CEC-RFP-1-06-11-Final

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					   Competitive Energy Consortia (CEC)
           1:1 Matching Grant
  Ben Franklin Technology Partners SEP
       REQUEST FOR PROPOSALS


                            DUE DATES

Submission of an e-mail Notice of Intent to Apply:
                 February 14, 2011, 4:00pm

Submission of a Completed Proposal:
                 March 1, 2011, 12:00pm




                                                     CEC Funding Application
                                                                Page 1 of 17
                          Ben Franklin Technology Partners
                         Competitive Energy Consortia (CEC)
                                Request for Proposals
Period of Performance:            Use of funds no later than June 30, 2012
                                  Commercialization no later than June 30, 2014


Size of Award:                    Up to $250,000.00


Eligibility:                      This program is being offered to teams of companies, small and
                                  large. The small company must be the lead applicant and have
                                  facilities within or be willing to relocate to the five-county
                                  Southeastern Pennsylvania region (Bucks, Chester, Delaware,
                                  Philadelphia, and Montgomery). The small company is defined
                                  as having less than $5M in revenue. The large partner company
                                  will be required to have a presence in Pennsylvania and is
                                  defined as having greater than $100M in revenue.


Form of Investment:               Matching Grant


Application Fee:                  $250.00


Company Match:                    1:1 (cash is preferred and will be weighted more heavily in the
                                  review process, but in-kind is acceptable).


Directions for Submission:        Submit completed Notice of Intent to Apply form, via e-
                                  mail to:
                                         khalilah@sep.benfranklin.org


                                  Submit signed hard copy proposal to:

                                  Ms. Khalilah Parham Mangum
                                  Building 100 Innovation Center
                                  4801 South Broad Street, Suite 200
                                  The Navy Yard
                                  Philadelphia, PA 19112
                                             and
                                  E-mail an electronic copy (.Doc OR .PDF) to:
                                         khalilah@sep.benfranklin.org


Letter of Intent Due Date:        February 14, 2011, 4:00pm

Proposal Due Date:                March 1, 2011, 12:00pm


Questions:                        Ms. Khalilah Parham Mangum
                                  khalilah@sep.benfranklin.org
                                  215-972-6700 x3226

                                                                             CEC Funding Application
                                                                                        Page 2 of 17
                                   BFTP/SEP
                      Competitive Energy Consortia (CEC)
                       Request for Proposals for Funding
I.   Program Description

     The Competitive Energy Consortia (CEC) funding program was created by Ben
     Franklin Technology Partners of Southeastern PA (BFTP/SEP) in an effort to
     encourage small company/large company collaboration in the areas of alternative and
     clean-tech energy, with focus on elements of distributed power and clean-tech energy
     including:

         Production technologies - fuel cells, photovoltaic arrays, wind turbines, &
          integrated gasification combined cycle (IGCC) & other clean coal technologies, as
          examples;

         Storage technologies - electrochemical systems (batteries, capacitors),
          electrolytic systems (reverse fuel cells), and mechanical systems such as
          flywheels, thermal systems, & others;

         Power control systems - technologies which integrate & manage the
          production & storage technologies together in increasingly sophisticated ways
          to increase reliability, security, capacity & efficiency., including smart meters ,
          HAN and LAN networks ; and

         Alternative transportation fuels - derived from non-petroleum sources such
          as non -fossil methane, non-fossil natural gas, vegetable oil, and other biomass
          sources.

     The intent of this grant is to leverage large company market position, infrastructure
     and business development expertise with advanced small company energy technology.
     These small company /large company collaborations should create advanced energy
     products with shorter time to market, create sustainable jobs and accelerate regional
     economic growth.

     The CEC provides up to $250,000 in matching funds for the establishment of a small
     company/large company product development program with the ultimate milestone
     leading to a commercialized product(s) within three years.

