HomeMy WebLinkAbout03022022 PACAB LAYDOWN - Andy Baker DOE Funding Oppty220302 PACAB LAYDOWN
U.S. DEPARTMENT of Office of ENERGY EFFICIENCY Andy Baker Presentation
ENERGY & RENEWABLE ENERGY
Department of Energy (DOE)
Office of Energy Efficiency and Renewable Energy (EERE)
Technical Partnerships FOA
Funding Opportunity Announcement (FOA) Number: DE-FOA-0002573
FOA Type: Initial
CFDA Number: 81.086
FOA Issue Date:
1/25/2022
Submission Deadline for Full Applications:
3/18/2022 5:00pm ET
Expected Submission Deadline for Replies to Reviewer Comments:
4/22/2022 5:00pm ET
Expected Date for EERE Selection Notifications:
6/9/2022
Expected Timeframe for Award Negotiations:
June 2022 - September 2022
• To apply to this FOA, applicants must register with and submit application materials
through EERE Exchange at https://eere-Exchange.energV.gov, EERE's online application
portal.
• Applicants must designate primary and backup points -of -contact in EERE Exchange with
whom EERE will communicate to conduct award negotiations. If an application is
selected for award negotiations, it is not a commitment to issue an award. It is
imperative that the applicant/selectee be responsive during award negotiations and
meet negotiation deadlines. Failure to do so may result in cancelation of further award
negotiations and rescission of the selection.
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U.S. DEPARTMENT of Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Table of Contents
Tableof Contents................................................................................................................................................... ii
I. Funding Opportunity Description.................................................................................................................6
A.
Background and Context.................................................................................................................................6
i. Background and Purpose............................................................................................................................6
ii. Technology Space and Strategic Goals.......................................................................................................7
iii. Diversity, Equity, and Inclusion...................................................................................................................8
B.
Topic Areas....................................................................................................................................................10
C.
Applications Specifically Not of Interest........................................................................................................23
D.
Authorizing Statutes......................................................................................................................................23
II.
Award Information.....................................................................................................................................
23
A.
Award Overview............................................................................................................................................23
i. Estimated Funding....................................................................................................................................23
ii. Period of Performance.............................................................................................................................25
iii. New Applications Only.............................................................................................................................26
B.
EERE Funding Agreements............................................................................................................................26
i. Cooperative Agreements..........................................................................................................................26
ii. Funding Agreements with Federally Funded Research and Development Center (FFRDCs) ...................26
III.
Eligibility Information.................................................................................................................................
27
A.
Eligible Applicants.........................................................................................................................................27
i. Individuals.................................................................................................................................................27
ii. Domestic Entities.....................................................................................................................................27
iii. Foreign Entities.........................................................................................................................................27
iv. Incorporated Consortia............................................................................................................................28
V. Unincorporated Consortia........................................................................................................................28
B.
Cost Sharing...................................................................................................................................................29
i. Legal Responsibility..................................................................................................................................30
ii. Cost Share Allocation................................................................................................................................30
iii. Cost Share Types and Allowability............................................................................................................30
iv. Cost Share Contributions by FFRDCs........................................................................................................31
V. Cost Share Verification.............................................................................................................................31
vi. Cost Share Payment..................................................................................................................................31
C.
Compliance Criteria.......................................................................................................................................32
i. Compliance Criteria..................................................................................................................................32
D.
Responsiveness Criteria.................................................................................................................................33
E.
Other Eligibility Requirements......................................................................................................................33
i. Requirements for DOE/NNSA and non-DOE/NNSA Federally Funded Research and Development
Centers Included as a Subrecipient..........................................................................................................33
F.
Limitation on Full Applications Eligible for Review.......................................................................................34
G.
Questions Regarding Eligibility......................................................................................................................34
IV.
Application and Submission Information....................................................................................................34
A.
Application Process.......................................................................................................................................34
i. Additional Information on EERE Exchange...............................................................................................36
B.
Application Forms.........................................................................................................................................36
C.
Content and Form of the Full Application.....................................................................................................36
i. Full Application Content Requirements....................................................................................................37
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ENERGY
& RENEWABLE ENERGY
ii. Technical Volume.....................................................................................................................................38
iii. Resumes ...................................................................................................................................................
