delivery of restricted
computer software that has been withheld or would otherwise be withhoidabie. if delivery of such computer
software is so required. the Recipient may affix the following "Restricted Rights Notice" to the computer software

and the Government wilt thereafter treat the computer software, subject to paragraphs and of this clause.
in accordance with the Notice.

RIGHTS NOTICE
This computer software is submitted with restricted rights under Government Agreement Number DE-
it may not be used, reproduced, or disclosed by the Government except as provided
in paragraph of this Notice or as otherwise expressly stated in the agreement.
This computer software may be 
(1) Used or copied for use in or with the computer or computers for which it was acquired,
including use at any Government installation to which such computer or computers may be
transferred: 

(2) Used or copied for use in a backup computer if any computer for which it was acquired is

29

 

inoperative;
(3) Reproduced for safekeeping (archives) or backup purposes:

(4) Modified, adapted, or combined with other cbmputer software, provided that the modi?ed,
combined, or adapted portions of the derivative software are made subject to the same
restricted rights;

(5) Disclosed to and reproduced for use by support service Contractors in accordance with
subparagraph through (4) of this clause, provided the Government makes such
disciosureor reproduction subject to these restricted rights;

(6) Used or copied for use in or transferred to a replacement computer; and
(7) As otherwise allowed in this agreement, use by the Government or others on its behalf to the
extent necessary to enabie the Government to ccmpiete the Statement of Project Objectives
(Attachment A) of this agreement.
(0) Notwithstanding the foregoing, it this computer software is published copyrighted computer software, it
is iicensed to the Government, without disclosure prohibitions, with the minimum rights set forth in
paragraph of this clause.

Any other rights or limitations regarding the use, duplication, or disclosure of this computer software are
to be expressly stated, in, or incorporated in. the agreement.

to) This Notice shalt be marked on any reproduction of this computer software, in whole or in part.
(End of notice}

(it) Where it is impractical to include the Restricted Rights Notice on restricted computer software, the foiiowlng
short-form Notice may be used in lieu thereof:

RESTRICTED RIGHTS 

Use, reproduction. or disclosure is subject to restrictions set forth in Agreement Number DE-FCZG-
06NT42391 with Southern Company Services, inc.

(End of notice)

if restricted computer software is delivered with the copyright notice of 17 401, it will be presumed to
be published copyrighted computer sofhvare licensed to the government without prohibitions, with the
minimum rights set forth in paragraph of this clause, unless the Recipient includes the following statement
with such copyright notice: ?Unpublished -- rights reserved under the Copyright Laws of the United States.?

Sub-awardIContract
The Recipient has the responsibility to obtain from its sub~recipientsicontractors all data and rights therein
necessary to fulfiil the Recipient?s obligations to the Government under this agreement. if a sub-
recipient/contractor refuses to accept terms affording the Government such rights, the Recipient shall
bring such refusal to the attention of the Contracting Officer and not proceed with sub-
awardlcontract award without further authorization. 

(1) Additional Data Requirements

in addition to the data specified eisewhere 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

30

 

 



3.9

deiivered under this agreement, order any data first produced or specifically used lnthe 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 withhoiding of which is authorized by this
ciause or data which are specificalty 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.

The Recipient agrees, except as may be otherwise specified in this agreement for specific data items iisted
as not subject to this paragraph, that the Contracting Of?cer or an authorized representative may, up to
three years after acceptance of all items to be delivered under this contract, inspect atthe Recipient?s facility
any data withheld pursuant to paragraph of this ciause. 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 it the inspection were made by a particuiar representative, the
Contracting Officer shall designate an alternate inspector. 

Limited Rights Data (JAN 2004!

The limited rights data subject to the "Rights in Data" clause in this award are listed beiow. This listing otdata,
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.

RIGHTS DATA

Design


Operations


It a patent is issued by the United States Patent and Trademark Office or the patent of?ce of anyforetgn country
based on any information asserted to be limited rights data, the Government wilt no longer treat any data
contained in such issued patent as itrnited 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 ciause of this

31

 

agreement, the Government wilt only treat such data as limited rights data until the Recipient has filed its initiai
patent appiication. -

The Recipient shatl not introduce or utilize any itmited rights data not identified in paragraph (1) above in the
performance of the award without the expressed written permission of the Contracting Officer.

3.10 Restricted Com titer Software JAN 2004

The restricted computer software subject to the provisions of the ?Rights in Data" clause in this agreement are
listed below. This list of software programs, which are asserted by the Recipient to be restricted computer
software, does not constitute an admission by the Government that the software is in fact restricted computer
software.

RESTRICTED COMPUTER SOFTWARE



32

 

The Recipient shall not introduce or utilize any restricted computer software not identi?ed above without advance
written notification of the.Contrecting Officer. -

3.11 Protected Data (JAE 20041

The following is a listing of data anticipated to be generated under this award that the Recipient expects will
qualify as ?Protected Data." as that term is de?ned in the ?Rights in Data" clause in this award. Incorporating this
listing of data into this agreement does not constitute a guarantee by the Government that the data will in fact
qualify for this designation.

PROTECTED DATA



33

 

If a patent is issued by the United States Patent and Trademark Office or the patent of?ce of any foreign country
based on any information asserted to be Protected Date, the Government will no longer treat any data contained
in such issued patent as Protected Data. in addition, If any information asserted to be Protected Data results in
or becomes a Subject Invention, as that term is de?ned in the patent rights clause of this agreement, the
Government wiil only treat such data as Protected Data until the Recipient has filed its initial patent application.

3.12 Avaitabllit of centre and other EC 2003

The Participant will, for the entire period of Participant's participation in the project at the Facility (including
operation of the Facility) and for three years thereafter, whether or not under a Government Cooperative
Agreement. keep and maintain all technicai data. including limited rights data and data obtained from
subcontractors and licensors, necessary to construct andior operate the Facility, and all data including business
and ?nancial data necessary to evaluate the technical and economic operation of the Facility. During the entire
period of construction and/or operation of the Facility, regardless of whether the Government participates past
Design, the Participant shall permit the Government and its representative the right to inspect at the Facility any
data kept and maintained pursuant to this paragraph.

3.13 gommercializatiog of Demonstration (DEQ 2003i

34

 

 

3.14 52227-23 Rightg to Progosa! Data 1987]

3S

 

 

Proposal dated June 10, 2004

Except for data contained on pages 72, 73, 74, 75; Appendix to, 11, 12. 13; Appendix - Appendix 1; Appendix the Project Narrative, it is agreed
that as a condition of award of this contract, and notwithstanding the conditions of any notice appearing thereon,
the Government shall have unlimited rights (as defined in the ?Rights in Data - General" or the ?Rights in Data 
Programs Covered Under Speciai Data Statutes" clause contained in this contract) in and to the technical data
contained in the Project Narrative portion of the proposal dated June 10, 2004. Ail other parts of the proposal
are considered to be Limited Rights Data containing sensitive business information and corporate trade secrets
of the Recipient and/or of certain subcontractors.

Request to change site from Orlando, Florida to Kemper County, Mississippi (February 2008):

Except for data contained on the 4 cover letters (dated February 12. 2008, February 11, 2008, February 11,
2008 and February 8, 2008, respectively) and pages the Site
Change Request dated February, 2008, it is agreed that as a condition of award of this contract, and
notwithstanding the conditions of any notice appearing thereon, the Government shail 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 Site Change Request
portion of the proposal dated February, 2008. Ali other submittals associated with the Site Change Request
under this award are considered to be Limited Rights Data containing sensitive business information and
corporate trade secrets of the Recipient andfor of certain subcontractors and thus are subject to the restrictions
established by the agreement.

36

 

SECTION IV - t=t_ST OF ATTACHMENTS

Attachment A -- Statement of Project Objectives
Attachment - Reporting Requirements
Attachment Budget Page(s)

Attachment Amended and Restated Repayment Agreement



 

 A
STATEMENT OF PROJECT OBJECTIVES

As of Amendment A004
DEMONSTRATION OF A COAL-BASED TRANSPORT 

Originally this demonstration project was to be conducted at the Orlando Utilities Commission (OUC)
Stanton Energy Center near Orlando, Florida; however, due to unforeseen circumstances the project
demonstration was terminated at the Orlando facility in November 2007. in December 2007, Southern
Company requested that the project be relocated to the Kemper County site in Mississippi. After
performing a due diligence review of the site relocation request, DOE approved the request. As a result,
the Statement of Project Objectives was modified to reflect the activities that were performed for the
Orlando site and the activities which will be performed for the Kemper County site. Where Budget
Periods and Phases overlap on work performed at both demonstration sites, the designation of 
refers to the Orlando site and the designation of refers to the Mississippi site.

Statement of Pro ecg Objectives for Activities Associated with the Orlando Site

A. Project Summary (as proposed for the Orlando demonstration site)

Southern Company Services, inc. (808), in a team effort with Southern Power Company Orlando Gasiflcaiion,
LLC (SPCOG), Orlando Utilities Commission (OUC), and Kellogg Brown and Root (KBR), will design, construct,
and operate a coal-based 285-MW integrated Gaslficatlon Combined Cycle ([600) power plant to demonstrate
Transport Reactor Integrated Gasliication (TRIGW) combined cycle technology. The TRICTM plant, to be
located at the Stanton Energy Center near Orlando in Orange County, Florida, will have two main islands: a
Gasificatlon Island and a Combined Cycle island. The Gasification island will use air-blown transport gasi?er
technology to generate syngas from U.S. coal Powder River Basin coal). The syngas, cleaned In the
Gasificatlon island, would be used for fueling the Combined Cycle island - - a new combined cycle power
generating facility - - planned for installation in 2010 by OUC and SPCOG. Except for the incremental items
required for syngas operation, the Combined Cycle Island, which includes a gas turbine, heat recovery steam
generator, and a steam turbine, will be built without DOE funds whereas the Gasificatlon island, which includes
the fuel handling, Transport Gasifier (TC), syngas clean up system, and ash handling would bojointly owned by
SPCOG and OUC and would be cost shared by DOE.

A key performance target for the TRIGW plant is to achieve 80% availability without the use of a spare
gasitication train. in addition to demonstrating a gasitication system with potential efficiency,
capital cost, and operating cost advantages, this technology holds substantial potential for demonstrating the
usability of abundant low~rank coals in an advanced power generation system. The project also demonstrates
advanced technologies for particulate removal using high temperature-high pressure ?lters, mercury removal,
and operation of a sulfur removal system for syngas cleanup.

Prior to the decision to terminate the demonstration at the Orlando site, the project had initiated tasks in the
following three phases: Project Definition, (ll) Detailed Design, and (ill) Construction.

B. Project Objectives (as proposed for the Orlando demonstration site)

The overall objective of the project is to design, construct, and operate a Transport Gasifier based advanced
integrated gasification combined cycle power plant that uses U.S. coal to generate 285-MW (net) electricity. The
sub-objectives of the project include:

To design, build, and operate a slate~ofllhe-ert coal Gaslfication Island utilizing KBR Transport Gasl?er
technology and integrate it with a Combined Cycle island. 

2. To design, construct, and operate an advanced cleanup system that includes a sulfur removal system, high
temperature - high pressure particulate filter (HTHP) system. selective catalytic reduction (SCR), and a

38

 

mercury removal system.

3. To demonstrate high availability. high thermal efficiency, low cost. and tow emissions of the TRIGTM
electricity generation system in commercial operating mode.

4. To develop an effective commercialization strategy to accelerate the technology penetration in the
U.S. and international markets.

5. Through reports and conference presentations. disseminate information on the development ofthe 
technology. The information reported should include plant efficiency. environmental status. and cost
successes for ready replication into commercial practice.

C. Project Phases

The demonstration project was to be conducted in four phases; however, since the demonstration at the Orlando
site was terminated during Budget Period 23. only the first three phases were initiated. Phase Ila and Phase illa
were initiated but not completed:

Phase l. Project Definition (Budget Period 1): This phase includes front-end engineering design. environmental
permitting activities. simulated syngas combustion tests. and NEPA Record of Decision. Phase activities
include: Verification of funding and schedule commitment by and OUC for the Combined Cycle Island
and its schedule match with that of the Gasiflcation island. Completion of NEPA Record of Decision and
scheduled site permitting activities.

Phase ila. Detailed Design (Budget Period 2a): This phase includes detailed design engineering. equipment
procurement, and continuing environmental permitting activities.

Phase Ilia. Construction (Budget Period 2a): This phase includes Gasitication island construction. installation.
commissioning, startup. integration with the Combined Cycle island. and continued engineering and
environmental activities.

D. Work Statement

808, the Cooperative Agreement Recipient. in collaboration with the other principal Project Team members,
namely SPCOG, OUC, and KER. shall:

i. Provide all services. materials. labor. and management necessary for the design. construction.
installation, startup. and demonstration of a coal-based 285-MW plant at the Stanton Energy
Center. near Orlando. Florida.

ii. Obtain all necessary licenses. permits. and agreements.

lii. Develop ail detailed plant engineering and design drawings, equipment lists, plant layouts. detailed
equipment specifications. construction specifications. bid packages, bid reviews, piping and
instrumentation diagrams (P840). plant controls. instrumentation. and associated software. and other
activities for the construction. installation. startup. operation. data collection. and data evaluation of the
demonstration plant. -

iv. Perform all site preparation. civil engineering and utilities. buildings. enclosures. site support, and other
site services. 

v. Perform system integration of the Gasifier island with the Combined Cycle island for electricity
generation and commercial dispatch.

vi. Prepare and deliver to DOE all reports related to the management, budget. and control of the project as
described in the Cooperative Agreement.

39

 

 

vii. Produce and deliver- to DOE all conference records. technical reports. topical reports. and informational
reports as listed in the Copperative Agreement.

Closeout activities associated with the Orlando site, following the decision by OUC and SPCOG on
November 14. 2007 to terminate the Gasi?cation Island portion of the Orlando facility.

The details are given below.
1.0 Project Definition (Phase I)

The tasks in this phase include completing a detailed project management plan. ?nancial plan. environmental
information volume. NEPA requirements. and front-end engineering design. The major subcontracts shall be
awarded. The major technology components shall be finalized and the process design of the plant shall
be completed. .

Task 1.1 Project Management

A detailed Project Management Plan shall be developed encompassing the four project phases. For each
phase. the scope. cost. and schedule baselines shall be developed. The organizational structure for project
implementation and technology commercialization shall be elaborated. The statements of work and
procurement packages shall be developed for major subcontracts including Operations and Maintenance
environmentaliN EPA support, design. and turbine testing. The design documents shall also address the
fuel supply arrangements. electricity and toy-product sale. plant emissions. waste disposal. and safety issues.

The project management shall include the following business functions to support the project: development
and/or application of appropriate cost accounting. preperty management. procurement methods. and human
resources guidelines to meet all Federal. State. and local regulations and standards. Methodologies shall be
developed to track cost and scheduling activities throughout the project. The other activities shall include
monitoring of actual cost against budgeted cash flows. tracking material costs. tracking progress based on labor-
hours. and tracking cost and schedule variances on a beats for the total project. and updating the
project schedule. A checklist of the sequential activities shall be prepared from the project schedule. The
project schedule diagram shall indicate the mandatory and external dependencies. important milestones.
decision points. and budget periods.

A Financing Plan shall be developed that includes finalizing all financial commitments by the managements of
the Southern Company and the OUC pertaining to the non-DOE cost share for all four phases of the project and
the combined cycle system. The project costs and corresponding sources of funds shall be documented for
each phase.

Deliverabies

Deiiverabies marked will be available for inspection on~siie by DOE and deliverables marked (D) will be
delivered to DOE. Notwithstanding designation of a deliverable as DOE may call for delivery of the item
pursuant to the provisions of the cooperative agreement.

Formal Project Management Reports listed in the Federal Assistance Reporting checklist. (D)

Project Management Plan encompassing: Project Team and Structure (D). (it) Technical Baseline
(involving preliminary plans of design. construction. and demonstration/tests; process overview and block
diagram; outline of the total concept from fuel receipt to electricity sale). (D) Cost Baseline. (D) (iv) Schedule
Baseline (D). Communications Plan (D). (vi) Management and Control Procedures (1). (vii) Work Breakdown
Structure at the same level as cost information. except combined cycle (D) Technical Risk Management
Plan and (ix) Final Major Subcontracts (I).