     Eligibility: This program is being offered to teams of companies, large and small. The
     small company must have facilities within or be willing to relocate to the five-county
     Southeast Pennsylvania region (Bucks, Chester, Delaware, Philadelphia, and

                                                                             CEC Funding Application
                                                                                        Page 3 of 17
   Montgomery). The smaller company is defined as having less than $5M in revenue.
   The large partner company will be required to have a presence in Pennsylvania and is
   defined as having greater than $100M in revenue.

   Request for Proposal submittals will be reviewed by the BFTP/SEP’s Technology
   Commercialization Group, external reviewers and the BFTP/SEP’s Advisory Board.


II. Program Requirements

  A. Use of CEC Funds
  CEC funds must be utilized for the services identified in the proposal. These funds may
  be used for personnel, supplies, prototype development, as well as technical feasibility
  assessment, field testing, travel and other efforts related to the project.

  CEC funds may not be used for the following:
     The purchase of equipment is not an allowable cost.
     University Overhead is not an allowable cost. It can be utilized as match but will
        not be reimbursed under the grant.

  CEC funds must be spent before June 30, 2012; therefore, the proposed project should
  be designed and scaled to be completed accordingly.

  B. Economic Impact
  The major goal of CEC assistance to a company is to help stimulate economic growth in
  the Commonwealth of Pennsylvania (“the Commonwealth”) through the successful
  commercialization of alternative and clean energy technologies. The development of
  revolutionary new products and/or manufacturing process methods is foreseen as
  necessary outcomes of this support. Through this support, BFTP/SEP seeks to
  encourage the growth of technology enterprises throughout the Commonwealth.
  Accordingly, companies awarded funding through this program will be required to
  complete an annual survey to assess derived economic impact during the project
  performance period and for a period of five years from project conclusion.

  C. Federal, State and Municipal Requirements
  Awardees must obtain any required permits and comply with applicable federal, state,
  and municipal laws, codes, and regulations for work performed under this award.


III. Review Process

  A review panel appointed by BFTP/SEP and supplemented, if necessary, by additional
  independent reviewers with relevant expertise, will perform reviews. The review panel
  will review proposals from technology, business, and investment perspectives, and


                                                                        CEC Funding Application
                                                                                   Page 4 of 17
  make funding recommendations to BFTP/SEP for final approval. As part of the review
  process, applicants may be asked to respond to questions from the reviewers via email
  and/or to make a presentation.

  The evaluation of proposals is expected to be completed by the date specified below.
  The schedule below may vary slightly depending on the volume of proposals received:

      Proposals Received:         March 1, 2011, 12:00noon
      Awards Announced:           May 10, 2011

  BFTP/SEP maintains the confidentiality of proposals. Proposals should include
  enough information for reviewers to make informed decisions on the merits of the
  proposed work. All proprietary information should be clearly marked.

  Both technical and commercialization reviews are made to ensure that proposals are
  based on sound scientific and technical principles, that the development and
  commercialization scheme is reasonable, and that the proposals are likely to create
  positive economic benefits and employment in Pennsylvania. While product
  development timelines may vary widely, projects demonstrating near-term progress
  toward timely commercialization and job creation will receive priority consideration.

  The proposal evaluation criteria include:

    Small company /large company collaborations that meet the guidelines of size and
     location
    Commitment of a 1:1 cash and/or in-kind match (preference will be shown to
     applications where the bulk of the match is cash)
    Viable application of alternative energy technology
    IP assets
    Technical feasibility
    Work plan that demonstrates the ability to expend all funds no later than June 30,
     2012
    Qualifications of the company project manager
    Partners in place/all agreements executed; (Prior to funding, if applicable)
    Budget
    Significance of the commercial opportunity
    Adequacy & achievability of work plan & milestones
    Estimated quantitative regional economic impact of the project (i.e., jobs
     created/retained, new processes, new products)
    Near term (1-3 yrs) timeline and requirements for commercialization
    Revenue projections
IV. Post-Award Procedures


                                                                       CEC Funding Application
                                                                                  Page 5 of 17
A. Funding Agreement
BFTP/SEP will enter into a funding agreement with the company. Grant proceeds may
be disbursed as described below. Companies receiving awards through this
solicitation may also be eligible to receive portfolio-related services from BFTP/SEP.