47
iv. Letters of Commitment............................................................................................................................48
V. Statement of Project Objectives (SOPO)..................................................................................................48
vi. SF-424: Application for Federal Assistance...............................................................................................49
vii. Budget Justification Workbook................................................................................................................49
viii. Summary/Abstract for Public Release......................................................................................................49
ix. Summary Slide..........................................................................................................................................50
X. Subrecipient Budget Justification (if applicable)......................................................................................50
xi. Budget for DOE/NNSA FFRDC (if applicable)............................................................................................50
xii. Authorization for non-DOE/NNSA or DOE/NNSA FFRDCs (if applicable).................................................51
xiii. SF-LLL: Disclosure of Lobbying Activities (required).................................................................................51
xiv. Waiver Requests: Foreign Entity and Foreign Work (if applicable)..........................................................51
xv. Diversity, Equity and Inclusion Plan..........................................................................................................52
xvi. Current and Pending Support...................................................................................................................53
D. Content and Form of Replies to Reviewer Comments..................................................................................55
E. Post Selection Information Requests............................................................................................................56
F. Dun and Bradstreet Universal Numbering System (DUNS) Number, Unique Entity Identifier (UEI) and
System for Award Management (SAM)..................................................................................................................56
G. Submission Dates and Times.........................................................................................................................56
H. Intergovernmental Review............................................................................................................................57
I. Funding Restrictions......................................................................................................................................57
i. Allowable Costs........................................................................................................................................57
ii. Pre -Award Costs.......................................................................................................................................57
iii. Performance of Work in the United States (Foreign Work Waiver).........................................................58
iv. Construction.............................................................................................................................................59
V. Foreign Travel...........................................................................................................................................59
vi. Equipment and Supplies...........................................................................................................................59
vii. Domestic Preference — Infrastructure Projects........................................................................................59
viii. Lobbying...................................................................................................................................................60
ix. Risk Assessment........................................................................................................................................60
X. Invoice Review and Approval...................................................................................................................60
V. Application Review Information.................................................................................................................
61
A. Technical Review Criteria..............................................................................................................................61
i. Full Applications.......................................................................................................................................61
ii. Criteria for Replies to Reviewer Comments.............................................................................................64
B. Standards for Application Evaluation............................................................................................................64
C. Other Selection Factors.................................................................................................................................65
i. Program Policy Factors.............................................................................................................................65
D. Evaluation and Selection Process..................................................................................................................65
i. Overview...................................................................................................................................................
65
ii. Pre -Selection Interviews...........................................................................................................................66
iii. Pre -Selection Clarification........................................................................................................................66
iv. Recipient Integrity and Performance Matters..........................................................................................67
V. Selection...................................................................................................................................................67
E. Anticipated Notice of Selection and Award Negotiation Dates....................................................................67
VI. Award Administration Information.............................................................................................................68
A. Award Notices...............................................................................................................................................68
i. Ineligible Submissions...............................................................................................................................68
ii. Concept Paper Notifications.....................................................................................................................68
iii. Full Application Notifications....................................................................................................................68
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iv.
Successful Applicants................................................................................................................................69
V.
Alternate Selection Determinations.........................................................................................................69
vi.
Unsuccessful Applicants...........................................................................................................................69
B. Administrative and National Policy Requirements........................................................................................69
i.
Registration Requirements.......................................................................................................................69
ii.
Award Administrative Requirements.......................................................................................................71
iii.
Foreign National Access............................................................................................................................71
iv.
Subaward and Executive Reporting..........................................................................................................71
V.
National Policy Requirements..................................................................................................................71
vi.
Environmental Review in Accordance with National Environmental Policy Act (NEPA) ..........................71
vii.
Applicant Representations and Certifications..........................................................................................72
viii.
Statement of Federal Stewardship...........................................................................................................74
ix.
Statement of Substantial Involvement.....................................................................................................74
X.
Subject Invention Utilization Reporting....................................................................................................74
xi.
Intellectual Property Provisions................................................................................................................74
xii.
Reporting..................................................................................................................................................75
xiii.
Go/No-Go Review.....................................................................................................................................75
xiv.
Conference Spending................................................................................................................................75
xv.
Uniform Commercial Code (UCC) Financing Statements.........................................................................76
xvi.
Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty ....................76
xvii.
Participants and Collaborating Organizations..........................................................................................76
xviii.