Task 1.2 EnvironmentaliNEPA Requirements

40

 

This task prepares an Environmental information Volume documentation for obtaining environmental
permitting for the sitelproject, and supports preparation of an Environmental impact Statement for making
a Record of Decision per the National Environmental Policy Act (NEPA) requirement.

This subtask shall collect and document the data required to obtain appropriate environmental permits to
construct and operate the demonstration plant on an ongoing basis. These permits shall be obtained from
appropriate Federal. State. and local regulatory agencies.

The following activities shall be performed.

1.2.1 Prepare an Environmental information Volume in accordance with NETL guidance. The shall
contain a detailed description of the environmental aspects and projected impacts of the project and shall meet
the information needs of the NEPA 

1.2.2 Prepare an Environmental Compliance Plan (ECP) to implement an environmental monitoring and
reporting strategy and to meet DOE reporting requirements. The strategy shall include plans for submitting a
quality assuranceiquatity control (QNQC) plan and a pollution prevention plan conducting environmental
monitoring. a Hazardous Substance Plan and Hazardous Waste Report. and submitting environmental status
reports.

1.2.3 Prepare an Environmental Monitoring Plan (EMP). which specifies the location, duration.
frequency. and substances to be monitored to evaluate air, water, and land resources. as well as waste
production. The EMP shall consider requirements for compliance monitoring, and NEPA-reiated monitoring.

Deliverables

Environmental permitting. data and milestones EIV and related NEPA?supporting documentation an
Environmental Compliance Plan and an Environmental Monitoring Plan (D)

Task 1.3 Front End Engineering and Design

initially a conceptual design of the project shall be performed. This shall involve an overview of all design
aspects of plant (both Gasification island and the Combined Cycle island) and the basis of the Front
End Engineering Design (FEED) activities. The major equipment list for the Gasi?cation Island and the
Combined Cycle Island shalt be separately identified.

The FEED shalt involve complete process design and about 30 percent of the total engineering design. This
task shall include developing the basis for process design and the information necessary to support
environmental permitting and NEPA. Cold-?ow modeling shalt be Included for finalizing the designs of the
transport gasifier mixing zone. the cyclone. and the disengager. The process design of the gasification island
shall be completed and integrated with the combined cycle system. The major technology components shall be
selected including gasification, sulfur removal, particulate removal. and mercury removal systems. The basis for
this selection shall be documented. The major sections to be addressed include: fuel delivery and handling.
(ii) transport gasifier, syngas cleanup. (iv) water treatment. combined cycle equipment, (vi) ash handling.
and (vii) balance of plant. The project site shall be characterized with regard to topography, and soils to obtain
the necessary data for designing layout and foundations of structures and buildings comprising the power plant,
solids and water handling systems. and waste disposal.

Deliverabies

3) Conceptual Design Report. This report shall present an overview of all design aspects plant (both
Gasliication Island and the Combined Cycle island) and the basis of the FEED activities. The major equipment
list for the Gasiftcation island (D) and Combined Cycle island shall be separately identified 

b) Front End Engineering and Design Report. This report shall encompass: specific technical objectives (D),

41

 

overall design basis (0), summary ?as designed? heat and material balances (critical components, Gasification
island, and the complete TRIGTM plant (0) detailed heat and material balance (I), process flow diagrams (PFD)
(D), process specification sheets (I), site interfaces (D), gas turbine syngas combustion test report equipment
(D) and instrument lists (I), all safety reviews including Hazop updated project schedule (0), controls
documentation and support (D), technical specifications for procurement of all long lead (greater than 12
months) items quotations on all major equipment design drawings, detailed construction plan (I),
topographic site map, soils report, site plan, and site and plant water balance report.

The design basis, process specifications, material and energy balances, and ?ow diagrams shall be included in
the report separately for the Gasitlcation Island, each of its sections, and each equipment.

Task 1.4 Long Lead Equipment Vendor Selection and Engineering

in this task, the long lead items and qualified vendors shall be identified and the necessary engineering shall be
initiated. For critical path items, a detailed schedule for design. procurement, fabrication, delivery, structure
construction, installation, and checkout testing shalt be prepared. (invoices against this task will not be accepted
until after completion of NEPA ROD).

Deiiverabies

The long teed equipment report and detailed schedules of critical path items (D)

2.0 Detailed Design (Phase lie)

The detailed design shall develop the information and documentation necessary to construct and operate the
demonstration plant. In this phase, all detailed design packages, bid speci?cations, and engineering drawings of
the plant'shall be developed. This task shall develop complete facility design documents required for installation
and operation of the Gesification island, including commissioning and startup. The design documentation shall
re?ect the 'as-buiit? conditions upon completion of construction.

The design shall include a test plan development for measuring the performance of the TRIGTM plant from
efficiency and emissions perspective under different operating conditions alternate sub bituminous coal
test, temperature and pressure, part load. ramp-up, shutdown), and corresponding data analysis
methodologies.

2.1 Project Management

The Project Team shall perform all project management activities planning, tracking, executing, controlling,
and communicating) necessary to meet technical, cost, and schedule goals per the Cooperative Agreement.
The technical, cost, and schedule information shall be updated. The environmental permitting and compliance
management efforts shall continue during this phase.

Dellverables

Formal Project Management Reports listed in the Federal Assistance Reporting checklist (D).

2.2 Major Engineering Tasks

The major subiasks include structural steel and concrete, architectural, mechanical design, electrical design.
instrumentation and controls. equipment procurement packages, construction bid packages, and integration of
the Gasification island with the Combined Cycle island,

2.2.1 Structural Steel and Concrete: This suhtask shall include all civil. structural, and geotechnical engineering
associated with the design of the facility, including 3-D computer modeling of the process structures.

2.2.2 Architectural: This subtask shall include the design of all buildings and facilities including the administration

42

 

building, mechanical shop, and warehouse.

2.2.3 Mechanical: This subtask includes the following: mechanical design of all equipment including the
development 'of fabrication drawings and specifications for procurement, (ii) piping layout, stress analysis, and
support design, generation of isometric drawings for all piping and definition of the piping and valve
specifications for procurement. and, site service systems including fire protection, water supplies, sewage,
and plant air.

2.2.4 Electrical Design: This subtask includes the following: development of the single-line configuration to
determine the electrical distribution throughout the facility, (ii) development of plans for electrical grounding,
lighting. cable trays. and conduit, (ill) design of the station service and plant communication systems, (iv)
development of interconnection wiring diagrams for all the equipment, programmable logic controllers. and the
integrated control system 008), design and procurement speci?cations for the motor control centers.

2.2.5 Instrumentation and Controls: This subtask includes the following: configuration of the Southern
Company standard plant data archiving system, (ii) instrument sizing, specification, and selection, instrument
location drawings and installation details, (iv) instrument loop drawings, control schematics, logic diagrams, and
interlock logic diagrams, control configuration, (vi) performance management configuration
programming.

2.2.6 Construction Bid Packages: This subtask includes all engineering activity needed to prepare construction
bid packages. This work includes assembly of plans, drawings, and speci?cations for the construction bid
packages. it also includes developing a list of qualified bidders for each package, issuing each package to
qualified bidders, evaluating construction bids, and preparing requisitions and purchase orders for award of
construction contracts.

2.2.7 Procurement: This subtask includes the development of bid inquiry packages, bid evaluation, selection
and procurement for all equipment, bulk materials, and services for the Gasttication island.

2.2.53. integration with Combined Cycle island: This task shall address the design and schedule related activities
for the process integration of the gasificatlon island with the Combined Cycle island. The major equipment in
the Combined Cycle island shall include a gas turbine, a heat recovery steam generator (includes Selective
Catalytic Reduction), condenser, and a steam turbine.

3.0 Construction (Phase tile)

The tasks in this phase include construction, installation, commissioning, and startup, and the remaining
engineering and environmental compliance support. -

3.1 Project Management

The Project Team shall perform all project management activities planning, tracking, executing, controlling,
and communicating) necessary to assure technical, cost, and schedule goals per the Cooperative Agreement.
The technical, cost, and schedule information shall be updated. The environmental compliance efforts shall
continue during this phase.

Deliverables

Format Project Management Reports listed in the Federal Assistance Reporting checklist (D).

3.2 Site Preparation

The selected site shall be developed for installation of structures via grading and excavations, machinery and
equipment foundations, and building and service facility foundations.

43

 

3.3 Plant Construction

The Project Team shall erect the demonstration plant and all related support systems and facilities. This task
includes all equipment. materials. labor. and supervision required to install the foundations. process structures,
buildings, bulks for the facility, and balanced-plant utilities including:

lndirects

Site, General

Steam Generation Area

Turbine and Generation Area

Fuel Facilities

Plant Water Systems

Electrical Distribution and Switchyard
Plant Instrumentation and Controls
Other

Gasification Facilities

Gastfication Building

Other GasificatlonFeedstocks Storage and Handling
Feedstock Prep

Gasifioation

Gaslitcetion Ash RemovallRecycle
Syngas Treatment

Syngas Cooiinngeat Recovery
Host Plant interconnections





3.4 Commissioning and Starlth

The Project Team shall prepare commissioning and startup/test plans. procedures, and schedules for the
systems and components to be tested. Detailed test requirements and acceptance criteria shall be provided for
all advanced equipment to be operated during the commissioning period. During this period most of the
equipment acceptance tests shalt be completed per the American Society of Mechanical Engineers Performance
Test Code (PTO) procedures, modi?ed for local. seasonal weather conditions as necessary. The Project Team
shall address all preparations necessary for operating the demonstration plant including. but not limited to, the
types of sample analyses necessary to evaluate component and system performance. methods of collecting.
reducing. and analyzing data from various components. and, methods for storage and retrievai of raw and
re?ned performance data.

E. Federal Assistance Reporting Checklist

The Recipient shall provide reports in accordance with the enclosed Federal Assistance Reporting Checklist and
the instructions accompanying the Checklist.

F. Topical Reports

In addition to reports listed in the Federal Assistance Reporting Checklist, the Recipient shall submit the
following to the Government Contracting Officer's Representative (COR). Note that the following are not to be
submitted through the official NETL document control system. The due dates of the Topical Reports will be
determined by'the COR in discussions with the Recipient. These reports will be submitted as a draft until
reviewed and approved by the COR.

i. Conceptual Design Report
it. Front End Engineering Design Report

G. Briefings and Technical Presentations

44

 

 The Recipient shalt prepare detailed briefings for presentation to the Government Contracting Officer's
Representative (COR) at a NETL site or at a different location as designated by the Government COR. The
briefings Shall be given by the Recipient to expiain the plans, progress. and resnits of the project effort.

1. Progress Review and Planning Meetings (every six months)
ii. Project Kick-off Meeting (soon after the award)
Conceptual Design Review Meeting (before beginning FEED)
iv. Front End Engineering Design Review Meeting (end of Phase 1)
v. Conference Participations

H. Status Reports
Prolggt management Meetings

Weekly or as-needed project management meetings (either via phone conference with minutes, weblnet
meetings, or face-to-iace) will occur to discuss progress. issues. accomplishments, deiiverables, milestones. the
work plan, press inquiries. upcoming events, etc.

Once a monthI typically iinked with invoice submission or cash advance request, the Recipient shall include in its
emaii update current value management data as foilows:

Labor Performance indicator 
Schedule Performance Indicator 

Planned Value and Actual Cost should be reported for the current reporting month and cumulative forthe project
along with Estimate to Completion (ETC). Expanded-to-Date (ETD). and Estimate at Completion (EAC). The
projected planned and estimated cost for the upcoming reporting month should be assessed. DOE shalt have
inspection rights to the project manaement systems and data used to produce standard project progress
reporting. 

Schedule (Gantt Chart)

The Participant shall maintain a Gantt Chart and report on the project progress through updates to the Gantt
Chart as part of the Quarterly Technical Progress Report required by the Federal Assistance Reporting
Checklist, DOE Form 4600.2.

Statement of Protect obigctives for Activities Associated with the Kemger Cou nty Site
A. Project Summary I

Southern Company Services, Inc. (808), in a team effort with Mississippi Power Company (MP0). and Keilogg
Brown Root LLC (KER), will design, construct. and operate a coal-based Integrated Gasification Combined
Cycle power plant to demonstrate Transport integrated Gasification (TRIGW) combined cycle 
technology with 002 capture and compression. The plant, to be located at an undeveloped, ligniie-mine
mouth site in Kemper County. Mississippi, will have two main islands: 3 island and a Combined
Cycle Island. The island wiil use air-blown transport gasifier technology to generate syngas from
US. coal Mississippi Lignite). The syngas, cleaned in the Gasi?cation Island, wiil be used for fueling the
Combined cycle island. The Island will include two Transport (TG) each with its own fuel
handling and ash handling systems. The Combined Cycle island will Include two gas turbines each with its own
heat recovery steam generator. both feeding a single steam turbine.

A key performance target for the TRIGW plant is to achieve 80% without the use of a spare

train. in addition to demonstrating a first-of-askind gasifioation system with potential efficiency,
capital cost, and operating cost advantages. this technology holds substantial pctentlat for demonstrating the

115

 

<jjfjii::i 

usability of abundant tow-rank coals in an advanced power generation system. The project also demonstrates
advanced technologies for particulate removal using high temperature~high pressure fitters, mercury removal,
and operation of a sulfur removal system for syngas cleanup.

B. Project Objectives

Theoverail objective of the project is to design. construct. and operate a Transport Gasifier based advanced
integrated gasificatlon combined cycle power plant that uses U3. coat to generate approximately 600-MW (net)
electricity. The sub-objectives of the project include:

To design, build, and operate a state-of?the-arl facility utilizing KBR Transport Gaslfier
technology.

2. To design, construct, and operate an advanced cleanup system that includes a sulfur removal system,
high temperature - high pressure particulate filter (HTHP) system, selective catalytic reduction (80R),
and a mercury removal system.

3. To design, build, and operate a 002 capture and compression system with the intent to capture and
geologically sequester by enhanced oil recovery or otherwise at least one million tons per year of 00;
(approximately 25% capture rate).

4. To demonstrate high availability, high thermal efficiency, low cost, and low emissions of the TRIGW
electricity generation system in commercial operating mode.

5. To develop an effective commercialization strategy to accelerate the technology penetration in
the U.S. and international markets.

6. Through reports and conference presentations, disseminate information on the development of the
TRIGW technology. The information reported should include plant ef?ciency, environmental status, and
cost successes for ready replication into commerclat practice.

C. Project Phases
The demonstration project at the Kemper? County site will be conducted in three phases:

Phase lib. Detailed Design (Budget Period 2b): This phase includes detailed design engineering. continuing
environmental permitting activities and Completion of a NEPA Record of Decision for the Kemper County site.

Phase illb. Construction (Budget Period 2b): This phase includes TRle plant. equipment procurement,
construction, installationI commissioning, startup, and continued engineering and environmental activities. 

Phase lV. Demonstration (Budget Period 2b): This phase includes the commercial operation and maintenance
of the demonstration plant with the execution of the test plan. The operating period for the
demonstration plant is 48 months. Foliowing demonstration, data analysis and process evaluations will be
completed and final reports will be prepared to characterize the technical, environmental, and economic
performanCe of the TRIGTM plant for power generation.

D. Work Statement

808. the Cooperative Agreement Recipient. in collaboration with the other principal Project Team members,
namely MPG and KBR. shall: 

i. Provide all services, materials. labor, and management necessary for the design, construction,

installation, startup, and demonstration of a coal-based plant at a site in Kemper County,
Mississippi.

46

 

ii. Obtain all necessary licenses, permits. and agreements.

Develop all detailed plant engineering and design drawings. equipment lists, plant layouts. detailed
equipment specifications, construction speci?cations. bid packages, bid reviews, piping and
instrumentation diagrams (P840). plant controls. instrumentation. and associated software. and other
activities for the construction. installation, startup, operation. data collection, and data evaluation of the
demonstration plant.

iv. Perform all site preparation, civil engineering and utilities. buildings. enclosures. site support, and other
site services.

v. Prepare and deliver to DOE all reports related to the management, budget, and control of ihe project as
described in the Cooperative Agreement.

vi. Produce and deliver to DOE all conference records. technical reports, topical reports, and informational
reports as listed in the Cooperative Agreement.