B. Financial
 Funds will be disbursed on a cost-reimbursement basis upon receipt of invoices
  submitted by the company. (The company is responsible for payments to any
  partners.)
 The company may submit invoices monthly or quarterly, as expenses are incurred,
  up to a maximum of 90% of the grant amount.
 The final ten (10) percent may be invoiced together with the final project and
  expenditure reports which must be received no later than thirty (30) days after the
  end of the project period.
 The processing of checks requires a thirty (30) day turnaround.
 Reimbursement forms received that do not follow the invoicing guidelines specified
  in the contract cannot be processed without further action by BFTP/SEP.
 Please be sure to retain all supporting receipts/documentation for the expenses
  claimed in the reimbursement form for a total of six (6) years after the project has
  ended.

C. Reporting
Award recipients are required to submit monthly progress and expenditure reports,
quarterly reports, and a final report as well as be responsive to any requests for
special status reports. The progress report must provide a concise narrative
assessment of the status of work. The expenditure report requires an accounting for
the expenditures of the company and other participating partners incurred during the
project, including match.

D. Project Tracking & Management
BFTP/SEP will actively monitor the projects during the funding period. A BFTP/SEP
contact person will be designated in your grant agreement. This staff person will
conduct periodic site visits, and will be available for advice and consultation.
Companies are encouraged to contact their designated staff person throughout the
project period.

The Commonwealth of Pennsylvania requires an annual performance survey of funded
companies. The survey solicits information on the number of jobs created or retained,
the number of products commercialized, annual revenues, and the amount of private
dollars raised. Companies are required to keep accurate and verifiable records which
can be submitted annually. BFTP/SEP will survey the company for five (5) successive
years following the conclusion of the project period.

                                                                     CEC Funding Application
                                                                                Page 6 of 17
     E. Timetable & Directions for Proposal Submission
     An email of intent can be sent to khalilah@sep.benfranklin.org no later than February
     14, 2011 by 4:00pm (non-mandatory). The email should include all of the information
     on the form titled BFTP/SEP CEC Fund Notice of Intent to Apply.

     Proposals must be received by BFTP/SEP, March 1, 2011 by 12:00noon. All project
     funds must be expended and billed by June 30, 2012.

     If you have any questions regarding the RFP, please contact Khalilah Parham Mangum
     at 215-972-6700 x3226 or khalilah@sep.benfranklin.org .
     F. A complete submission includes:

      Letter of intent e-mailed to: khalilah@sep.benfranklin.org by February 14, 2011,
       4:00pm (non mandatory).
      An electronic submission (.doc or PDF) of the proposal e-mailed to:
       khalilah@sep.benfranklin.org by March 1, 2011, 12:00noon. An original proposal
       bearing all authorized signatures sent to the address on page 2 of this RFP. The
       proposal must include all items listed on the BFTP/SEP CEC Fund Submission
       Checklist included as the last page of this RFP. There is a strict page limit to this
       proposal. Proposals should be assembled in the order below with strict adherence
       to page limits. Any additional items listed below will not be considered in the
       review.
        Cover sheet- 1 page
        Partner Information – 1 page
        Budget- 1 page
        Proposal 12 pages
        Attachments: To include Match letters (1 page each), the resume/curriculum
          vitae of each project team member (1 page per team member); financial
          statements as requested in the proposal and IP description on page 14.




BFTP/SEP reserves the right to terminate, suspend, or modify this RFP process at any time prior to executing an agreement. In the
event of such termination suspension, or modification, BFTP/SEP shall have no obligation or liability to any firm preparing or
submitting proposals in response to this RFP.