Current and Pending Support...................................................................................................................77
xix.
Conflict of Interest Policy..........................................................................................................................77
xx.
U.S. Manufacturing Commitments...........................................................................................................77
xxi.
Data Management Plan(DMP).................................................................................................................79
VII. Questions/Agency Contacts........................................................................................................................79
Vill. Other Information......................................................................................................................................80
A. FOA Modifications.........................................................................................................................................80
B. Government Right to Reject or Negotiate.....................................................................................................80
C. Commitment of Public Funds........................................................................................................................80
D. Treatment of Application Information..........................................................................................................80
E. Evaluation and Administration by Non -Federal Personnel...........................................................................81
F. Notice Regarding Eligible/Ineligible Activities...............................................................................................81
G. Notice of Right to Conduct a Review of Financial Capability.........................................................................82
H. Requirement for Full and Complete Disclosure............................................................................................82
I. Retention of Submissions..............................................................................................................................82
J. Title to Subject Inventions.............................................................................................................................82
K. Government Rights in Subject Inventions.....................................................................................................83
L. Rights in Technical Data................................................................................................................................84
M. Copyright.......................................................................................................................................................85
N. Export Control...............................................................................................................................................85
O. Personally Identifiable Information (PII).......................................................................................................85
P. Annual Independent Audits..........................................................................................................................86
Appendix A — Cost Share Information..................................................................................................................
87
Appendix B — Sample Cost Share Calculation for Blended Cost Share Percentage................................................92
Appendix C — Waiver Requests and Approval Processes: 1. Foreign Entity Participation as the Prime Recipient;
and 2. Performance of Work in the United States (Foreign Work Waiver)...........................................................94
AppendixE — Glossary..........................................................................................................................................
96
Appendix F — Definition of Technology Readiness Levels.....................................................................................
98
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U.S. DEPARTMENT of Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
AppendixG — List of Acronyms............................................................................................................................99
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
I. Funding Opportunity Description
A. Background and Context
L Background and Purpose
This Funding Opportunity Announcement (FOA) seeks to empower regions to
harness the benefits of a clean energy future. This FOA supports multiple
avenues for localities to improve their energy efficiency, reduce carbon
emissions, and bolster their local workforce through research, development,
demonstration, and deployment (RDD&D) projects for renewable -fueled energy
systems and technical assistance to support manufacturers in adopting
innovative, smart technologies to help better manage their energy use.
Under this FOA, DOE will provide up to $7.5 million to support activities that
drive innovation, deployment, and technical assistance activities for clean energy
technologies that are critical for climate protection under two topics: 1)
Demonstration of advanced technologies in a renewably -supplied district energy
(DE) system that will reduce carbon emissions, and 2) A pilot program for a
Regional Initiative to accelerate the uptake of smart manufacturing technologies
integrated with systematic energy management practices to improve
manufacturing energy efficiency and develop a highly skilled manufacturing
workforce. The activities to be supported under this FOA are authorized under
§911 the Energy Policy Act of 2005, which authorizes programs of "advanced
technologies to improve the energy efficiency, environmental performance, and
process efficiency of energy -intensive and waste -intensive industries."
DE systems and energy management systems have been shown to be two
effective ways for large energy users to improve efficiency, manage emissions,
and bolster competitiveness. The U.S. manufacturing sector uses 25% of the
nation's energy, has an annual energy bill generally exceeding $125 billion, and
accounts for the vast majority of the industrial sector's carbon footprint.
Efficiency improvements in manufacturing not only benefit the industrial sector
but can also impact the energy efficiency and carbon intensity of products used
throughout the economy.
Because manufacturing is highly connected with other sectors of the economy,
manufacturing activities stimulate economic activity beyond the manufacturing
sector itself. Recent reports have indicated that every $1.00 spent in the U.S.
manufacturing sector generates between $1.33 and $1.92 in other services and
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
more production',1—a multiplier higher than that of any other sector.
Manufacturing also has a positive effect on overall employment, with
manufacturing -related employment ranging from mining to warehousing, as well
as engineering, financial, and legal services.3 This FOA supports workforce
development around advanced manufacturing technologies that could have an
even greater multiplier effect on employment than traditional manufacturing
practices.'