The details are given below.
1.0 Detailed Design (Phase llb)

The detailed design will develop the information and documentation necessary to construct and operate the
demonstration plant. in this phase. all detailed design packages. bid specifications. and engineering drawings of
the plant will be developed. This task will develop complete facility design documents required for installation
and operation of the TRIGTM plant, including commissioning and startup. The design documentation will re?ect
the 'asvbuilt? conditions upon completion of construction.

The design will include a test plan development for measuring the performance of the plant frozn
efficiency and emissions perspective under different operating conditions (6.9., alternate sub bituminous coal
test, gasifler temperature and pressure, part load. ramp-up, shutdown). and corresponding data analysis
methodologies.

1.1 Project Management

The Project Team will perform all project management activities planning, tracking, executing. controlling,
and communicating) necessary to meet technical, cost, and schedule goals per the Cooperative Agreement.
The technical, cost, and schedule information will be updated. The environmental permitting and compliance
management efforts will continue during this phase.

Deiiverables

Deliverables marked will be avaiiable for inspection on-slte by DOE and deliverables marked (D) will be
detivered to DOE. Notwithstanding designation of a deliverable as DOE may call for delivery of the item
pursuant to the provisions of the Cooperative Agreement

Formal Project Management Reports listed in the Federal Assistance Reporting checklist (D).

Protect Management Plan encompassing: Project Team and Structure (D). (ii) Technical Baseline (involving
preliminary plans of design, construction, and demonstration/tests; process overview and block diagram outline
of the total concept from fuel receipt to electricity sale), (D) Cost Baseline. (D) (iv) Schedule Baseline (D), 
Communications Plan (D), (vi) Management and Control Procedures (1). (vii) Work Breakdown Structure at the
same level as cost information (D) Technical Risk Management Plan (I), and (ix) Final Meier Subcontracts

I
i .2 Major Engineering Tasks

47

 

The major subtasks include structural steel and concrete, architectural, mechanical design, electrical design,
instrumentation and controls, equipment procurement packages, and construction bid packages.

2.2.1 Structural Steel and Concrete: This subtask includes all civil, structural, and geotechnical engineering
associated with the design of the facility, including 3-D computer modeling of the process structures.

2.2.2 Architectural: This subtask includes the design of all buildings and facilities including the administration
building, mechanical shop, and warehouse.

2.2.3 Mechanical: This subtask includes the following: mechanical design of all equipment including the
development of fabrication drawings and speci?cations for procurement, (ii) piping layout, stress analysis, and
support design, generation of isometric drawings for all piping and definition of the piping and valve
specifications for procurement, and site service systems including fire protection, water supplies, sewage,
and plant air. .

2.2.4 Electrical Design: This subtask includes the following: development of the single-line con?guration to
determine the electrical distribution throughout the facility, (it) development of plan's for electrical grounding,
lighting, cable trays, and conduit. design of the station service and plant communication systems, (iv)
development of interconnection wiring diagrams for all the equipment, programmable logic controllers, and the
integrated control system design and procurement specifications for the motor control centers.

2.2.5 Instrumentation and Controls: This subtask includes the following: configuration of the Southern
Company standard plant data archiving system, (ii) instrument sizing, specification, and selection, instrument
location drawings and installation details, (iv) instrument loop drawings, control schematics, logic diagrams, and
interlock logic diagrams, ICS control configuration, (vi) performance management configuration
programming. 

2.2.6 Construction Bid Packages: This subtask includes all engineering activity needed to prepare construction
bid packages. This work includes assembly of plans, drawings, and specifications for the construction bid
packages. it also includes developing a list of qualified bidders for each package, issuing each package to
qUalified bidders, evaluating the bids, and preparing requisitions and purchase orders for the award of
construction contracts.

Deliverables

Detailed Design Report: This report inciudes the following items: updated plant capital and costs (D),
and schedules (D), (it) design, costs, and construction and installation schedules for each major section and
each major equipment plant Demonstration Test Plan outline (D), estimated environmental
emissions, discharges, waste disposal, and compliance (D). and (iv) plant safety features. such as fire and
hurricane considerations (0).

2.3 Environmental/NEPA Requirements

This Recipient shall contract with a third party. approved by DOE, for preparation of an Environmental impact
Statement in accordance with NETL guidance.

Deliverables

(D).

2.4 Commercialization Strategy Development

The Project Team will develop a commercialization strategy to market the technology by identifying
the applicable coal-based markets in different geographic regions of the world, and (it) by developing 
Technology User Groups? for later dissemination of information on the demonstrated benefits of efficiency,

environmental emissions, and cost compared with competing IGCC technologies for coal-based electricity -
generation. This strategy will include site visits for stakeholders interested in the technology.

48

 

 

Deliverabtes

A commercialization strategy document presenting target markets, technology merits and licensing revenues.
and marketing approaches A summary report (D).

3.0 Construction (Phase lilb)

The tasks in this phase Include construction, installation, commissioning, and startup, and the remaining
engineering and environmental compliance support.

3.1 Project Management

The Project Team will perform all project management activities planning, tracking, executing, controlling.
and communicating) necessary to assure technical, cost, and schedule goals per the Cooperative Agreement.
The technical, cost. and schedule information will be updated. The environmental compliance efforts will
continue during this phase.

Deliverables
Formal Project Management Reports listed in the Federal Assistance Reporting checklist (D).

3.2 Procurement: This sobtask includes the deyeiopment of bid inquiry packages, bid evaluation, selection and
procurement for all equipment, bulk materials. and services associated with the activities under Phase 

3.3 Site Preparation

The selected site wilt be developed for installation of structures via grading and excavations. machinery and
equipment foundations, and building and service facility foundations.

Deliverables
A site preparation plan. schedule. and layout diagram(s) (D).
3.4 'l?RlG?1t Plant Construction

The Project Team will erect the demonstration plant and all related support systems and facilities. This task
includes all equipment. materials, iabor. and supervision required to install the foundations, proceSS structures,
buildings. bulks for the facility, and baiance-oi~plant utilities including:

indirects

Site, General

Steam Generation Area

Turbine and Generation Area

Fuel Facilities

Plant Water Systems

Electrical Distribution and Switchyard
Plant Instrumentation and Controls
Other

Gasitication Facilities

Gasilication Building

Other Gasi?cation Feedstock Storage and Handling
Feedstock Prep

Gasification

. Gasification Ash RemovallRecycle
Syngas Treatment





4'9

 

 Syngas Cooling/Heat Recovery
Capture and Compression

Deliverabies
Construction Report (9).
3.5 Commissioning and Starlup

The Project Team wilt prepare commissioning and startupitest plans, procedures, and schedules for the systems
and components to be tested. Detailed test requirements and acceptance criteria will be provided for all
advanced equipment to be operated during the commissioning period. During this period most of the equipment
acceptance tests will be completed per the American Society of Mechanical Engineers PerformanceTest Code
(PTO) procedures. modified for iocal, seasonal weather conditions as necessary. The Project Team will address
all preparations necessary for operating the demonstration plant including. but not limited to, the types of sample
analyses necessary to evaluate component and system performance, methods of collecting, reducing, and
analyzing data from various components, and, methods for storage and retrieval of raw and refined performance
data.

Deliverables

Commissioning and Startup Report. A draft Demonstration Test Plan ?ncluding commissioning and startup) will
be provided prior to start of commissioning and review comments shall be resolved (D).

4.0 Demonstration (Phase 

The tasks in this phase include the commercial operation and maintenance of the demonstration plant and
execution of the test plan. At the conclusion of the demonstration period, data analysis and process evaluations
will be completed and final reports will be prepared to characterize the technical, environmental, and economic
performance of the plant used for power generation.

4.1 Project Management

The Project Team will perform all project management activities planning, tracking, executing, controlling,
and communicating) necessary to meet technical. cost, and schedule goats per the Cooperative Agreement.
The technical, cost, and schedule information will be updated. The environmentat compliance efforts will
continue during this phase.

The Project Team will maintain safety and environmental compliance programs and procedures. inciuding but
not limited to: establishing operations and maintenance procedures to ensure safe and efficient operation,
maintaining documentation of procedures for storage, transportation, and disposal of soiict waste, and
establishing safety procedures needed to comply with the Occupational Safety and Health Administration
regulations.

Deliverables

Format Project Management Reports listed in the Federal Assistance Reporting checklist (D).

4.2 Operations

The Project Team will ensure that the demonstration plant is operated and maintained for commercial
generation of electricity and for achieving the project objectives.

The Project Team will ensure, either directly or through appropriate subcontractors that all technical support,

operators, mechanics and technicians. management, supervision, equipment, and materials are provided to
operate the facility and perform testing in accordance with its commercial nature and test plans. The Project

50

Team will provide training for all operating personnel, with safety being the top priority.

The Project Team will determine technical performance of the demonstration plant by evaluating heat rate and
other key parameters following PTC procedures, modified for local, seasonal weather conditions as necessary.
The Project Team will analyze the data and produce final reports environmental. process, and
economic performance of the technology. The Project Team will ensure that the environmental
performance of the demonstration plant is documented through such categories as gasification ash discharge.
stack gas monitoring, water analysis, and gas cleanup performance results. .

4.2.1 Test Plan

The Test Plan wilt be developed for the operation of the facility consistent with the commercial nature of the
demonstration plant. The test program for the demonstration phase will be planned for four (4) years to achieve
reliable plant operation with high thermal efficiency, tow 0&ivl costs and emissions, and a plant availability of at
ieast 80%. Testing will involve plant measurements to improve the performance of all process equipment items
and to deveiOp a deeper understanding of the process. Gas measurements shall be performed. Dust
measurements to determine HTHP filter particulate capture efficiency will be conducted. The test program
objectives will include the foliowing:

i. Optimizing gasitier performance

it. Monitoring equipment thermal and mechanical performance
investigating HTHP ?lter operational performance

iv. Optimizing gas turbine syngas combustor performance

v. Monitoring gas turbine internals

vi. Monitoring and optimizing HRSG performance

vii. Optimizing SCR performance

Optimizing and improving process control systems

ix. Improving startup and toad-following capability

x. Evaluating the use of gaslfler ash as a fuel source

xi. Completing a full survey to characterize all the egress streams
xii. Compiling plant repair and maintenance records

Completing thorough inspections of all plant equipment

xiv. Alternative sub bituminous coal test

The plant will be operated under commerciai dispatch and the?test data will be collected at commercially
representative conditions. The final equipment inspections will he made and the test results will be reported by
the end at the demonstration phase.

4.2.2 Data Analysis
The plant operating intorrnatioa system will be used to achieve real-time data collection and archiving such that

the Project Team can perform complete measurement and characterization of input and output streams for each
component being tested. The analytical procedures and QNQC plans wilt be prepared and maintained for all

sampling needs. The analysis of the results will be performed to evaluate performance of the process

componentsand systems, and to fulfill the objectives of the test plan.

Deitverabies

Final TRle Project Report. A comprehensive final report based upon all activities accomplished during the
Cooperative Agreement. The final report will include the results of process, engineering. environmental. and
economic evaluations of the complete plant and it will also include final process overview,
signi?cant operating achievements, operational problems, plant modifications. operation and production
statistics, and recommendations for plant performance Optimization, scale up, and commercialization (D).

4.3 Commercialization Strategy implementation

51

 

The Project Team will implement the activities relating to the commercialization plan to market the TRIGTM
technology. such as conducting site tours for interested stakeholders and user groups. and disseminating
information on the demonstrated technology benefits. A financial model and economic analysis will be
developed for a commercial stand-alone ?i'RiGTil plant based on the final capital and cost data of the
demonstration plant.

Deiiverables

An updated commercialization strategy report. This report includes target markets, technology merits and
licensing revenues, marketing strategies, ?nancial model and economic analysis for a commercial plant.
a target list of stakeholders interested in the technologi?, and the preliminary results of marketing efforts during
the four-year demonstration phase A summary report (D).

E. Federal Assistance Reporting Checklist

The Recipient shall provide reports in accordance with the enclosed Federal Assistance Reporting Checklist and
the instructions accompanying the Checklist.

F. Topical Reports

In addition to reports listed in the Federal Assistance Reporting Checklist. the Recipient will submit the following
to the Government Contracting Officer?s Representative (COR). Note that the following are apt to be submitted
through the official NETL document control system. The due dates of the Topical Reports will be determined by
the COR in discussions with the Recipient. These reports will be submitted as a draft until reviewed and
approved by the COR.

ill. Front End Engineering Design Report
iv. Detailed Design Report

v. Construction Report

vi. Commissioning and Startup Report
vii. Commercialization Strategy Report{s)
vill. Final Project Report

G. Briefings and Technical Presentations

The Recipient will prepare detailed briefings for presentation to the Government Contracting Officer's
Representative (COR) at a NETL site or at a different location as designated by the Government COR. The
brie?ngs will be given by the Recipient to eXplain the plans. progress. and results of the project effort.

vi. Progress Review and Planning Meetings (every six months)

vii. Front End Engineering Design Review Meeting (beginning of Phase lib)
Detailed Design Review Meeting (during Phase lib)

ix. Construction Review Meeting (during Phase 

x. Final Review Meeting (and of Phase lV)

xi. Visits

xii. Conference Participations

H. Status Reports

Prolggt Management Meetings

Weekly or as-needed project management meetings (either via phone conference with minutes, web/net
meetings. or face-to-face) will occur to discuss progress, issues, accomplishments, deiiverables, milestones, the
work plan, press inquiries, upcoming events, etc.

Once a month typically linked with invoice submission or cash advance request, the Recipient will include in its

52?

 

 

email update current value management data as follows:

Labor Performance Indicator 
Schedule Performance Indicator (SPI)

Planned Value and Actual Cost should be reported for the current reporting month and on a cumulative basis for
the project along with Estimate to Completion (ETC), Expanded-toasts (ETD), end Estimate at Completion
(EAC). The projected planned and estimated cost for the upcoming reporting month should be assessed. DOE
will have Inspection rights to the project management systems and data used to produce standard project
progress reporting.

Schedul antt Chart
The Participant will maintain a Gantt Chart and report on the project progress through updates to the Gantt

Chart as part of the Quarterly Technical Progress Report required by the Federal Assistance Reporting
Checklist, DOE Form 4600.2.

53

 

 

DOE 4600.2



All Other Editions are Obsolete

ATTACHMENT 

US. Department of Energy

FEDERAL ASSISTANCE REPORTING CHECKLIST

AND INSTRUCTIONS

 



identification Number:


 

2. ProgramIProjectTitie:
Demonstration of a Coal-based Transport Gesltier -

 

 

 

 

 

 

 

3. Recipient: 
Southern Company Services. inc.

4. Reporting Requirements: Frequency ggi?es 0f Addresses

1. MANAGEMENT REPORTING

El Progress Report 0

at Special Status Report A  to ETL.DOE.GOV

ll. REPORTING 

Final Report DOE 241.3 FG

Topical Report DOE 241.3 A Electronic

{230 Journal Articles/Conference PaperelProceedings A version to 
241.3

Ct DOE 421.4. Softwareltvtanuai DOE 241.3 "mp (Note-sofnvareimanual must be sent to award
Cl Conference Record DOE 241.3 administrator-see instructions under section 8.
FINANCIAL 

. Electronic

SF-269 or SF-269A, Financial Status Report 0, FG r81 0 to

89272. Federal Cash Transactions Report NETL, FITS NETLDOE GOV

IV. CLOSEOUT REPORTING
DOE 2050.11, Patent Certi?cation Efectwnic

NETL 580.1-9, Property Certificate Version to

SF-120. Report of Excess Personai Property i=th NETLDOE. 0v

v. OTHER REPORTING I

{It NETL 580.143, Annual Report of Property in the Custody of

Contractors

NETL 580.1-25, High Risk Property Report

IZI Environmental Compliance Plan A

Environmental Monitoring Plan A

Environmental Status Report 0

Other SEE STATEMENT OF PROJECT 

 



FREQUENCY cones AND DUE DATES:

A - As required; see attached text for applicability.

FG - Final; within ninety (90) calendar days after the protect period ends.

FC - Final - End of Effort.

Quarterly; within thirty (30) calendar days after end of the calendar quarter or portion thereof.
8 - Semiannuatly; within thirty (30) calendar days after end of project year and project bait-year.