                                                 BFTP/SEP CEC Fund

                                                                                                        CEC Funding Application
                                                                                                                   Page 7 of 17
                                    Notice of Intent to Apply

Submit this completed form no later than 4:00pm on February 14, 2011 to:


                         Khalilah Parham Mangum

                         Email:        khalilah@sep.benfranklin.org
                         Phone:        215-972-6700 x3226
                         Fax:          215-972-5588



PROPOSAL TITLE:


One Sentence Description of technology to be developed:




Name of Principal Contact Person:
Title:


Company:
Address:
City:
State:
Zip:


Phone:


E-Mail:


Web Site:




                                                                           CEC Funding Application
                                                                                      Page 8 of 17
                                  PROPOSAL COVER PAGE


Proposal Title:




Lead/Small Company:
Key Contact:             Title:
Department:
Street Address:
City:
State:
Zip:
Phone:
Fax:
E-Mail:            Web Site:


Year Company Started:                              EIN#:
Company Revenue:                             # of Employees:



Large Company:
Key Contact:             Title:
Department:
Street Address:
City:
State:
Zip:
Phone:
Fax:
E-Mail:            Web Site:


Year Company Started:                              EIN#:
Company Revenue:                             # of Employees:




                                                               CEC Funding Application
                                                                          Page 9 of 17
                    BFTP/SEP CEC FUND - PROPOSAL FORMAT

Technical and Commercial Activities
 A. Non-Confidential Executive Summary (1 page)

   Project Description
   Market Need
   Expected Outcomes

B. Identify the participants (1 page)

   Summarize the nature of the company's business, including major products or
     services, and describe how the results of this project will affect that business for
     both companies.

C. Describe the collaboration (1 page)

   Include Detail Related to:
        the product development program to be implemented;
        the product to be commercialized;
        project milestones;
        revenue projections
        how project is relevant to Energy.
   Note: Before a contract is awarded, a collaboration agreement between the small
    and large companies must be fully executed and submitted to BFTP/SEP.

D. Problem Statement (Address each of the following. Use a maximum of two (2) pages.)

   Identify the goals and objectives of the project.
   Describe the present state of the technology that forms the basis of the project.
   What is limiting in the current technology that makes improved technology
    desirable?
   Identify competing technologies and the advantage(s) of the proposed technology.

E. Program of Work (Address the following. Use a maximum of three (3) pages.)

   Describe the method(s) you will use to meet the technical goals. Include any
    preliminary data that support your choice of methodology and the feasibility of the
    proposed project.
   Describe in detail the specific work to be carried out. If applicable, specify the role
    of each participating partner.
   Summarize the facilities available to the project, both at the partner site and at the
    company work site(s).

                                                                          CEC Funding Application
                                                                                    Page 10 of 17
   Describe the roles of all key personnel in the project. Summarize the qualifications
    of the project's management and technical team members, showing how their
    education and work experience qualify them for the project. Append
    resume/curriculum vitae of each team member. (Please attach resumes/CVs to the
    end of the proposal.)

F. Impact on Company (Address each of the following. Use a maximum of two (2) pages.)

   Describe how the results of this project will affect the small business.
   For existing companies with revenues, provide current gross annual sales figures
    and projected increases in sales resulting from this project.
   Project/describe the number of jobs created/retained, new processes/new products
    developed.

G. Commercialization Activities (Address each of the following. Use a maximum of two
  (2) pages.)

   Identify the target market(s) for the product/process to be developed in the project.
    Include market size, potential penetration, target customers, and competition. What
    share of the market does the company expect to capture?
   Provide a summary marketing plan which will be carried out from now until the
    product reaches market. Include personnel, advertising and promotion, pricing
    policies, sales and distribution strategy, etc.
   Describe how the company will manufacture or produce the product developed in
    this project. Include any subcontracting and how the company will conduct quality
    control.
   Discuss the amount of funding needed to fully commercialize the product/process
    and how the company plans to raise these funds.