Building a clean and equitable energy economy and addressing the climate crisis
is a top priority of the Biden Administration. This FOA will advance the Biden
Administration's goals to achieve carbon pollution -free electricity by 2035 and to
"deliver an equitable, clean energy future, and put the United States on a path to
achieve net -zero emissions, economy -wide, by no later than 2050"5 to the
benefit of all Americans. The Department of Energy is committed to pushing the
frontiers of science and engineering, catalyzing clean energy jobs through
research, development, demonstration, and deployment (RDD&D), and ensuring
environmental justice and inclusion of underserved communities.
The activities to be funded under this FOA will support the government -wide
approach to the climate crisis by driving the innovation that can lead to the
deployment of clean energy technologies, which are critical for climate
protection. As explained above, the activities funded under this FOA will support
the goals of carbon pollution -free electricity by 2035 and net zero GHG emissions
by 2050.
ii. Technology Space and Strategic Goals
To drive manufacturing innovation, spur job creation, and enhance
manufacturing competitiveness, the Advanced Manufacturing Office (AMO)
supports the development of innovative energy efficient and lower carbon -
emitting manufacturing technologies and foundational, cross -cutting
1 "Manufacturing's Multiplier Effect is Stronger than Other Sectors" Manufacturing Institute. Updated April 2014.
Available at: http://www.themanufacturinginstitute.org/Research/Facts-About-Manufacturing/Economy-
andJobs/Multiplier/Multiplier.aspx.
z Stephen Gold. "The Competitive Edge: Manufacturing's Multiplier Effect — It's Bigger Than You Think," by Stephen
Gold, President and CEO, MAPI, IndustryWeek. Posted September 2, 2014. Available at:
http://www.industryweek.com/global-economy/competitive-edge-manufacturings-multiplier-effect-its-biggeryou-
think.
3 Thomas Kurfess. "Why Manufacturing Matters." The American Society of Mechanical Engineers (ASME).
November 2013. Available at: https://www.asme.org/engineering-topics/articles/manufacturing-
processing/whymanufacturing-matters.
' Joint Economic Committee. "Manufacturing Jobs for the Future." December 2013. Available at:
https://www.eec.senate.gov/public/ cache/files/a5c87e25-ff51-4b4f-9ced-2ee4bObeel2f/lec-
manufacturingreport---final-combined-version.pdf.
5 Executive Order 14008, "Tackling the Climate Crisis at Home and Abroad," January 27, 2021.
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manufacturing processes, information, and materials critical to efficient and
competitive domestic manufacturing. AMO's goals include stimulating
technology innovation, improving the energy productivity of U.S. manufacturing
while reducing its carbon footprint, and enabling the manufacture of clean
energy technologies and other cutting -edge products in the United States.
AMO supports research, development, demonstration, technical assistance and
workforce training activities with national laboratories, companies (for -profit and
not -for profit), state and local governments, and universities through
competitive, merit reviewed funding opportunities designed to accelerate
innovation in manufacturing technologies.
This FOA will focus on demonstrating advanced technologies, with an emphasis
on clean, flexible DE systems supplied by renewable energy and future
implementation of regional support for the utilization of smart manufacturing
technologies. Flexible renewable energy capabilities will be leveraged to support
electric power and thermal energy processes.
AMO's vision and mission, as well as the strategic goals, targets, and metrics for
key technology focus areas, are described in the Draft AMO Multi -Year Program
Plan (MYPP).6 AMO's strategic goals supported by this FOA are to:
• Reduce the Greenhouse Gas (GHG) emissions related to U.S. manufacturing
• Leverage diverse domestic renewable energy resources in U.S.
manufacturing, while strengthening environmental stewardship
• Transition DOE supported innovative technologies and practices into U.S.
manufacturing capabilities
• Strengthen and advance the U.S. manufacturing workforce
iii. Diversity, Equity, and Inclusion
It is the policy of the Biden Administration that:
[T]he Federal Government should pursue a comprehensive
approach to advancing equity' for all, including people of color
6 AMO Multi -year Program Plan. Available at: Advanced Manufacturing Office (AMO) Multi -Year Program Plan For
Fiscal Years 2017 Through 2021 1 Department of Energy
' The term "equity" means the consistent and systematic fair, just, and impartial treatment of all individuals,
including individuals who belong to underserved communities that have been denied such treatment, such as
Black, Latino, and Indigenous and Native American persons, Asian Americans and Pacific Islanders and other
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and others who have been historically underserved, marginalized,
and adversely affected by persistent poverty and inequality.