YF - Yearly; 90 calendar days after the end of project year.
YP - Yeariy Preperty - due 15 days after period ending 9130.

 

 

SPECIAL ENSTRUCTIONS:

must be submitted with appropriate DOE 241. The 241 forms are available at 
The forms identified in the checkiist are available at Alternate formats are acceptable provided the contents

remain with the form.

 

 

 

 

 

 -u . .. 

u?u?vw?rm" 
a

- n. 


. 1.5. 

GENERAL INSTRUCTIONS FOR THE PREPARATION AND SUBMISSIQN OF ELECTRONIC 
2005) .

The Recipient must prepare and submit all reports (Including conference
journal articles, software. and topical reports, if applicable) via E-iink at
i. ovleiink-24?i3 {seespecificinstructlons below regarding form submittaland format]. it
0 yo te hntcai ro Iern ith usln E-LinkorDOEForm241.3 bedirectedtoOSTi

at l_-_loweyerI If your Question Is related to other submission issues. you should gontact
the award administrator Identified under block 12 of the DOE 4600:: Notice of Assistance
Award face page,  -

For all other reports indicated on the ?Federal Assistance Reporting Checklist" (including management,
financiai, closeout and other reporting), the Recipient must prepare and submitthese via the internet at



Successful completion of this award is contingent upon submittal of the reports or items speci?ed on the
?Federal Assistance Reporting Checklist" in accordance with the following instructions:

Failure to foliow these instructions can delay data entry of the report(s) into the NETL FEDERAL
INFORMATION TRACKING SYSTEM and result in the report being lost or considered delinquent.

The level of detail the Recipient provides in the reports must be commensurate with the scope and complexity of
the effort and must be as delineated in the guidelines and instructions contained herein. The prime Recipient
must be responsible for acquiring data from any contractors or sub recipients and ensuring that any information
submitted is compatible with the requirements of the DOE.

GUIDELINES FOR ELECTRONIC AND FILE FORMAT OF 

EPORTS (Includes management. financial. closeout and other reporting).

Production of high-quality, electronic documents are dependent on the quality of the input that is provided. Thus.
the Recipient must submit an electronic version of each report.

ELECTRONIC REPORTS MUST BE SUBMITTED IN THE ADOBE ACROBAT PORTABLE DOCUMENT
FORMAT (PDF). ELECTRONIC REPORTS SUBMITTED IN A FORMAT OTHER THAN ADOBE WILL BE
RETURNED AND THE REPORT CONSIDERED DELINQUENT. IN ADDITION, THERE CAN BE NO
RESTRICTIONS ON THE PDF FILE SUBMITTED THAT WOULD AFFECT OUR ABILITY TO OPEN OR EDIT
THE REPORT DOCUMENT. THEREFORE. THE ONLY SECURITY METHOD THAT WILL BE ACCEPTED IS
THE ADOBE ACROBAT SECURI I OPTION. THIS WILL ENABLE US TO PROPERLY INDEX AND
PROCESS REPORT FILES. .

Each report must be one integrated file that contains all text. tables, diagrams, photographs. schematics,
graphs. and charts. Files must not be write?protected or in any manner.

The electronic file(s) must be submitted via the Internet at: An e-mail message sent In
conjunction with the file must contain the following Information:

DOE Award Number

Type of Report(s)

Frequency of Reporl(s)

Reporting Period (if applicable)

Name of submitting organization

Name, phone number and fax number of preparer

MANAGEMENT REPORTING

55

PROGRESS SEPORT

The Progress Report must provide a concise narrative describing the current status of work. The report
allows Recipients to communicate developments. achievements. changes and problems. The report
must include the following information:

1.

P9393

The DOE award number and name of the recipient.
The project title and name of the project director/principal investigator.
Date of report and period covered by the report.

Executive Summary- A well organized summary that highlights the important accomplishments
and new knowledge realized from the project during the reporting period. This summary must
be more comprehensive than the traditional "abstract" and identify noteworthy advancements in
research, design. manufacture or commercialization of technology developments. Also.
summarize important breakthroughs that resolve critical science and technology risks or
development barriers.

The Recipient enters a brief narrative discussion of the following topics: approach changes;
performance variances. accomplishments. or problems; open times; and status assessment
and forecast. Each of these topics is addressed. as appropriate. for a given reporting period
and the report is submitted periodically, as required. during the life of the project

Baseline and Status Reports. The Baseline Plan is a report which is used to present projected
cost and activity data. The Baseline Plan presents discrete. measurable units of the proposed
work. The plan will provide a specific outline of what the Recipient intends to do through a Work
Breakdown Structure and the time and cost involved. The cost data to be entered must depict
projected total costs for the life of the project on a basis broken down by each element
of the Work Breakdown Structure. The activity data required are identification of tasks required
to complete the project according to the Work Breakdown Structure and a delineation of the
project's major milestones. This plan will be developed and submitted to serve as the standard
against which status and progress can be measured during the performance period.

The Status Report shall provide the performance information required to determine program
effectiveness and the information which DOE requires to maintain accountability for public
funds. The report must show approved budget by budget period and actual costs incurred. it
cost sharing is required costs must be broken out by DOE share, awardee share. and total
costs. The report must show actual costs. schedule progress. and work completed to date.
This data must be provided for each reporting period. broken down by month for each element
of the Work Breakdown Structure.

Milestones, anticipated completion dates. and actual completion dates must be listed to show
schedule status. The schedule status must identify any milestones that were not metduring the
reporting period and reasons why the established milestones were not met. Explanations
should also provide an approximate date when the milestone will be met. Awardees may use
project management software. such as Microsoft Project. to measure and report cost and
schedule status.

When the status report is compared with the Baseline Plan, accomplishments can be noted.
problems become apparent. and corrective action can be taken. The Status Report is a report
on which the Recipient provides cost and activity data tor each reporting period relative to the
Baseline Plan. The information should be displayed so that the baseline for the project is clear
and the status of the project relative to the baseline is clear. The report may consist of more
than one page as necessary. 

56

 

10.

11.

Resuits and Discussion - A detailed discussion of the progress performance. it is extremely
important that this section includes enough relevant data, especially statistical data. to allow the
project manager to justify the conclusions. With the relevant data, explain how the data was
interpreted and how it relates to the original purpose of the research. Be concise In the
discussion on how this research effort solved or contributed to solving the original probiem.
When investigation methods andlor procedures are being utilized for the first time. they shall be
described in detail. This description shall contain detailed information on equipment and
procedures 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 logicat implications of how the successes are relevant to technology
development in the future. This is extremely important, since "relevancy? continues to be a
criterion of the program.

This section should not contain any trade secrets. business sensitive or classified data, or other
information not subject to public release. If such information is important to reporting project
progress, it should be presented in a separate appendix, following the instructions in the clause
entitled "Supplemental Guidelines" regarding submission of a separate appendix for this type of
restricted data).

A summary of at! of the significant accomplishments during this reporting period. An
?accomplishment? is a significant development or ?nding that advances the state-ofvthe-art with
respect to the technology of interest or significantly contributes to the understanding of a
concept or technology.

Actual or anticipated problems or detays and actions taken or planned to resolve them. Identify
any event causing a significant schedule slippage or cost growth; an environmental, safety, or
heatth viotation; or the achievement of or problems encountered for an important performance
objective.

A description of any technology transfer activities accomplished during this reporting period.
identify and describe any activities to transfer research resuits or developed technology to other
research stakeholders or users of the technology.

SPECIAL REPOBI

The recipient must report the following events to the DOE Project Officer by e-mail as soon as possible
after they occur. The email correspondence should include:

939539390?"

Recipient?s name and address;

Award title and number;

Date;

Brief statement of problem or event;
Anticipated impacts; and

Corrective action taken or recommended.

The Special Status Report should document the incidents tisted below:

1.
2.

Developments that have a significant favorable impact on the project.

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 probiernicondition:

5?

 

cur





a. Any single fatality or injuries requiring hospitalization of five or more Individuals.

b. Any significant environmental permit violation.

0. 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.

9. Any other incident that has the potential for high visibility in the media.

h. Any incident which causes a signi?cant 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.

REPORTING

Scienti?clTechnical Reporting includes: Final Report, Topical Reports. Journal
Articles, Conference Proceedings and Papers, Software, and Conference Records.

FINAL REPORT

The Final Scienti?chechnical Report shall document and summarize all work performed during the
award period in a comprehensive manner. it shall also present findings andlor 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.

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 signi?cant new
scientific or technical advances. if required. DOE shall review and approve the report outline prior to
submission of the report.

Two Topical Reports (as a minimum) are required. The two required reports are the Preliminary Public
Design Report and the Final Public Design Report. The purpose of the Public Design Reports is to
consolidate for public use all available nonproprietary design information on the project. The
Preliminary Public Design Report is based on the preliminary design information and is due at the end of.
preliminary design. The Final Public Design Report is based on detailed design information and is due
after completion of the Design Phase of the project, 60 days prior to completion of the Construction
Phase of the project. The Final Public Design Report should contain suf?cient background information
to provide an overview of the project and pertinent cost data. Since the scope of the reports is limited to
n'onproprietary information, their content will not be sufficient to provide a complete tool in designing a
replicate plant. However, these reports wilt serve as a reference for the design considerations involved
in a commercial?scale facility.

58

 

The reports should include an overview description of the technology and a summary of the mass and
energy balances for the process. They should also define the overall process performance
requirements and describe the evaluations and operating philosophies upon which those performance
requirements are based. A summary cost estimate of capital and operating costs and, if possible. an
analysis of how costs could be improved for future commercial projects should also be included.

The following deliverables are also to be included as components of the Preliminary Public Design
Report addressing the preliminary design:

Process Flow Diadrarns
The Participant shall provide a complete set of nonproprietary Process Flow Diagrams with all updates
and modifications.

Stream Data

The Participant shall provide a complete set of all nonproprtetary stream data. This would lnciude both
the expected values and ranges of flows, stream properties. and constituents at various operating
conditions.

Eguigment List
The Equipment List consists of a summary of the major equipment for the plant. Equipment is to be

sorted by Flow Diagram. equipment type. and equipment number. General description data are to be
provided for each equipment item. Including, but not limited to. the number required for operation. size
or capacity. major nonproprietary operating and design parameters, and manufacturer andlor vendor.

The Final Public Design Report shall include the finai versions of the Preliminary Public Design Report
plus the following:

Drawings
The Participant shall include a complete set of Equipment Plot and Elevation Drawings, and Process

and Instrumentation Diagrams, which describe the plant configuration at the end of the demonstration
pedod.

Plant Capital Cost Data

The Participant shall include the data and documentation for all projected costs associated with the
construction of the plant, with a breakdown which would permit this information to be used for projecting
future plant construction costs.

Plant Operating Cost Data 
The participant shall include the data and documentation for all projected costs associated with the

operation of the plant under conditions that represent reliable plant performance.

GUIDELINES FQR ELECTRONIC SUBMISSION AND ORGANIZATION QF FINAL 

AND TOPICAL REPORTS

Electronic Submission. The final scientific/technical report and topical reports must be submitted electronically
via the DOE Energy Link System (E-Link) at 

Electronig Format. REPORTS MUST BE IN THE ADOBE PORTABLE DOCUMENT FORMAI
AND BE ONE INTEGRATED PDF FILE THAT CONTAINS ALL TEXT. TABLES, DIAGRAMS.

PHOTOGRAPHS, SCHEMATIC. GRAPHS, AND CHARTS. ELECTRONIC REPORTS SUBMITTED IN A
FORMAT OTHER THAN ADOBE WILL BE RETURNED AND THE REPORT CONSIDERED DELINQUENT. IN
THERE-CAN BE NO RESTRICTIONS ON THE PDF FILE SUBMITTED THAT WOULD AFFECT
OUR ABILITY TO OPEN OR EDIT THE REPORT DOCUMENT. THE ONLY SECURITY
METHOD THAT WILL BE ACCEPTED IS THE ADOBE ACROBAT ION. THIS WILL
ENABLE US TO PROPERLY AND PROCESS REPORT FILES.

59

 

Materials, as prints, videos, and books, that are essential to the report but cannot be submitted
electronically, should be sent to the DOE Award Administrator at the address listed in Block 12 of the
Notice of Financial Assistance Award.

?gbmittal Form. The report must be accompanied by a completed electronic version of DOE Form 241.3, 
Department of Energy (DOE), Announcement of Scientific and Technical Information You can
complete, upload. and submit the DOE F241 .3 online via You are encouraged not to submit Protected
Information in these electronic technical reports. These technical reports must also not contain any
Limited Rights Data (such as trade secret, proprietary or business sensitive Information), classi?ed infonnalion,
informathn subject to export control classi?cation, or other information not subject to release. Such lnfonnation
must be submitted in a separate hard-copy appendix to the electronic technical and topical reports as explained
under Sunbiemental Guidelines below.

Qrganization. The following sections should be included {as appropriate) in the final scientificltechnicai report
and topical reports in the sequence shown. Any section denoted by an asterisk is {eguirgd in all tlnai technical
and topical reports.

- The Title Page of the report itself must contain the following information in the following
sequence: 

Report Title

Type of Report (Final Scientificl'l?echnicai 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 2345) and if appropriate, task number
Name and Address of Submitting Organization (This section should also contain the
name and address of significant subcontractors/sub-reciptents participating in the
production of the report.) .

-- 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 Governmenipr any agency thereof.?

- should be a brief, concise summary of the report.

TABLE OF 

EXECUTIVE 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."

60

 

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 detailts) 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 aireadyinciuded 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
deveIOpment in the future. This is extremely important. since ?reievancY? continues to
be a criterion of the program. 

GRAPHICAL MATERIALS 
REFERENCES

BIBLIOGRAPHY

LIST OF ACRONYMS AND ABBREVIATIONS
APPENDICES (lF NECESSARY)

SUPPLEMENTAL 

Technical reporting SHALL NOT include Limited Rights Data (such as restricted. proprietary or
business sensitive information). Limited Rights Date. if required to meet the reporting requirements.
shall be submitted in a separate appendix to the technical report. This appendix SHALL NOT be
submitted in an electronic format but rather submitted in ONE ORIGINAL AND THREE (3) PAPER
COPIES along with the paper version of the sanitized technical report deliverable. The appendix shall
not be referenced in or incorporated into the sanitized technical report deliverable under the contract.
The appendix must be appropriately marked and identified. Further, if this award authorizes the
awardee under the provisions of The Energy Policy Act of 1992 to request protection from public
disclosure for a limited period of time of certain information developed under this award, technical
reports SHALL NOT contain such Protected 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 identi?ed

Company Names and Logos -- Except as indicated above, company names, logos. or similar material
should not be incorporated into reports.

Copyrighted Material -- Copyrighted material should not be submitted as part of a report unless written

authorization to use such material is received from the copyright owner and is submitted to DOE with
the report.

61

 

Measurement Units -- All reports to be detivered under this instrument shall use the Si Metric System
of Units as the primary units of measure. When reporting units in ail reports. primary Si units shall be
followed by their US. Customary Equivalents in parentheses The Recipient shall insert the text of
this clause. inciuding this paragraph. in all subcontracts under this award. Note: Si is an
abbreviation for "Le Systems internationai 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 A FORMAT OTHER THAN ADOBE WILL BE REJECTED,
RETURNED AND CONSIDERED DELINQUENT. The report must be one complete integrated file
containing text, tabies, diagrams. photographs, schematics. graphs, and charts. Multiple ?les for
various 

report segments are unacceptable and will be rejected. The electronic fite(s) may be submitted on an
iSOSo?BO-forrnat CD-ROM.

FORMAT: The electronic tite(s) must be submitted on CD-ROM and labeled as fotlows:

DOE Award Number

Type! Frequency of Repor?ds)

Reporting Period (if applicable)

Name of submitting organization

Name, phone number and fax number of preparer

JOURNAL ARTICLES. CONFEBENCE PAPERS AND PROCEEDINGS GENERATED BY LARGE
BUSINESSES FOR DOEREVIEW

The Recipient shatl submit to DOE for review and approvai all documents generated by the Recipient. or any
subcontractor, which communicate the results of scientific or technicai work supported by DOE under this award,
whether or not 'speoifioally identified in the award. prior to submission for publication, announcement, or
presentation. Such documents inciudejournal articles. conference papers and proceedings, etc. The Recipient

shail simultaneously submit a draft version of the document to the DOE Project Officer and the DOE Patent 

Counset Office prior to the pubiication, presentation, or announcement. The DOE Project Officer and DOE
Patent Counsel shati review the draft version of the document and notify the Recipient of approval or
recommended changes. The approved final version shaii be submitted to the NETL AAD Document Control
Coordinator.