H. Technical Milestones. Referring to the proposed program of work, list the tasks to be
  accomplished in priority order in each quarter of the project.

       Task to be Performed                       Organization           Quarter
                                                  Performing




                                                                       CEC Funding Application
                                                                                 Page 11 of 17
                       INTELLECTUAL PROPERTY DESCRIPTIONS
Provide title, patent or application numbers (include indication of provisional status),
docket numbers, and titles of all existing Intellectual Property assets involved in this
application.
Patent Title:
Patent/Provisional Application Number:
Docket Number:
Patent Owner:
Is there a license or option to license in place?      Yes           No
What is the new application for the IP assets?




                          (Attach additional sheets if necessary.)




                                                                           CEC Funding Application
                                                                                     Page 12 of 17
                                CEC BUDGET INSTRUCTIONS AND FORMS
   One characteristic of this Fund is that it encourages funding from multiple sources. Budget forms are
   designed to show the amount and nature of the contribution from each source, and how these
   contributions are expended by the various partners in the project.

   Sources of Funds

   A separate column is provided for each type of funding source. Complete only those which apply to your
   project. For each budget line item, indicate the funding amount being contributed by the source. For
   example:
                        CEC            Company        Institution Federal
                        Funds            Cash           Funds     Funding

           Personnel     $25,000        $15,000        $5,000         $10,000
           Consultant    10,000            0           15,000         42,000

   Expenditures

   Expenditures are categorized as: personnel, equipment, consultants and subcontracts, other direct
   expenditures, and indirect costs. Please note the following:

1. Personnel for the project should be listed individually by their place of employment, together with their
    title and their time allocation to the project. Identify all students supported by CEC funds, listing stipends
    and tuition separately.
   University contribution of faculty release time, student stipends, and benefits should be listed as
   university personnel expenditure.

2. Note: Equipment may not be purchased with CEC funds. Funds may, however, be used for the rental
   of equipment. If funds are needed for this purpose the rental cost should be shown in the CEC column
   under Other Direct Costs.
   If the company contributes equipment to the research partner as an outright gift, the full value of the
   equipment (less the standard educational discount) should be listed, under Company In-kind.
   Equipment on loan to the research institution for a limited time should be valued at its annual equivalent
   rental cost.

3. Identify consultants and subcontracts.

4. Other direct costs include materials, cost of equipment use, travel directly related to the R&D or to its
   commercialization, printing, library search fees, etc.
   Any materials purchased or manufactured by the company for the project should be listed as
   expenditures by the company even in the case where they are subsequently given to the research
   institution.

5. The company may not include its indirect costs, which are supported by its own funds, as part of its
   contribution to a project.
   However, any party may include any of its indirect costs which are paid for by federal contract,
   foundation, or other sources as a contribution to the project.

                                                                                            CEC Funding Application
                                                                                                      Page 13 of 17
                                                        CEC Project Proposal Budget

Company:
Project Title:

                                                           CEC              COMPANY FUNDS             INSTIT.      FEDERAL        OTHER
               Budget Category                            FUNDS                                       FUNDS
                                                                           CASH        IN-KIND
A. SENIOR PERSONNEL (Name, title, percent of time; include benefits)




B. OTHER PERSONNEL      (Name, title, percent of time; include benefits)




C. CONSULTANTS / SUBCONTRACTS
University Partner:




D. OTHER DIRECT COSTS
Travel
Supplies




E. INDIRECT COSTS
All Partners                                                N/A                          N/A


F. TOTAL PROJECT COSTS

                      (1) For all federal funding, attach award letter(s). If more than one award, combine totals on this page.