Affirmatively advancing equity, civil rights, racial justice, and equal
opportunity is the responsibility of the whole of our Government.
Because advancing equity requires a systematic approach to
embedding fairness in decision -making processes, executive
departments and agencies (agencies) must recognize and work to
redress inequities in their policies and programs that serve as
barriers to equal opportunity.
By advancing equity across the Federal Government, we can
create opportunities for the improvement of communities that
have been historically underserved, which benefits everyone.$
As part of this whole of government approach, this FOA seeks to encourage the
participation of underserved communities' and underrepresented groups.
Applicants are highly encouraged to include individuals from groups historically
underrepresented10,11 in STEM on their project teams. As part of the application,
persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+)
persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by
persistent poverty or inequality.
8 Executive Order 13985, "Advancing Racial Equity and Support for Underserved Communities Through the Federal
Government" (Jan. 20, 2021).
9 The term "underserved communities" refers to populations sharing a particular characteristic, as well as
geographic communities, that have been systematically denied a full opportunity to participate in aspects of
economic, social, and civic life, as exemplified by the list of in the definition of "equity." E.O. 13985. For purposes
of this FOA, as applicable to geographic communities, applicants can refer to economically distressed communities
identified by the Internal Revenue Service as Qualified Opportunity Zones; communities identified as
disadvantaged or underserved communities by their respective States; communities identified on the Index of
Deep Disadvantage referenced at https://news.umich.edu/new-index-ranks-americas-100-most-disadvantaged-
communities/, and communities that otherwise meet the definition of "underserved communities" stated above.
"According to the National Science Foundation's 2019 report titled, "Women, Minorities and Persons with
Disabilities in Science and Engineering", women, persons with disabilities, and underrepresented minority
groups —blacks or African Americans, Hispanics or Latinos, and American Indians or Alaska Natives —are vastly
underrepresented in the STEM (science, technology, engineering and math) fields that drive the energy sector.
That is, their representation in STEM education and STEM employment is smaller than their representation in the
U.S. population. https://ncses.nsf.gov/pubs/nsfl9304/digest/about-this-report For example, in the U.S., Hispanics,
African Americans and American Indians or Alaska Natives make up 24 percent of the overall workforce, yet only
account for 9 percent of the country's science and engineering workforce. DOE seeks to inspire underrepresented
Americans to pursue careers in energy and support their advancement into leadership positions.
https://www.energy.gov/articles/introducing-minorities-energy-initiative
11 See also. Note that Congress recognized in section 305 of the American Innovation and Competitiveness Act of
2017, Public Law 114-329:
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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applicants are required to describe how diversity, equity, and inclusion
objectives will be incorporated in the project. Specifically, applicants are
required to submit a Diversity, Equity, and Inclusion Plan that describes the
actions the applicant will take to foster a welcoming and inclusive environment,
support people from underrepresented groups in STEM, advance equity, and
encourage the inclusion of individuals from these groups in the project; and the
extent the project activities will be located in or benefit underserved
communities. (See Section IV.C.xv). The plan should include at least one SMART
(Specific, Measurable, Assignable, Realistic and Time -Related) milestone per
budget period supported by metrics to measure the success of the proposed
actions. This plan will be evaluated as part of the technical review process, and
incorporated into the award if selected.
Further, Minority Serving Institutions12, Minority Business Enterprises, Minority
Owned Businesses, Woman Owned Businesses, Veteran Owned Businesses, or
entities located in an underserved community that meet the eligibility
requirements (See Section III) are encouraged to apply as the prime applicant or
participate on an application as a proposed partner to the prime applicant. The
Selection Official may consider the inclusion of these types of entities as part of
the selection decision (See Section V.C.i).
B. Topic Areas
Topic Area 1: Advanced Technology Demonstration in a Renewably Supplied
District Energy System
Topic Area 1 Background: In a district energy (DE) system, a central plant (or
plants) produces steam, hot water, or chilled water distributed through a network
of insulated pipes to provide nearby buildings with space conditioning, domestic
hot water and/or process heating. Providing heating and/or cooling from a central
plant generally increases efficiency, requiring less fuel and reducing greenhouse
gas (GHG) emissions, and displaces the need to install separate space heating and
(1) [I]t is critical to our Nation's economic leadership and global competitiveness that the United
States educate, train, and retain more scientists, engineers, and computer scientists; (2) there is
currently a disconnect between the availability of and growing demand for STEM -skilled workers;
(3) historically, underrepresented populations are the largest untapped STEM talent pools in the
United States; and (4) given the shifting demographic landscape, the United States should
encourage full participation of individuals from underrepresented populations in STEM fields.