The folloiving information shall be provided for conference papers and proceedings, etc.

Name of conference

-- Location of conference (city. state. and country)
-- Date of cooference 

-- Conference sponsor

conscience RECORD

The "Conference Record" documents for the DOE Project Officer. DOE Contracting Of?cer. and the
Recipient an understanding of significant decisions, direction or redirection. or required actions resulting
from meetings with DOE representatives. It is required for any meeting. conference, or phone
conversation in which a decision is made that may change the schedule, labor, costl or technical
aSpects of the award or the approved baseline piano. The report shalt contain the following information
as applicable:

1. Report title ("Conference Record?). number, and the date prepared.

62

 

V.

Award title and number, and the Recipient's name and address.

Date of meeting or telephone conversation, with a list of those involved and their titles.
Subject(s) discussed, decisions reached, and directions given.

Variances from previous directions and conclusions.

Required actions.

Distribution.

Signature of preparer.

ING
REPORT FORM 269 OR 2&951

synonym

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 protect outlays for each identi?ed activity.
CLOSEOUT REPORTING

PATENT (DOE 20?0.111

This certificate submitted on DOE 2050.1 1 is due within 90 days after completion or termination of the
award.

orugnREPonnuo



in response, in part, to the requirements of the National Environmental Policy Act of 1969 (NEPA) and
other related environmental statutes, the National Energy Technology Laboratory (NETL) requires the
submission of various documents that assess the environmental aspects and protected impacts of all of
its proposed actions. These documents may include the following: (1) Environmental Compliance Plan,
(2) Environmental Monitoring Plan, and (3) Environmental Status Reports.

The environmental information provided In these documents will enable NETL to fulfill its responsibilities
under NEPA (additional information about the requirements at the National Environmental Policy Act
can be found in the DOE NEPA Compliance Guide and 10 CFR 1021) and to monitor the Recipient's
compliance with other environmental regulations. The implementation of any task associated with a
proposed action will be dependent upon DOE completing necessary NEPA documentation. Therefore,
to minimize the risk of project delays. it is imperative that these reports he submitted in a timely manner.

The information contained herein specifies the basic environmental requirements for this awardinterpreted as containing all necessary information for any given project. Likewise, certain
aspects of the requirements may not be applicable. Accordingly, the level of information provided
should be sufficient for DOE to assess the environmental implications of the proposed action.

 ENVIRONMENTAL QOMPLIANCE PLAN

The Environmental Compliance Plan (ECP) should outline an approach to implementing an
environmental monitoring and reporting strategy. This strategy should include plans for
submitting a Quality AssurancelQuallty Control Plan and Pollution Prevention Plan (if an ECP is
required, the format of the QAIQC Plan and Pollution Prevention Plan will be determined in
conjunction with the NETL environmental staff), conducting environmental monitoring of the
proposed action and submitting Environmental Status Reports. The EGP should also address
any concerns andlor deviations associated with the reporting and monitoring documents. The
due date for the submission of the Draft ECP will be determined based on a detailed plan that

63

 

 

 






will be developed by the DOE, SOS and MP0 personnel working on NEPA.
SUGGESTED FORMAT FOR ENVIRONMENTAL COMPLIANCE PLAN (ECP):
l. SUMMARY OF PROPOSED PROJECT

ll. FEDERAL REGULATORY COMPLIANCE (Discuss how each of the following
will be complied with. if applicable.)

National Historic Preservation Act

Endangered Species Act

Fish and Wildlife Coordination Act

Floodplain/Wetlands Regulations

Coastal Zone Management Act

Farmland Protection Policy Act

American indian Religious Freedom Act

Wild and Scenic Rivers Act

Resource Conservation Recovery Act

Comprehensive Environmental Response. Compensation and Liability
Act

Clean Air Act

Clean Water Act

Pollution Prevention Act



are

ill. STATE AND LOCAL REGULATORY COMPLIANCE (Discuss how any state
and local regulations will be complied with.)

EN MOMTORING PLAN

If analysis of the potential environmental impacts of the proposed action identities a
need for environmental monitoring, the Recipient will submit a draft Environmental Monitoring
Plan (EMF). After consultation with DOE, the draft EMP will be revised, as necessary and a
final EMP will be prepared. The EMP may be revised as the project dictates.

The EMP should evaluate air, land. and water resources, and waste production, using three
specific types of monitoring:

A. Compliance Monitoring.
B. Unregulated Pollutant Monitoring, and, if necessary,
C. NEPA-related Monitoring.

Compliance monitoring, environmental and health monitoring required by Federal, State,
and local regulatory agencies. should detail the location, frequency. duration, and substances
being monitored. All necessary applications, permits, and licenses should be identified.

Unregulated pollutants. both the amount and type ofeach. should be monitored. This includes
those pollutants not currently regulated by State or Federal laws but for which new
regulations are expected in the near future: which may cause environmental or health
concerns based on hazardousitoxlo compound lists; and which are expected in discharge
streams based on test data or process chemistry.

Finally. NEPA-related monitoring should be implemented as necessary. It should identify
andior confirm the impacts of the substances produced and performance of the specific
technologies as predicted in the NEPA document. it should also include reporting on any
mitigation action identified in the Finding of No Significant Impact or Record of Decision as a
condition of approval of the proposed action (reported annually).

64

 

 

am?


0. ENVIRONMENTAL STATUS REPORT

After approval of the comprehensive EMP, and as deemed necessary by the DOE Project
Manager, information from environmental monitoring should be submitted in the form of
Environmental Status Reports (ESRs). The necessity of these reports will depend on the size
and nature of the project; they will be required quarterly

The data reported in the ESRs will ensure that project impacts do not violate applicable
environmental regulations and are not detrimental to human health or the environment. The

information will also provide a database that can be utilized to mitigate environmental problems
associated with commercializing any proposed technologies.

SUGGESTED FORMAT FOR ENVIRONMENTAL STATUS REPORTS
i. SUMMARY OF PERFORMED (Compliance and Supplemental Monitoring)
A. MONITORING PARAMETERS
1. Location
2. Stage of Project preconstruction, operational. etc.)
3. Source to be Monitored stack emissions)
4. Method of Monitoring

B. DATA 

1. of emissions, effluents, etc. and their
concentration .
2. identification of problem areas/noncompliance
3. Suggestions for modificationsichanges to the system
4. Recommendations to revise Monitoring Plan
ii. PERMIT STATUS

A. Attach copies of compliance reports. analyses. correspondence between the
recipient and the appropriate regulatory agencies.

B. Attach copies of all manifests, shipping documents, etc. pertaining to the disposal
of wastes generated from the project.

COMMUNICATION PLAHS 2002)

Knowledge dissemination is an integral part of the Federally funded process. Effective
dissemination requires planned, active. and coordinated participation of governmental entities and
funded research organizations.

To ensure the effective dissemination of knowledge gained during this projectI the recipient
will consult with Public Affairs staff to identify communication goals. objectives. and
strategies. The recipient will make an initial contact for consultation within 30 days of the award
date. The recipient will make subsequent contacts whenever progress on the project warrants
external communication. but no less than once a quarter. 

Actions and products designed to disseminate nonproprietary project-related knowledge will be
coordinated with Public Affairs staff. Examples of such actions and products include, but
are not limited to:

-- Press releases

65

 

 Artictee in newspapers. newsletters, and magazines

Papers in peer?reviewed Journals

-- Radio, television, and newspaper interviews

Presentation of research resuits at conferences, workshops, and seminars
of resuits on web pages

-- Information for government officials

POST-COMPLETION Reggw (MAR 2092)
Within two (2) years after completion of the demonstration project, the Recipient agrees to
participate with DOE in a post-completion project review meeting. The time and iocaticn of the

meeting witl be?estabiished by agreement of the Parties. The purpose of the meeting is to review
the success of the project as well as any problems that may have arisen since project completion.

66

ATTACHMENT - BUDGET FAG 
ATTACHMENT - BUDGET PAGES

Budget Information Non Construction Programs - Budget Period 1

    

 

   

     
 

   
    

 

Hem?

  
  



. .. 15,. 1- .  - 
00-: -  

unclil-Wz?i-p

 

SectionA-Budget Summary  -.    
Grant Program Function or catalog 0f Federal 559?? 9? UnOb?galed Funds

Activity Federal Non-Federal Federat Non-Federal Total

(3) lb} (0 (0 (0)
1. Fossil Energy R880 81.089 - BP 1 $9,285,033 $9,235,033 $18.57 0,066
2. Fossil Energy 81.089 - BP 23 $14,248,983 $17,415,424 $31,564,407
3. Fossil Energy 81.089 BP 2b $270,215,984 $1 302,455,322 $1  
4. a,
5. Totals $0 $0 $293,750,000 $1 329,155,779 $1 ,622,905,7?9
Section - Budget Categories    
Grant Program, Function or Activity
Total 

(1) Total BP 1 (2) . (4)

3. Personnel $3,769,589l $3,769,539

b. Fringe Bene?ts  $0l 5 $0

0. Travel  $159,413: $159,413

d. Equipment  $3,401,694 $3,401,094

e. Supplies $0 $0

r. Contractual $6,002,871  $6,002,871

9. Construction $0 I 30

h. Other $236,500  i - $236,500

i. Total Direct Charges (sum cilia-6h] $16,570,066 $0  $0 $18,570,066?
j. indirect Charges . $0 9  2 $0 5i; 
k. Totals (sum crawl) $16,570,066 $0 $0 7 $0 $18,570,066

 -  -.. . .. WW - -   'r-w - - - -  

7. Program Income I I I I $0

. SF-424A {Rev. 4-92)

Premous Et?tion Usable Prescribed by OMB Circular A-102
Authorized for Local Reproduction

 

 

 

 

 

 

 

 

 

 

 

 

 

6. Object Class Categories

 

 

 

 

 

 

 

 

 

 

I:
J.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 . BUDGET PAGES
Budget Information - Non Construction Programs - Budget Period 2a

Section A - Budget Smnmazy 147-5   4.  a? 437:?    
. Cazalog of Federal 
Grant Program Function or 

Estimated Unobligaied Funds New or Revised Budget
Domestic Assistance

Admty . Number Federal Non-Federal Federal Non-Federal Total

- - 467 {en re} 1 {f1 44':
1. Fossil Energy R60 61669-391 $9,265,033 $9,285,033 $16,670,066
2. Fossil Energy 5 $14,248,933 $17,415,424 $31,664,407
3. Fossil Energy 81.089- 3? 2b  $1,302,455.322. 

OMB Aonrwal No. 0348-0044

 

 

 
 

. Itmz  
. as" 41$293,750,000? $1,329,155.779i 0,622,905,776

. 

3954-? 444476-74.

 

 

 

 

6' Ob?ect Wm (1)7613! - 3? 2a Phase Ila Total - BP 2a Phase Illa Total 
a. Personnel $1 ,460,601 $1,250,383 $2,710,939
b. Fringe Bene?ts $0 $0 $0
0, Travel $56,034 $17,735 $73,759
d- $1,377,290 $13,412,507 $19,739,797
e. Supp?es $0 $0 $0
f. Contractual $3,443,259 $235,385 $3,733,655
9. Construction $0 $0 $0
h. Other $2,919 $353,278 $355,195
i. Total Direct Charges (sum of?a-Bh) $11,345,113 $20,319,295 $31 
1. Indirect Charges $0 $0 - 
k. Totals (sum of 606]) $1 1 345,1 13 $20,319,295 $31 554,407

. s?wmamim - aw 6? 4? - 
7. Program income I 1 I $0

SF-424A (Rev. 4-92)
Previws Ed'r?m Usable Presumed by 0MB Circuiar A-102

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ATTACHMENT . BUDGET PAGES
Budget Information - Non Construction Frog

- Sec?onA- 

 

0M8 Approval No. 03430044

 

 

Catalog of Federal

Estimated Unobligated Funds

 

 

P??gmwm or Domestic Assistmce Federal
Number

Non-Federal
la}

Non-Federal
{n

Total
 

 

(0?3
1. Fossil Energy REID 31.089 - BP ?1 

$9,285,033 

$9,285.033ll

$18,570,066

 

2 Fossil Energy 81.089 - 8P 2a

$14,248,983 

$17,415,424?

$31 ?64,407

 

3. Fossil Energy Ran 31.089- BP 

$270,215,984 

$1,302,455,322 

 

4.



 

5. Totals

 

 

$0

$293,750,000

$1 329,155,779

 

Section - Budoet memories   -. '7  -- 

 

 

  

m. 



we;
no:

 

 

Grant Program

I llan or Activity

 

 

6. Object Class Categories

 

Total - BP 20 Phase Illb

13) Total - ep 21) Phase IV 

 

 

 

a. Personnel

$0

$0

$0

 

b. Fringe Bene?ts

$0

$0

$0

 

0. Travel

$0

$0

$0

 

d. Equipment

$0

$0

$0

 

e. Supp?es

$03



$0

 

f. Contractual 

$1,197,517



$375.

154,050:

$1 2,671,306

 

g. Cons?uuc?on

$0



$0

 

h. Other

$0



$0

 

E. Total Direct Charges (sum of Gel-Sh)

$1,197,517

,256

$375,154,050

$0 $1,572,671,:?  j;

 

3. Indirect Charges

$0

$0

$0 "350?

 

 

 

k. Totals {sum of (Si-Bi)

will)? -. aye-m? 1

Program [meme

 

7.

 

Previous Edition Usable

 

 

 

$375, 154,050

 

$0 $1,572,6?1,306

 

s1,

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69

197,517,256:



.. .. My
Hum?avatar?.

.rww-x-?a

 

Jmu wx-le-?w  

I $0
SF-424A (Rev. M2)
Prescribed by OMB Circular A-1 02

 

 

ATTACHMENT 0 . some: mess
Budget Information - Non Construction Programs - Cumulative

 

 

    

 

  

  

i-    

Grant Program Function or DCatalog  Es?mated Unobllgated Funds New or Revised 8udget
Activity Number Federal Non-Federal Federal Non-Federal Total
(Fossil Energy R8D 81.089 - BP 1 $9,285,033 $9,285,033 $18,570,066
2. Fossil Energy R80 81.089 - BP 23 $14,248,983 $17,415,424 $31,664,407
3. Fossil Energy R80 81.089 - BP 2b $270,215,984 $1,302,455,322 $1 572,671,308 
s. Totais . $0 $0 $293,750,000 $1,329,155.779 $1 ?22,905]?

Section 3- Mat Categories, - - irreem?wi' -    87:946- . 
6. Object Class Categories

 
   

 

 

 

 

 

 

 

. a"

 

 

 

 

 

 

 
 
  

 

 

Grant Program, Function or Activity
?(1}Total - (2) Tetai - 8P 2a Total - 3.922; E74)
3. Persomel $3,769,589 $2,710,989
b. Fringe Bene?ts $0
c. Travel $159,413  $73,769?
d. Equipment $8,401,694 $19,789,797! $28,191,490
e. Supplies $0 $0
f. Contractual $6,002,871  $8,733,656 $1,572,671,306 . $1,587,407,832
. 9. Construction $0  $0 30 $0
11. Other $236,500 $356,196 $0 $592,696
i. Total Direct Charges (sum of 63-611)  $18,570,066 $31,664,407 $1 872,671,306? $1,622,905.77?
j. indirect Charges $0 $0 1  $1 
19  (Sum Of57-151) $1 8,57 0,066 $31 ?64,407 r$1 572,671,306 $1,622,905,779

. a?  ., . 358?:  jrm_ - new?, 42,51 - - vs- n. 
7. Program Income I I I I $0


Previous Edition Usable Prescribed by 0MB Cirwiar 19-102
Authorized for Local Reproduction

 

 

 $6,480,578
$0
$233,132

 

 

 

 

geese

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

w- dam-mum:-

71}

 

 

 

   
  

Section - Non-Federal Resources  r" a x" 

Jir

 

. '55ever:  
    . ..    

ma  a. 