                                                                                                                     CEC Funding Application
                                                                                                                               Page 14 of 17
                                       CEC Application Signature Page
Provide budget for the entire project including match portion. Include all categories that
your institution normally requires for a project budget. NOTE: Funds to company will be
provided upon receipt of invoice and confirmation of matching cash funds.


Amount Requested from BFTP/SEP:                                   $         *

Company Match Commitment:                                         $         *


*Please make sure this amount matches that listed on your project budget sheet.


Disclaimer: The submission of the proposal shall not create any rights on behalf of the
submitter, contractual or otherwise. The submission of a proposal does not constitute or
create any legally binding or enforceable agreement or commitment on the part of
BFTP/SEP other than to maintain the confidentiality of proposal information identified as
confidential. No past or future action, or course of conduct by BFTP/SEP, will give rise to
or serve as a basis for any legally enforceable duties or obligations on BFTP/SEP other
than to maintain the confidentiality of proposal information identified as confidential.

Signature of Authorized Official at Applicant Small Company:
Signature:                                                                                 Date:

Type or Print Name and Title:


Signature of Authorized Official at Applicant Large Company:
Signature:                                                                                 Date:

Type or Print Name and Title:




Funding under this program is made possible by the Commonwealth of Pennsylvania under the Ben Franklin Technology Development
Authority and the Alternative Energy Development Program.




                                                                                                    CEC Funding Application
                                                                                                              Page 15 of 17
                             Evidence of Match Commitment

Evidence of match commitment, typically a letter, must be submitted with the proposal to
BFTP/SEP from each source of support for the project. These commitments may be
contingent on award of the BFTP/SEP funding. A copy of the letter should be addressed to
the principal investigator, or authorized university official. Commitment letters should
follow the format and address the same points as the sample letter that follows:


                                   (Company letterhead)



   Dear__________:

   This letter represents a commitment by (name of company) to provide
   $ _____________ in matching support for the project entitled "____________________". This
   R&D project is the result of joint discussion and agreement between (name of non-
   profit institution) and our company.

   Of this support, $_______ is a cash payment to (name of non-profit institution) to carry
   out its work on this project. [Our company is also giving (name of non-profit
   institution) equipment valued at $_______(its value after discounting the purchase price
   by any applicable educational discount).]

   We are also providing $_________ in in-kind support, including the salary cost of
   personnel, use of company equipment, materials, and other services devoted to this
   project.

   In addition, our company will be receiving $______________________ from (name of funding
   source) to support our work on this project. This support is documented in the
   attached letter from (name of funding source).

   All funding is for the period ending June 30, 2012.
   Our company agrees to abide by the BFTP/SEP program policies & procedures.

   Sincerely,



   Signature
   Title


                                                                             CEC Funding Application
                                                                                       Page 16 of 17
                                          BFTP CEC Fund
                                        Submission Checklist

                  Completed Proposals Must be Received No Later Than:
                              12:00 PM on March 1, 2011

  Proposal Cover Page (Page 9)

  Technical and Commercial Activities (Pages 10-12)
         Executive Summary
         Partnership Information
         Description of Collaboration
         Problem Statement
         Program of Work
         Impact on Companies
         Commercialization Activities
         Technical Milestones

  Budget Instructions and Form (Pages 13-14)
  CEC Application Signature Sheet (Pages 15)
  Supporting Materials
         A copy of the company’s most recent financial statements
        Match Letter on Letterhead
        IP descriptions
        CVs
        Other requirements as noted throughout this document.


A complete submission includes:

     An electronic submission (.doc or .pdf) e-mailed to: khalilah@sep.benfranklin.org
     A delivered original proposal bearing all authorized signatures
     All items in the checklist above

Deliver proposals to:      Building 100 Innovation Center
                           4801 South Broad Street, Suite 200
                           The Navy Yard
                           Philadelphia, PA 19112
                           Attn: Khalilah Parham Mangum

Questions?                 215-972-6700 x3226



                                                                                   CEC Funding Application
                                                                                             Page 17 of 17

				
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