12 Minority Serving Institutions (MSIs), including Historically Black Colleges and Universities/Other Minority
Institutions as educational entities recognized by the Office of Civil Rights (OCR), U.S. Department of Education,
and identified on the OCR's Department of Education U.S. accredited postsecondary minorities' institution list. See
https://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.htmI.
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cooling systems in each building. The scale of DE systems allows the use of
technologies, fuels and industrial -grade equipment that would not be economical
in individual buildings, further enhancing efficiency, flexibility and reliability. The
more than 660 DE systems operating in the United States provide heating to an
estimated 5.5 billion square -feet of floor space and cooling to 1.9 billion square -
feet of floor space (2012 data), serving a diverse mix of applications including
college and university campuses, central business districts, residential and mixed -
use clusters, healthcare and research campuses, military bases, industrial facilities
and government complexes13
Sustainability goals and the drive to enhance energy security to support critical
facilities and business continuity are increasing the deployment of combined heat
and power (CHP), microgrids and renewable resources in DE systems. Supplying
district energy with clean energy technologies like renewably -fueled CHP,
biomass, thermal energy storage, geothermal, or solar thermal systems provides
an opportunity to further increase energy efficiency and decrease carbon
emissions. CHP is utilized in 281 district energy systems, providing over 6,700 MW
of capacity and generating 30 million MWh of electricity annually (2012
data).14 Microgrids anchored by efficient CHP and energy storage can further
enhance the resilience of DE systems and enable greater integration of renewable
resources such as geothermal, solar hot water, solar PV and biomass. There are
currently 23 DE systems in the U.S. that utilize geothermal energy to providing
heating serviceS15 and 22 systems that use biomass fuels for all or a portion of
their energy production16
Topic Area 1 Opportunity:
The ability of district energy systems to use local renewable fuel sources such as
biomass, geothermal, or solar thermal, and the flexibility of systems to use
multiple types of energy contributes to the energy security and sustainability of
communities and campuses served by district energy. The use of local low carbon
fuels such as biogas, landfill gas, waste wood, and agricultural waste may avoid
environmental impacts such as landfill methane emissions or overcrowding of
landfills. Furthermore, the economies of scale inherent with district energy
systems enables the use of larger, more efficient, and often less emitting
equipment, and allows the use of more effective emission control technologies.
The use of geothermal or solar thermal resources can significantly reduce the
is Data provided by the International District Energy Association.
14 Report by ICF International, LLC. for the US Energy Information:
https://www.eia.gov/analysis/studies/buildings/districtservices
" National Renewable Energy Laboratory. 2021 U.S. Geothermal Power Production and District Heating Market
Report. https://www.nrel.gov/docs/fy2losti/78291.pdf
" U.S. Energy Information Administration. U.S. District Energy Services Market Characterization. February 2018
https://www.eia.gov/analysis/studies/buildings/districtservices/pdf/districtservices.pdf
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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amount of combustion fuels that are needed to raise steam or hot water to
required temperatures by preheating water or directly fueling low -temperature
DE systems. Systems with multiple fuel options are not solely dependent on a
single resource stream or imported fuel supply, which increases purchasing
options and the ability to adjust as prices fluctuate or supplies are constrained17.
This can strengthen local economies and improve energy security in the near -
term, while providing a platform for communities to plan for a future with
infrastructure that can accommodate a variety of low carbon energy solutions.
Local district energy systems configured with Flexible CHP18, battery or thermal
energy storage, or other renewable sources can be further optimized to deliver
services needed to balance and support stability of the electric grid, especially
during peak times of day or days when demand is high due to extreme
temperatures. This reduces strain on the regional electricity distribution grid, cuts
emissions from peaking units, and avoids causes for brown -outs or black- outs,
thus protecting the local economy. District energy systems with Flexible CHP,
storage, or renewable resources that can efficiently and quickly ramp up and
down when needed in response to signals from grid operators can also support
greater integration of wind and solar generation into the grid and within a DE
system's microgrid itself by mitigating the inherent variability of these resources.