 

Grant Program i Applicant I State

Other Sources

 

Totals

 

8. Fossil Energy 8: Development 81.089 

$0

$1 329355.779

31 329,155,779

 

9.

$0

 

10.

$0

 



$0

 

12. Total (mmoflines8~ 11) $0

$0

51.329.155.779

$1 329.1 55,779

 

 

Section D- Forecasted Cash Needs ..     - 

 

. i. 
-

oeew


?it?


  1

 

Total for 1st Ye?r'" 151 Queue: 2nd Quarter

3rd Quarter

4th quarter

 

13. Federal

 

14. Non-Federal

 

15. Total (sum of lines 13 and 14) $0 $0

 

$0

 

 

 

 

 

   

Section - Budget Estimates of Federal Funds Needed for Balance of the Project weFuture Funding Periods (Years)

     

 

g?g?ma?le??  

1.4 

 

Grant Program Second

Third

I. Fourth

 

18. Fossil Energy Research 8: Development CFDA: 81.089 

 

17.

 

18.

 

19.

 

20, Total (sum of ?nes 16-19)

 

 

 

 

 

 

Section - Other Budget Information
21. Direct Charges 31.622.905.779

 

 

 

 

23. Remarks

 

Previous Edition Usable

Authorized Local Reproduction

3F-424A (Rev. 492)

Prescn'bed by 0MB Cirwlar A402

 

 

ATTACHMENT 
AMENDED AND RESTATED REPAYMENT AGREEMENT
DE-FR26-06NT42392
AMENDMENT 2

By this Amendment to the Amended and Restated Repayment Agreement by and among the United States
Department of Energy (DOE), Southern Company Services. inc. and Kellogg Brown 8! Root LLC
(successor to the rights and obligations of Kellogg Brovm Root. Inc.) dated May 2, 2007. the Parties
acknowledge certain changes that have been made to Cooperative Agreement Number DE-FC26-
06NT42391 regarding the Demonstration Project and they agree to modify the terms of the Repayment
Agreement to incorporate waiver of the repayment obligation. This Amendment to the Amended and
Restated Repayment Agreement will become effective on December 5. 2008.

Speci?cally, the Parties hereby acknowledge as follows:

The host site for the Demonstration Project has been changed from Orlando, Florida to a site owned
by Mississippi Power Company in Kemper County, Mississippi.

The scope and schedule for the Demonstration Project have been modified to account for the site
relocation and changes in size and con?guration of the Demonstration Project.

Now, therefore, in consideration of the promises and agreements of the-Parties herein expressed and other
good and valuable consideration, the Patties agree that the Repayment Agreement is amended to

incorporate waiver of the Obllgors? repayment obtigation in accordance with the terms set forth below:

WAIVER OF REPAYMENT 

Whereas. DOE and 308 have been informed by the internal Revenue Service that DOE funds provided
under the Cooperative Agreement are taxable to the Recipient:

Whereas. such treatment of DOE funds is a departure from historical practice and therefore not anticipated
by either DOE or 808:

Whereas, taxation of the funds substantially-reduces the effectiveamount of federal contribution to the
Demonstration Project and jeopardizes the success of the Demonstration Project;

Whereas, 808 has requested that the Secretary of Energy waive the repayment obligation under this
Repayment Agreement in order to make the DOE funds eligible for treatment as a non-taxable contribution
to capital pursuant to Internal Revenue Code Section 118;

Whereas. DOE is willing to waive the repayment obligation subject to certain conditions, including
commitments from 808 (and/or its af?liated companies) to sequester a portion of the carbon dioxide (002)
produced by the Demonstration Project; and.

Whereas. 808 and its affiliate owner of the plant, Mississippi Power Company (MPG), are willing to capture
a portion of the 002 produced by the Demonstration Project and sequester the in geologic formations.
which may include sequestration through enhanced oil recovery operation.

Therefore, pursuant to the determination by the Secretary of Energy. dated May 22, 2008. DOE agrees that
the Obtigors? obligation to repay (as well as the associated reporting and retention obligations set forth in
Article Vi ofthe Repayment Agreement), pursuant to this Repayment Agreement, is waived.

Notwithstanding the foregoing, pursuant to that certain Approval Determination executed by the Secretary of
Energy-dated May 22, 2008 (?Approval Determination?), DOE established certain conditions regarding the

72

 

waiver, which conditions are adopted herein as set forth below. The Approval Determination provided (and
by adeption this Agreement provides) that the waiver will become void if any one of the following events
occurs:

(1) On or before the earlier of DOE's issuance of a National Environmental Policy Act, Record of Decision
for the Demonstration Project or January 1, 2010, the tnternai Revenue Service agrees that
Clean Coal Power Initiative Round ll funds are not taxable to the Recipient. even if the funds
are accompanied by a requirement of repayment to DOE. SOS agrees to seek a private letter ruling
from the if DOE advises 808 that the has indicated a willingness to entertain tax-free
treatment of DOE CCPI Round Ii funds. -

(2) On or before the earlier of DOE's issuance of a Record of Decision for the Demonstration Project or
January 1, 2010, the law is amended to make funds not taxable to the Recipient.

(3) 308 (and/or its affiliated companies) does not. with respect to the planned coal-fired power piant in
Mississippi receiving CCPI Round ?funds: design, build, and Operate the facility with the intent to
capture and geologically sequester by enhanced recovery or otherwise one million tons per year of
002 (approximately 25% capture rate); and establish, and activer work toward, the goat of
capturing and sequestering 50% of 002 emissions from the giant by 2020 and thereafter.

1N WITNESS WHEREOF, the parties have caused this Amendment to the Amended and Restated
Repayment Agreement to be eXecuted as of the respective dates entered below.

UNITED STATES DEPARTMENT OF ENERGY OBLIGOR (Kellogg Brown Root LLC (as
successor to the rights and obligations of
Kellogg Brown 8: Root, inc.)

- .. Pt
Signature 1 GE) mfg/3g  I

Name: (203,? Date:

t3.
Title: Conti??c?rrgj'O?icer

OBLIGOR (Southern Company Services, inc.)


 

'i3 

 
WENDED AND RESTATED REPAYMENT AGREEMENT
6-0 6NT42392



 



 





 

 

 



 

NOT SPECIFIED 

 

 

 

 

 

 

ASSISTANCE AGREEMENT
1. Award No. 2. Modi?cation No. 3. Effective Date 4. CFDA No.
005 06(18/2009 81.089 
5. Awarded To 6. Sponsoring Of?ce 7. Period 0! Performance
SOUTHERN COMPANY SERVICES INC Brittley.Robbine@net1.doe.gov 02/01/2606
U.s. De artment of Ener -NETL thr?ugh
?mumm

Attn: Brittley Robbins
626 Cochrans Mill Road
P.0. Box 10940
Pittsburgh PA 15236-0940

 

(412) 386-5430

 

 

8. Type of Agreement

Grant

Cooperative Agreement

Other

 

9. Authority
PL 95-91 DOE Organization Act,as amended
by PL 102?486 Energy Policy Act 1992

 

10. Purchase Request or urtc Eng Document No.
09FE004595

 

11. Remittance Address
SOUTHERN COMPANY SERVICES INC



12. Total Amount

Govt. Share: $293,750.000.00
Coat Share $1,329,155,779.00
Total 

 

 

13. Funds Obligated
This action: $50,363,889.00
Total $293,750,000.00

 

14. Principal investigator



 

15. Program Manager
DIANE R. MADDEN

Phone:

412-386-5931
NETL

 

16. Administrator

NETL - Pittsburgh
ILS. Department of Energy

626 Cochrane Mill Road
9.0. Box 1.0940
Pittsburgh PA 15236?0940

 

17. Submit Payment Requests To

Payment - Direct Payment:
from 11.3. Dept of Treasury

18. Paying Of?ce

 

19. Submit Reports To

 

 

20. Accounting and Appropriation Data
See Schedule 

 

21. Research Title andlor Description of Project
DEMONSTRATION OF A COAL-BASED TRANSPORT GASIFIER

 

For the Recipient

For the United States of America

 

22. Signature of Force

1 gsanz?r7

 

 

 

 

 

 

mfwweb I
23. Name an3?ritte 24. Date Signed 26. Name of Of?cer 27. Date Stgned
RAYMOND n. JOHNSON err/1822009

 

 

NOT SPECIFI ED 

 

 

 

NOT SPECIFIED 

 

 

 

 

 

 

- REFERENCE NO. OF DOUJMENT BEING CONTINUED PAGE OF
SHEET 2 I 3
NAME OF DFFEROR OR CONTRACTOR
SOUTHERN comm SERVICES INC

ITEM NO. SUPPLIESISERWCES QUANTITY UNIT UNIT PRICE AMOUNT
(A) (B) (D) (E) (F)
DUNS Number: 137519547

 

See Page 3 of 3 (BODY) for the purpose of this
modification.

Schedule of Accounting and Appropriation Data
(continued from Block 20 of the face page):
Fund: 00150

Appr Year: 2005

Allottee: 31

Object Class: 220321

Program: 1610353

Amount: $50,363,339.00

ASAP: Extent Competed: NOT 
Delivery Location Code: 02601

NETL - Pittsburgh

0.8. Department of Energy

National Energy Technology Laborato
626 cochrans Mill Road

Pittsburgh PA 15236-0940

'Payment:

Payment - Direct Payment
from 0.3. Dept of Treasury

 

 

 

 

 

NOT SPECIFIED 

Juwzan

 

 Page 3 of 3
Modi?cation 005

A. The purposes of this modification are to:

1. Provide incremental funding
2. Revise the financial reporting requirements

B. Actions incorporated as a result of the purposes delineated in paragraph above, are as
follows: 

1. Incremental funding In the amount of $50,363,889 is hereby provided to fully fund the cooperative
agreement. Obligations are increased as follows: -

FROM: $243,386,111 BY: $50,363,889 TO: $293,750,000 

2. Attachment 4, Federal Assistance Reporting Checklist and instructions, Part C. Financial
Reporting is hereby amended as follows: A

Effective as of the date of this modification, the SF-269. SF-269A and SF-272 have been replaced
government-wide with the SF-425, Federal Flnanoiai Report. Therefore, in lieu of submitting the
on a quarterly basis with a final report submission due within 90 calendar days after the
project period ends, you are required to submit the The SF-425A is not authorized for
reporting under this award. The submission Instructions and frequency of reporting has not
changed. A fillable version of the form is available at
iorms.asox.

C. All other terms and conditions remain unchanged.

END OF MODIFICATION 005



For information purposes only, the foilowing individuals are identified as points of contact under this
agreement:

DOE Program Manager DOE Award Specialist
Diane Revay Madden Mail Stop 922-3420 Brittley K. Robbins Mail Stop 921-407

US DOElNatlonal Energy Technology Laboratory US DOEINatlonat Energy Technology Laboratory

626 Cochrans Mill Road. P.0. Box 10940 626 Cochrans Mitt Road, P.O. Box 10940
Pittsburgh, PA 15236-0940 Pittsburgh. PA 152360940

Phone: 412-386-5931 Phone: 412-686-5430

E-Mail: Diane.Madden@netl.doe.gov E-Mail: Brittlev.Robbins@netl.doe.oov

 

Southern Comoanv Services Principal investigator Southern Company Services Buslness Of?cer


 

 

w?

\w

 

 

 

ASSISTANCE AGREEMENT
1. Award No. 2. Modi?cation No. 3. Effective Date 4. CFDA No.
006 81.039

 

 

 

5. Awarded To
SOUTHERN COMPANY SERVICES INC



B. Sponsoring Of?ce

Brittley . Robbinsenetl .doe . gov

U.S. Department of Energy?NETL

Attn: Brittley Robbins (412) 386~5?30
626 Cochrans Mill Road
FA). Box 10940

Pittsburgh PA 152364394 0

 

7. Period of Performance

02f01/2006
through
05/01/2018

 

8. Type of Agreement

Grant

Cooperative Agreement

El Other

 

9. Authority
PL 95?91 DOE Organization Act,as amended
by PL 102-486 Energy Policy Act 1992

10FE007355

 

 

10. Purchase Request or Funding Bocvment No.

 

11. Remittance Address
SOUTHERN COMWENY SERVICES INC



12. Total Amount
Govt. Share: $293,758,000.00

Cost Share Total

Total 

 

 

13. Funds Obtigated
This action: $0.00



 

14. Principal Investigator



Phone:

 

15. Program Manager
DIANE: R. MADDEN
412?386?5931

18. Administrator

0.3. 
Pittsburgh Campus

PO Box 10940

 

626 Cochrans Mill Road

Pittsburgh PA 15236?0940

 

Submit Payment Requests To

Payment Direct: Payment
from U.S. Dept of Treasury

 

18. Paying Office

Payment Direct Payment
from U.S. Dept of Treasury

 

19. Submit Reports To

 

20. Accounting and Appropriation Data

 

21. Research Title andror Description of Project
DEMONSTRATION 0F A COAL-BASED TRANSPORT GASI PIER

 

 

 

 

 

 

For the Recipient For the United States of America
22- Signature 0? MW [0 Sign 25. Signature 0! Of?cer
Signature on File
23. Name and rule 24. Date Signed 26. Name or Of?cer 27. Date Signed
 RAYMOND D. JOHNSON 052'27/2010

 

 

 



 

 

 

 

 

 

 

 

.3
REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF
SHEET 2 ?3
NAME OF OFFEROR 0R CONTRACTOR
SOUTHERN COMPANY SERVICES INC
war?: no. sumassrsenwces urn um: pares mourn
(A) D) (E) (F)
nuns Number: 13?519547



See Pages 3 and 4 for the purpose of this
modification.



ASAP: Extent Competed: NOT COMPETED Davis-Bacor
Act: NO

Fund: 00150 Appr Year: 2005 Allottee: 31 Report
Entity: 220321 Object Class: 25500 Program:
1610353 Project: 0000000 WFO: 0000000 Local Use:
0000000

 

 

 

 

 

 

 

JULY2004

 

 

 

 

DE-FC26-06NT4239I 
Modi?cation 006 Page 3 of 4

A. The purposes of this modi?cation are to:

1. Revise the Article entitled ?Budget Periods and Estimated Project Costs?
2. Replace Attachment a Budget Pages -

B. Actions Incorporated as a result of the purposes delineated in paragraph above, are as
follows:

1. Under Article 2.5 entitled ?Budget Periods and Estimated Project Costs?, delete paragraph 
?Total Estimated Project Costs? in its entirety and replace with the following:

Total Estimated Pro'ect Costs

DOE and the Recipient shall share in allowable direct and indirect project costs, on an invoice
by invoice basis, in the percentages up to the amounts shown below:

TOTAL ESTIMATED PROJECT COST: $1,622,905,779

Budget Period - - Phase Proiect De?nition

 

DOB Share 13 9,285,033 50%
Recipient Share 3 9,285,033 50%
$18,570,066
Budget Period 2 - - Phase Detailed Design (Orlando. FL) and Phase Illa Construction
(Orlando, FL)
DOE Share $14,233,607 45%
Recipient Share $17,396,631 55%

$31,630,238

Budget Period 2b - Phase Detailed Design (Kemner County. MS): Phase 
Construction (Kemner County. MS) (sobicct to Article 2.33, Conditions on Award): and Phase
IV Demonstration in (subject to Article 2.38, Conditions on Award and Article 2.39,

Withholding of Funds)
DOE Share 270,231,360 17.2%*
Recipient Share $1,302,474,l 15 82.8%

$1,572,705 ,475

*Notwithstanding the cost share percentage identi?ed above, DOE will share allowable costs
during Phase (Construction Kemper County, MS) at a ratio of 45% of Phase Ill.b costs
up to $245,231,360. Accordingly, Recipient's cost share ratio during Phase 111.!) will adjust in
an amount that corresponds to the adjustment in DOE's sharing ratio, but Recipient will be
responsible for Project costs in excess of DOE's share.

 


Modi?cation 006 Page 4 of 4

Recipient acknowledges that the Government has agreed to share at a higher rate in Phase 
of the Project with the expectation that the Recipient shall share at a higher rate during later
stages of the Phase in order to achieve an overall Recipient cost-share percentage of at least
82.8% of the Budget Period 21) costs and at least 8 9% of the total allowable Project costs.

By accepting federal funds under this award, Recipient agrees that, notwithstanding the budget
period cost-share percentages established in this Article, Recipient is liable for Si 9% of the
total allowable Project costs, even if the Project is terminated early or is not funded to
completion. If Recipient has not achieved 81.9% cost?sharing at the time of Project
termination or discontinuance, Recipient shall refund sufficient funds to the Government in
order to achieve a Recipient cost-share percentage of 8 9% based on total allowable Project

cost.
Total Proiect
DOE Share 82 293,750,000 181%
Recipient Share $1 329,155,779 81.9%
i,622,905,779?

2. Delete Attachment Budget Pages, in its entirety and replace with the enclosed Attachment  
Budget Pages.

C. All other terms and conditions remain unchanged.

END OF MODIFICATION 006


The following individuals are identi?ed as points of contact under this agreement:

 

EOE Ezggram ManggerlProject Officer DOE Award Speciallg
Diane Revay Madden Mail Stop 922-3420 Brittley Robbins Mail Stop 921-107

626 Cochrans Mill Road, PO. Box 10940 626 Cochrans Mitt Road, P.0. Box 10940
Pittsburgh, PA 15236-0940 Pittsburgh, PA 15236-0940

Phone: 412-386-5931 Phone: 412-386?5430

E-Mail: E-Mait: 

 

 

 

 

Sogthern Company Services Prinelgle lggegtigator Southern Comgang ?erv?ces Busingss Of?cer


 

 

 

 

 

Enclosure to Modi?cation 006


ATTACHMENT - BUDGET PAGES

Budget information - Non Construction Programs - Budget Period 1-
0MB Approval No.0348-0044

   

   

Section A- Budget Summary

 

 

Estimated Unoblagated Funds New or Revised Budget

 

Catalog of Federal Domestic
085313008 NUMber Federal Non-Federal Federal NomFederal Total
(hi (0 (9)
Fossil Energy 81.089 - BP 1 $9,285,033 $9,235,033 $18,570,066
Fossil Energy R00 81.089 - BP 23 $14,233,607 $17,396,631 $31,630,238
Fossil Energy 81.089 - 3? 2b $270,231,360 $1 ,302,474,1 15 . $1 ,572,705,4?5

Grant Program Function or Activity

 

 



 

 

 

 

viw'o'iv'ui

Totals $0 $0 $203,750,000 $1,329,155 779
Section 3- Budget Categories

 

$1 622 905 779

 

 

Grant Program, Function or Activity
Total - 8P 1 (2) - (4)
0. Personnel $3,769,589 $3,759,539
0. Fringe Bene?ts $0 .  $0
0. Travel $159,413  $159,413
(1- Eqmpmont $3,401,694 $8,401,694
e. Supplies $0  $0
f. Contractual $6,002,871 $6,002,871
9. Construction $0 - $0 
h. Other $236,500 $236,500 
i. Total Direct Charges (sum or 63-6h} $18,570,066 $0 $0 $0 $18,570,066
j. Indirect Charges $0 $0 $0
Totals (sum of 6i-6jObject Class Categories

 

Total (5)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

    

  

 

 

 

   

 

Program Income I I I I

$0

SF-424A (Rev. 4-92)

Previous Edition Usable Prescribed by OMB Circular A-102
Authorized for Local Reproduction

Page I of 5

 

Enclosure to Modi?cation 006 .


ATTACHMENT . BUDGET PAGES
Budget Information - Non Construction Programs - Budget Period 23

Section A- Budget Summary . 

. Catalog of Federal Estimated Unobligaled Fur-lids- New or Revised Budget
Grant Program 01mm? 0' Domestic?-ssisiance

Ac?vity Number Federal I NonoFederaI Federal Non~FederaI  Total
(bi  (0 
1, Fossil Energy 31.039 - BP 1 $9,235,033 $9,285,033 018,570,066
2 Fossil Energy 31.039 - BP 2a $14,233,007 $17,396,631 $31,630,238
3. Fossil Energy 81.089 - BP 20 $270,231,350 $1 ,302,474,1 15 01 572,705,475
4.
5

0MB Approval No. 03480044

    

  
    

 

 

 

 

 

 

 

 

. Totals $0 $293,750,000 $1,329,155.779 $1 622 905 779
Section - Budget Categories

 

    

 

 

Grant Program, Function or Activity

6. Object Class Categories (1)700. (2) Total-81?23 3) (4) 701205}
Phase Ila Phase Illa 

a. Personae! $1,460.591 $1,261,023 $2,721,614
0. Fringe Bene?ts I $0 $0 $0
0. Travel $56,034 $17,735 $73,769
(1. Equipment $1,377,290 $18,352,503 $19,739,798

e. Supplies $0 $0 $0

f. Contractual $8,448,270 $235,336 $8,733,656 
9. Construction $0 $0 $0 I
h. Other $2,919 $358,482 $361,401
i. Total oareoz Charges (sum ofGa-Sh] $11,345,103 $20,285,185 $31,630.238
j. lnc?rect Charges $0 $0 $0
k. Totals (5001010101) $11 845108 $20.285135 $31,630,238

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  

 

 

 

 

7. Program Income I I I I $0

. SF-424A (Rev.4~92)
Previous Edition Usabie Prescribed by 0MB CirwlarA?102

 

Page 2 of 5

 

Enclosure to Modi?cation 005
DE-FC26-06NT423 9 1

ATTACHMENT - BUDGET PAGES

 

Budget Information - Non Construction Programs - Budget Period 2b

0MB Approval No. 03480044

 

 

 

Section A - Budget Summary

 

 

 

. Catalog of Federal New or ReVIsed Budget
Grant Program Function or Domestic . lame

Activity Number Fedetel Non~Federai Fedora? Non-Federal Total
(8) {0 
1. Fossil Energy R80 81.089 BP 1 $9,285,033 $9,285,033 $18,570,066
2 Fossil Energy R80 81.089 - BP 28 $14,233,607 $17,398,631 $31 ?30,238
Fossil Energy R81) 81.089 - BP 2b $270,231,360 $1,572,705,475

 

 

 

 

?5

 

 

4.
5

 

. Totals $0 $0 $293,750 .000 $1,329,155,7?9 $1 622 905 779
Section - Budget Categories

 

   

 

Grant Program, Function or Activity

6- Obieci Class Categories (21Total-BP2bPhase Phase
Phase Ilb 

 

 

(4)

a. Personnet $0 $0 $0 $0
b. Fringe Bene?ts $0 $0 $0 $0
TraveE $0 $0 $0 $0
d. Equipment $0 $0 00 $0
e. Supplies $0 $0 $0 $0
ConnemuaI $0 $335,154,050 $1,5?2,705,476
9. Construction $0 $0 $0 $0
h. .Other $0 $0 $0 $0
i. Total Direct Charges (sum of sea-sh) $0 $1,197,551.426 $375,154,050 $0 $1,572,705.476
Indirect Charges $0 $0 $0 $0 $0
k. Totals (sum of ?i-Gj) $0 $1,197,551,426 $375,154,050 $0 $1,572,705,476

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

     

 

Program Income I I i $0

SF-424A (Rev. 4?92}
Previous Edition Usable Prescribed by OMB Circular A-102

Page 3 of5

 

 

Enclosure to Modi?cation 006


AWACH MENT BUDGET PAGES

 

Budget Information - Non Construction Programs - Cumulative

 

Section A - Budget Summary

 

 

 

Grant Program Function or Catalog of Federal Domestic ES?maied umb?gated Funds New or Raised Budget
At:th Assistance Number Federal Non-Federal Federai Non-Federal Total
(bl 
1. Fossil Energy R80 81.089 - 8P 1 $9,285,033 $9,285,033 $18,570,066
2. Fossil Energy 81.089 - BP 23. $14,233,607 $17,398,681 $31 ?30,238
3. Fossil Energy R80 81.089 80 2b $270,231,380 $1 ,302,474,1 15 $1,572,705,4?5
4.

5. Totals $0 $0 $293,750,000
Section - Budget Categories

 

 

 

 

 

$1,522,905.779

 

 

 

  

 

 

 

soot-hogan Function or Activity
6? Obie? crass (memes (1) Total - 8P1 (2) Total - BP 22 Total - op 28 (4) 1?19 (5)
21. Personnel $3,769,589 $2,721 .614 $0 $6,491,208
13. Ftinge Bene?ts $0 $0 $0 50
0. Travel $159,413 $73,769 $0 $233,132
(1. Equipment $8,401,694 $19,739,798 $0 $28,141,491
e. Supplies 90 $0 $0 $0
t. Contractual $0,002,871 $8,733,555 $1 572,705,470 $1 587,442,003
9. Construction $0 $0 $0 30
h. Other $236,500 $351 ,401 $0 $597,901
i. Total Direct Charges (sum of 63-611) $13,570,056 $31,530,238 $1 572,705,476 $1 ,622,905,780
j. Indirect Charges $0 $0
Totals (sum of 6145]) $31 530 233 $1 572 705,476 $1,622,905.730

 

 

 

 

 

 

 

 

 

 

 

   

 

 

 

 

      

 

 

 

 

     

   

 

   

 

 

 

 

I 80

SF-424A (Rev. 4-92)

Previous Edition Usable Prescribed by OMB Circutar A402
Authon for Local Reproduction

7, Program income I

Page 4 of 5

 

 

Enclosure to Modi?cation 006


 

Section Non-Federal Resources

 

 

Grant Program Applicant (c )State Other Sources Totals
8. Fossil Energy Research a Development- 81.089 $0 $0 31.329.155.179 $1,329,155.7112. Total (sum of lines 8 11} $0 $0 51.329.155.779 31.329.155.779
Section - Forecaster! Cash Needs 

 

 

 

 

 

 

 

 

 

Total for Year Quarter 2nd Quarter 3rd Quarter 4th quarter

 

13. Federal
14. Non-Federal

15. Total (sum of lines 13 and 14) $0 $0 $0
Section - Budget Estimates of Federal Funds Needed for Batance of the Project

 

 

 

 

 

  
 

Future Funding Periods (Years) I
Grant Program First to 3 Second Third Fourth

16. Fossil Energy Research 8: Developmenb CFDA: 31.039

17.

'18.

19. in 

20. Total (sum of lines 16-19)

Section Other Budget Information
21. Direct Charges 31.622.905.780

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

23. Remarks

 

35% (Rev. 4:82}
Previous Edition Usable Prescribed by OMB Circular 

Authorized for Local Reproduction

Page 5 of 5

 

 

ASSISTANCE AGREEMENT

 

1. Award No.


 

00'?

2. Modi?cation No.

4. CFDA No.
81 . 089

3. Effective Date
0 9/28/2010

 

 

 

5. Awarded To -
SOUTHERN COMPANY SERVICES INC



 

3. Sponsoring Oi?oe

Brittley.Robbins@netl.doe.gov
U.S. Department? of Energy?NET:
Attn: Brittley Robbins {412) 386-5430
626 Cochrans Mill .Road
P.0. Box 10940

Pittsburgh PA 15236?0940

 

7. Period of Performance

oz/oirzoos
through
05/01/2013

 

 

8. Type of Agreement

Grant

Cooperative Agreement

Other

 

9. Authority
PL 95-91 DOE Organization Act,as amended
by PL 102?486 Energy Policy Act 1992

10F8011548

 

10. Purchase Request or Funding Document No.

 

ti. Remittance Address
SOUTHERN COMPANY SERVICES INC

12. Total Amount
Govt. Share: $293,750,000.00

 

 

This action:

13. Funds Obiigated

$0.00

 

 

Pittsburgh Campus

PO Box 10940

 

Cost Share $1,771,263,164.00 Total 
Total $2,065,013,164.oo
14. Principal Investigator 15. Program Manager 16. Administrator
DIANE R. MADDEN 3?s. 
Phone: 412-386?5931

626 Cochrans Mill Road

Pittsburgh PA 1 523 6"0940

 

Submit Payment Requests To

Payment Direct Payment:
from Dept: of Treasory

Paymen
from 

 

?i8. Paying Of?ce

t: Direct Payment
.3. Dept of Treasury

 

19. Submit Reports To

 

 

20. Accounting and Appropriation Data

 

21. Research Title andior Desoription of Project
DEMONSTRATION OF A TRANSPORT GASIFIER

 

For the Recipient

For the United States of America

 

22. Signat?i?q of Person Authorized to Sign



25. Signature of GrantslAgreemenis Of?cer

Signature on File

 

23. Nameand Titie 

 

 

24. Date Signed

q/ze/to

26. Name of Of?cer

RAYMOND . JOHNSON

 

Date Signed

09f28f2010

 

 

 

r?

 


 

 

 

REFERENCE NO. 0? DOCUMENT BEING CONTINUED

 

PAGE OF

 

 

CONTINUATION SHEET 2 10
NAME OF OFFEROR 0R CONTRACTOR
SOUTHERN COMPANY SERVICES INC
ITEM NO. SUPPLIESISERVICES QUANTITY UNET UNIT PRICE AMOUNT
(A) (B) (D) (E) (F)

 

DUNS NUmber:



modification.

Act: NO

 

137519547

Fund: 00150 Appr Year: 2005 Allottee:
Entity: 220321 Object Class: 25500 Program;
1610353 Project: 0000000 WFO: 0000000 Locai Use:
0000000 TAS Agency: 89 TAS Account: 0213

See Pages 3 through 10 for the purpose of this

ASAP: Extent Competed: COMPETED Davis?Bacon

31 Report

 

 

 

 

 

 

JULY 2004

 

 

 

 

DE-FC26-06NT42391
Modi?caritm 007

Based on (1) the publication of the Record of Decision (August 2010) and the Mitigation Action Plan
(September 2010) and (2) approval of the Phase Estimated Project Costs, which results in
an increase in the Total Estimated Cost of the Project, DOE hereby modifies this Cooperative
Agreement as follows:

A. The purposes of this modi?cation are to:

Approve the budget for Phase of Budget Period 2b

Recognize an increase in the Total Estimated Project Costs

Amend Article ?2.5 entitled ?Budget Periods and Estimated Project Costs?

Replace Attachment Budget Pages

Add the Article entitled ?Use of Program Income Cost Sharing?

Delete Article 2.11 entitled ?Continuation Application and Funding?

Revise Article 2.26 entitled ?National Environmental Policy Act (NEPA) Requirements?
Revise Attachment A Statement of Project Objectives

Revise Attachment Reporting Requirements



B. Actions incorporated as a result of the purposes delineated in paragraph above, are as
follows:

1. Pursuant to Article 2.38 entitled ?Conditions on Award?, DOE hereby approves the costs
associated with Phase of Budget Period 2b. Prior approval requirements for Phase IV of
Budget Period 2b remain unchanged. Therefore, delete Article 2.38 ?Conditions on Award? in its
entirety and replace with the following:

?2.38 Conditions on Award

The Recipient is not authorized to proceed into Phase IV of Budget Period 2b without prior DOE
approval.

Estimated Cost of Award

The estimated cost of the award is based onthe Recipient?s revised detailed budget information dated
August 2010 and re?ects estimated costs available at that time. The Recipient agrees that all costs
expended in Phase 11b of Budget Period 2b will be absorbed by Recipient. DOE agrees to share costs
in Phase of Budget Period 2b in the amounts described in the Cooperative Agreement. 
agreement to share costs in Phase IV of Budget Period 2b is subject to the conditions of this Article
and to DOE receiving a detailed breakdown of the expected project costs for Phase IV at least 90 days
before the scheduled end of Phase DOE will review the Phase IV detailed cost breakdown and
will provide SCS with any comments on such detailed cost breakdown within ninety (90) days of
receipt thereof. In the event that DOE disputes the allowability of particular cost items in the detailed
cost breakdown, SCS and DOE will conduct discussions to resolve any such issues. If issues on
particular cost items cannot be resolved, SCS will have the option of proceeding with the Project
without seeking DOE funding for any such particular cost items.?