Topic Area 1 Technology Focus: AMO seeks to fund projects that would design,
construct, and demonstrate the use/operation of advanced district energy
systems supplied by renewable resources. Fuel flexible systems and systems
incorporating Flexible CHP, thermal or electric energy storage, or other renewable
sources (ie. biomass, geothermal, solar PV, solar thermal, wind, etc) are further
encouraged and will receive additional consideration. Also of interest is the
conversion of existing fossil -fueled thermal energy generation equipment or CHP
systems in district energy systems to renewable fuels. It is the intent of this
solicitation to establish the technical basis for utilization of renewable energy
systems broadly in district energy applications.
Advanced District Energy Systems: Topic Area 1 seeks demonstration projects to
validate operation and performance of advanced renewably supplied district
1' For example, the dual fuel CHP system at the James H. Quillen Medical Center uses biogas from a nearby landfill
and can use natural gas if biogas is unavailable.
18 DOE recently announced a program to develop Flexible CHP systems that would be able to serve as generation
assets for the grid. Energy Department Selects Seven Projects to Develop Combined Heat and Power Technologies
that Offer Services to the Electric Grid. https://www.energy.gov/eere/articles/energy-department-selects-seven-
proiects-develop-combined-heat-and-power-technologies
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
energy systems that present significant improvement over existing systems. Such
improvements should be in terms of efficiency, reliability, flexibility, criteria
pollutant and carbon emissions and cost competitiveness. Proposals should
describe the innovation drivers and challenges, identify the potential for
replication and the underlying value proposition, quantify the anticipated
pollutant and carbon dioxide emissions reduction potential at the site, and
highlight opportunities for diversity, equity and inclusion as well as environmental
justice and the potential to positively impact underserved communities.
In addition to demonstrating the noted system improvements:
• If the DE system incorporates a micro -grid, it must be able to comply with
the functions defined by applicable reference standards and must be
capable of implementing a communication interface for coordination and
control with the DE system. 19
• The system must meet established grid connection requirements that exist
at the proposed site.
• The system must meet or exceed the criteria pollutant emissions currently
in place at the proposed site.
• Smaller sized units (>100 kWe) may be used to establish system
performance. However, supporting computational models must be able to
extrapolate the efficiency and emissions performance to systems between
1 and 20 MWe. Applicants should describe in their technical approach how
19 Power electronics equipment and controls systems must be designed to enable
engagement of a CHIP system, or other electricity generation system, with the DE system
controls, including the ability to interoperate with multiple dispatchable generation sources
and loads and ability to island from and reconnect with the larger grid; as defined by the
Institute of Electrical and Electronic Engineers (IEEE) 2030.7 - Standard for the Specification of
Microgrid Controllers, and tested per IEEE 2030.8 - Standard for the Testing of Microgrid
Controllers and the stringent requirements for interconnection at the distribution system level
with high penetration of distributed generation, including utility -interactive grid -support
functions, grid stabilizing response to abnormal conditions, and no impacts on power quality
at the manufacturing site and other customer sites on the utility distribution system;
compliance with the IEEE 1547-2018 - Standard for Interconnection and Interoperability of
Distributed Energy Resources with Associated Electric Power Systems Interfaces, and tested
per IEEE P1547.1-2020-Standard for Conformance Test Procedures for Equipment
Interconnecting Distributed Energy Resources with Electric Power Systems and Associated
Interfaces. Power electronics equipment and control systems must be capable of being
integrated into a variety of existing and future CHIP systems without major modifications and
provide a means to meet the IEEE 1547-2018 distribution grid requirement using a wide range
of CHIP generator technologies.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
their technology would be capable of meeting the technical requirements
on a 1-20 MWe system.
Project Phases and Cost Share
The proposed demonstration project should be organized into three distinct
phases:
• Research and development
• Design and testing
• Installation and demonstration.
The cost share for Phase 1 and Phase 2 must be at least 20% of the total allowable
costs (i.e., the sum of the government share, including FFRDC costs if applicable,
and the recipient share of allowable costs equals the total allowable cost of the
project). For Phase 3, the demonstration phase, the cost share must be at least
50% of total allowable costs.