Page 1 of 10

 

 


Modi?cation 007

2. Total Project costs (?Total Amount?), as reflected in Block 12 of the Assistance Agreement, have
increased as follows:

From Ex 19

DOB: $293,750,000 DOB: $0 DOE: $293,750,000

Cost Share: $1,329,155,779 Cost Share: $442,107,385 Cost Share: $1,771,263,164
Total: $1,622,905,779 Total: $442,107,385 Total: $2,065,013,164

3. Under Article 2.5 entitled ?Budget Periods and Estimated Project Costs,? delete paragraph 
?Total Estimated Project Costs? in its entirety and replace with the following:

Total Estimated Proiect Costs

DOE and the Recipient shall share in allowable direct and indirect project costs, on an invoice
by invoice basis, in the percentage up to the amounts shown below:

TOTAL ESTIMATED PROJECT COST: 2,065,013,164

Budget Period 1 (Orlando, FL) Phase I ?Project Definition

DOEShare 9,285,033 50%
Recipient Share. 9,285,033 50%
18,570,066

Budget Period 2a (Orlando, FL) Phase Detailed Design and Phase Construction

DOE Share 14,233,607 45%
Recipient Share 17,396,631 55%
31,630,238

Budget Period 2b (Kemper County, MS) - Phase Detailed Design; Phase 
Construction; and Phase IV ?Demonstration? (subject to Article 2.38, Conditions on Award and
Article 2.39, Withholding of Funds)

DOE Share 270,231,360 13.4%
Recipient Share 8 1,744,581,500 86.6%
2,014,812,860

*Notwithstanding the cost share percentage identified above, DOE will share allowable costs
during Phase (Construction) at a ratio of 45% of Phase 1H.b costs up to $245,231,360.
Accordingly, Recipient?s cost share ratio during Phase will adjust in an amount that
corresponds to the adjustment in sharing ratio, but Recipient will be responsible for
Project costs in excess of share.

Page 2 of 10

DE-FC26-06NT42391
Modi?cation. 007

Recipient acknowledges that the Government has agreed to share at a higher rate in Phase 111.!)
of the Project with the expectation that the Recipient shall share at a higher rate during later
stages of the Phase in order to achieve an overall Recipient cost-share percentage of at least
86.6% of the Budget Period 2b costs and at least 85.8% of the total allowable Projectcosts,
subject to paragraph c. of this clause._

By accepting federal funds under this award, Recipient agrees that, notwithstanding the budget
period cost?share percentages established in this Article, Recipient is liable for 85.8% of the
total allowable Project costs, except as provided below regarding Project Costs Under Budget,
even if the Project is terminated early or is not funded to completion. If Recipient has not
achieved 85.8% cost-sharing at the time of Project termination or discontinuance (except as
provided below regarding Project Costs Under Budget), Recipient shall refund sufficient funds
to the Government in order to achieve a Recipient cost~share percentage of 85.8% based on
totai allowable Project cost. 

Total Project (Orlando and Kemper sitesj

DOE Share 33 293,750,000 14.2%
Recipient Share 8 1,771,263,164 85.8%
2,065,013,164 

Project Costs Under Budget. If Recipient completes the Statement of Project Objectives at a cost
that is less than the Total Project Cost stated above but greater than $1,622,905.779, Recipient will be
entitled to reimbursement from DOE in the full amount of cost share of $293,750,000
regardless of the cost share percentage. In the event that Recipient completes the Statement of Project
Objectives at a cost that is less than $1,622,905,779, Recipient will be entitled to reimbursement from
DOE in an amount that is equal to 18.1% of the allowable costs below the $1,622,905,779 amount.?

4. Delete Attachment Budget Pages, in its entirety and replace with the enclosed Attachment 
Budget Pages.

5. Delete Article 2.6 ?Reserved? in its entirety and replace with the following:
?2.6 Use of Program Income - Cost Sharing

If any program income is earned in connection with the Project during the Project period as a result
of this award, that program income may be used to meet Recipient?s cost sharing requirement.?

6. Delete Article 2.11 entitled ?Continuation Application and Funding? in its entirety and replace with
the following:

?Reserved?

7. Delete Article 2.26 entitled ?National Environmental Policy Act (NEPA) Requirements? in its
entirety and replace with the following:

Page 3 of 10

 


Modi?cation 007

?2.26 National Environmental Polio Act NEPA Re uirements

DOE issued a Final Environmental Impact Statement (BIS) for the Project in May
2010 and a Record of Decision (ROD) in August 2010 (75 FR 51248). The ROD identified conditions
to mitigate potential adverse impacts associated with the Project. The Mitigation Action Plan (MAP)
describes the monitoring and mitigation actions to be implemented during the design, construction, and
demonstration of the Project. The Recipient agrees to:

a) flowdown to Mississippi Power Company the obligation to comply with the conditions,
limitations, mitigation requirements, and monitoring requirements specified in the ROD and


b) facilitate the ability of authorized representatives to visit the relevant sites and facilities
at reasonable times and upon reasonable notice and subject to applicable site access
requirements to verify compliance with the conditions and requirements in the ROD and 
and

c) flowdown to Mississippi Power Company the obligation to submit data or otherwise meet
specified reporting requirements that are in the MAP.

If the Recipient finds the conditions and requirements to be unacceptable, the Recipient reserves the
right to withdraw from the Project upon written notice to DOE, as prescribed under 10 CFR


8. In Attachment A Statement of Project Objectives, incorporate the following change in the section
entitled Statement of Project Objectivesfor Activities Associated with the Kemper County Site under
subsection B. Project Objectives:

Delete the first paragraph in its entirety and replace it with the following to change the net plant
capacity from to 

?The overall objective of the project is to design, construct, and operate a Transport Gasifier
based advanced integrated gasification combined cycle power plant that uses U.S. coal to
generate approximately 524-MW (net) electricity. The sub~objectives of the project include:?

Delete Item #3 in its entirety and replace with the following:

To design, build, and operate a C02 capture system (which system will be designed for 67%
capture rate) and compression system with the intent to capture and geologically sequester by
enhanced oil recovery or otherwise.?

9A. In Attachment Federal Assistance Reporting Checklist and Instructions, delete the following
reports from the Federal Assistance Reporting Checklist under section V. OTHER REPORTING:

1) Environmental Compliance Plan, (2) Environmental Monitoring Plan, and the (3) Environmental
Status Report

Page 4 of 10

 

DE-FC26-06NT42391
Modi?cation 007

and add the following reporting requirement:

(1) Environmental Report (Frequency: No. of Copies: Electronic version to Addresses:
Diane.Madden@netl.doe.gov: Brittlev.Robbins@netl.doe.gov)

9B. In section V. OTHER REPORTING under subsection ENVIRONMENTAL REPORTS
delete all text in its entirety including A. Environmental Compliance Plan, B. Environmental
Monitoring Plan, and C. Environmental Status Report and replace with the following:

REPORTS

DOE issued a Final Environmental Impact Statement (BIS) for the Project in May
2010 and a Record of Decision (ROD) in August 2010 (75 FR 51248). The ROD identified
conditions to mitigate potential adverse impacts associated with the Project. The Mitigation Action
Plan (MAP) issued in September 2010 describes the monitoring and mitigation actions to be
implemented during the design, construction, and demonstration of the Project. DOE prepared the
MAP in accordance with 10 CFR 1021.331.

The MAP contains a Table which lists the resource areas, monitoring requirements, mitigation
commitments, and reporting requirements. These reports are to be submitted as per the frequency
designated in the MAP Table. In addition NETL needs to be kept informed of permit compliance
status and, thus, Recipient will submit copies of compliance reports that MPC has submitted to the
appropriate Federal, State, and local regulatory agencies as well as any Notices of Violation.
During the Demonstration Period, Recipient will also submit periodic summaries of the off-site
disposal of wastes generated during the operation of the Project.

Recipient will have the right to mark information that is included in the environmental reports as
confidential consistent with regulations and the standards of the Freedom of Information Act
and other applicable laws, and DOE will maintain such information as confidential and will not
disclose it.?

C. Except as provided herein, all other terms and conditions and other provisions of the
Cooperative Agreement remain unchanged.

END OF MODIFICATION 007


The following individuals are identified as points of contact under this agreement:

 

 

 

DOE Program Manager/Prefect Officer DOE Award AdministratorlContract Specialist
Diane Revay Madden Mail Stop 922-342(3 Brittley Robbins Mail Stop 921-107

626 Cochrans Mill Road, PO. Box 10940 626 Cochrans Mill Road, P.0. Box 10940
Pittsburgh, PA 15236-0940 Pittsburgh, PA 15236-0940

Phone: 412-386-5931 Phone: 412?386-5430

E-Mail: DianeMadden@netl.doe.gov E?Mail: Brittlev.Robbins@netl.doe.aov

 

 

 

Page 5 of 10

 

 

 C26-06NT42391
Modi?cation 007

 

 

Southern Company Services Principle Investigator

DACTE 

 

Southern Company Services Business Of?cer



 

Page 6 of 10

 

 

ENCLOSURE Io Modification 007 

C- BUDGET PAGES
Budget information - Non Construction Programs - Budget Period 1

OMB Approval No. 034843044

   

Section A - Budget Summary

 

 

 

Estimated Unoblrgated Funds I New or Revised Budget

 

Catalog of Federal Domestic

Grant Program Function or Activity Assistance Number Federal

Non-Federal Federal Non-Federal Total
lb) (0 (Bl (fl is}

 

Fossil Energy 31.089 - BP 1 $9,285,033 $9,285,033 $18,570,066

 

. Fossil Energy R80 81.089 8? 2a $14,233,607 $17,396,631 $31,630,237

 

 

 

1
2

3. Fossil Energy F180 81.089 - BP 2b $270,231,360 $1 ,744,581 ,500 $2,014,812,860
4 .

5

. Totals

 

 

 

$293,750,000 $1 ,771 ?63,164 $2,065,013,164

 

 

 

Section 8 - Budget Categories

 

Grant Program, Function or Activity
(1) Total - 8P 1 (3) 

 

6. Object Class Categories Total (5)

 

Personnel $3,769,589 $3,769,589

 

Fringe Bene?ts

 

Travel $159,413 $159,413

 

 

Supplies

 

a.
b.
c.
d. Equipment . $8,401 ,694 $8,401,594
a.
f.

Contractual $6,002,871 $6,002,871

 

9. Construction

 

h- Other $236,500 $236,500

 

. Total Direct Charges (sum of Bath) $18,570,066 $18,570,066

 

. Indirect Charges

gm

 

k. Totals (sum of Eli-61')

 

 

 

 

 

$18,570 066 $18,570,066

 

 

 

 

 

 

 

 

7. Program income 

 

SF-424A (Rev. 4-92)
Previous Edition Usable Prescribed by OMB Circular A-102

Authorized for Local Reproduction

Page ?7 of 10

ENCLOSURE to Modi?cation 007 

ATTACHMENT c-euossr PAGES 
Budget Information - Non Construction Programs - Budget Period 2a

OMB Approval No. 0348-0044

 

Section A - Budget Summary

 

Catalog of Federw Eslj mated Unobli gated Funds New or Revised Budget

estic 
Dom Nur?gftance Federal Nompederw Federal Non-Federal Total

(C 
. Fossil Energy R80 81.089 - BP 1 $9,285,083 $9,285,083 $18,570,066
2 Fossil Energy 81.089 - BP 2a $14,233,607 $17,396,631 $31,630,237
3. Fossil Energy R810 81.089 - BP 2b $270,231,360 $1 ,744,581 .500 $2,014,812,860
4.
5.

 

Grant Program Function or
Activity

 



 

 

 

 

 

Totals $293,750,000 $1 ,771 263,164 $2,065,013,164
Section - Budget Categories

 

 

 

Grant Program, Function or Activity

6. Object Class Categories (1) Total - 9P 2a (2) Total BP 2a (3) (4)
Phase Ila Phase Illa

a. Personnei $1,460,591 $1,261,023 $2,721,615
to. Fringe Bene?ts
0. Travel $56,034 $17,735 $73,769
. Equipment $1,377,290 $18,362,507 $19,739,797
e. Supplies
f. Contractual $8,448,269 $285,336 $3,733,555
9. Construction 
i1. Other - $2,919 $358,482 $361 ,401
E. Total Direct Charges (sum of 6a~6h) $1 1 ?45,103 $20,285,134 $31,630.237
j. Indirect Charges

k, Totals (sum of 

 

Totai 

 

 

 

 



 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

$11,345,103 $20,285,134 $31,630,237

  

 

      

 

 

7. Program income I 1 

 

3942411 (Rev. 4-92)
Previous Edition Usable Prescribed by OMB Circular A-102

Page 8 of 10

 

ENCLOSURE to Modi?cation 007 (DE-FC26-06NT42391)

ATTACHMENT - BUDGET mess
Budget Information - Non Construction Programs - Budget Period 2b

 

0le Appmvai No. 03480044

 

Section A Budget Summary

 

 

 

Grant Program Function or DCatalotg our: Federal Estimated Unobirgated Funds . New or Revised Budget
Activity Federal Non?Federal Federal Non-Federal Total

(bl (0 . (Q)
1. Fossil Energy 81.089 - BP 1 $9,285,033 $9,285,033 $18,570,066
2. Fossil Energy 81.089 - BP 23 $14,233,607 $17,396,631 $31,630,237
3. Fossil Energy 83:13 81.039 - BP 2b $270,231,360 $1,744,581,500 $2,014,812,860
4.
5.

 

 

 

 

 

 

 

 

 

 

Totals $293,750,000 $1 ,771 ,263,1 64 $2,065,013,1 64
Section - Budget Categories 

 

 

 

Grant Program, Function or Ac?vity

6- Obiect Class Categories [1}Total 2b 213 Phase [3)Total-BP Phase (4)
Phase 111; 

 

Total 

 

 

 

 

a. Personnel
b. Fringe Bene?ts
0. Travel

 

 

 

(1. Equipment

 

e. Supplies -
r. Contractual $1,892,700,101 $122,112,759 $2,014,812.860
g. Construction
11. Other

i. Total Direct Charges {sum 01631-611) $1,892,700,101 $122,112,759 $2,014,812.86)
Indirect Charges

k. Totals (sum ofSi-Bj

 

 

 

 

 

 



 

 

 

 

$1,892,700,101 $122,112,759 $2,014,812,860

        
    

 

   

      

 

    

     

        

   

 

7. Program Income I 

 

SF-424A (Rev. 4.92)
Previous Edition Usable Prescribed by OMB Circular 

Page 9 of 10

ENCLOSURE to Modification 007 (DE-FC26-06NT42391)

ATTACHMENT - BUDGET PAGES
Budget Information - Non Construction Programs - Cumulative

   

0MB Approval No. 0348-0044

 

Section A - Budget Summary

 

 

Grant program Function or Catalog of Federai Domestic Estimated Unobligated Funds New or Revised Budget
Activity Assistance Number Federal Non-Fedora! Federal Non~Federal Total
(9) (C (9)

1. Fossil Energy 81.089 - BP 1 $9,285,033 $9,285,033 $18,570,066
2. Fossil Energy R8D 81.089 - BP 2a $14,233,607 $17,396,631 $31,630,237
3. Fossil Energy 88D 81.089 BP 20 $270,231,360 $1 ,744,581 I500 $2,014,812.860
4.

5.

 

 

 

 

 

 

 

 

 

Totals $293,750,000 $1 ,771 263,164 $2,065,013,164
Section 8- Budget Categories 

Grant Program, Function or Activity

6' 0W Class Total - BP 1 (2) Total . 99 2a Total - BP 29 (4)
Personnel $3,769,589 $2,721 ,615 $6,491 ,204
FringelBene?ts
c. Travel $159,413 $73,769 $233,182
a. Equipment $8,401,694 $19,739,797 $28,141,490
9.



 

 

 

 

 

Total (5)

 

a


 

 

 

 

Supplies

 

. Contractual $6,002,871 $8,733,656 $2,014,812,860 $2,029,549,387
9. Construction I
11. Other $236,500 $361,401 $597,901
1. Total Direct Charges (sum of Ba?Sh) $18,570,066 $31 ?30,237 $2,014,812,860 $2,065,013,164
j. Indirect Charges

k. Totals (sum of 6i?6j) $18,570,066 $31,630,237 $2,014,812,860 $065,013,164

 

 

 

 

 

 

 

 

    
     

    

      

       

          

 

 

 

 

 

 

7. Program income - I 1 I

 

(Rev. 4-92)

Previous Edition Usable Prescribed by OMB Circular A-102
Authorized for Looal Reproduction

Page 10 0f 10