Topic Area 1 Candidate Targets and Metrics: Applications must clearly identify
the starting and ending Technology Readiness Levels (TRLs — see Appendix E for
definitions) for the project and justify the TRLs assigned. Proposed targets and
measurement of progress toward meeting targets must be substantiated. Metrics
should be specific to the proposed technology and must define appropriate
benchmarks or baselines, minimum targets, and stretch targets. Applicants are
encouraged to consider the following metrics as examples:
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Stretch
Baseline
Objective/Goal
Metric
Minimum
Performance/
Target
Cost
Carbon
Reduction in the
20%
40%
Applicant
emissions
carbon emissions at
defined
reduction
the site as a
percent of the
existing site
emissions
System wide
BTUs fuel
20%
40%
Applicant
energy
input/BTUs
defined
efficiency
delivered energy,
above the existing
baseline
Heat recovery
Reduction in the
20%
35%
Applicant
temperature
defined
threshold at which
heat can reliably be
reused, in OF.
Reduced capital
Reduction in US
20%
40%
Applicant
and operating
Dollars relative to
defined
costs
existing baseline
(for operating
costs) or modeled
baseline (for capital
costs)
Resiliency
Increase in number
25%
50%
Applicant
of continuous
defined
operating hours in
the face of an
electric grid outage
For those applications that involve the installation of a flexible CHP system, the
following additional metrics should be addressed:
Objective/Goal
Metric
Minimum
Stretch
Baseline
Target
Target
Performance/
Cost
Reciprocating
30%
32%
Applicant
engine electricity
defined
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
generation
Electricity
efficiency
Turbine electricity
24%
27%
Applicant
generation at
50% load
generation
defined
efficiency
Reciprocating
45%
47%
Applicant
engine electricity
defined
Electricity
generation
generation at
efficiency
Turbine electricity
40%
42%
Applicant
100% load
generation
defined
efficiency
CHP system
Overall CHP system
80%
80%
Applicant
performance
performance at all
defined
loads
Topic Area 2: Regional Initiative to Integrate Smart Manufacturing and Energy
Management Systems
Topic Area 2 Background: The ISO 50001 energy management standard is the
global standard and management model for continual improvement of energy
performance. It impacts manufacturing efficiency, productivity, energy use and
consumption. The international framework for energy management was
developed by 56 countries, and with US leadership provides a flexible roadmap for
organizations to meet their energy performance and carbon objectives while
increasing their competitiveness.
Smart technologies include advanced sensors, controls, software platforms and
data analytics to improve productivity, precision, performance and use of material
and energy resources. Smart manufacturing is the use of these technologies in an
industrial setting and the empowering of workers with training and skills to use
these technologies to create optimized and flexible production environments.
Energy -efficiency related smart technologies include software that collects, tracks,
analyzes, reports, and predicts energy consumption. Smart technologies provide
information that makes energy performance visible so that individuals can make
informed decisions to manage and optimize energy use.
The implementation of an energy management system (EnMS), especially one
based on the ISO 50001 Energy Management System standard, has proven to
result in greater energy savings than the traditional project -by -project method of
approaching energy efficiency and results in more sustainable year -over -year
energy savings. An ISO 50001 certified EnMS establishes a business culture around
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
energy management by building institutional knowledge and engaging staff across
an organization. It mitigates the potential for disruption to energy savings and
decarbonization efforts when personnel change. It also creates a workforce skilled
in identifying opportunities to reduce operating costs, identify potential solutions,
and perform cost justification analyses.
DOE research has found that an ISO 50001 certified energy management system
(EnMS) results in persistent energy and cost savings over the long term, realizing
approximately 4% year over year energy savings vs. 1% for facilities without an
EnMS. Integrating smart technologies is likely to increase year over year savings
while simultaneously reducing associated operating costs. Broad implementation
of ISO 50001 across commercial and industrial sectors globally could drive
cumulative energy savings of approximately 62 exajoules over the next ten years,
saving over $600 billion in energy costs and avoiding 6,500 Mt of CO2 emissions.
The projected annual emissions savings in the year 2030 are equivalent to
removing 215 million passenger vehicles from the road per year20.
The integration of smart technologies reduces operating costs associated with
measuring, collecting, analyzing, and reporting energy performance and carbon
emissions data. Smart technology platforms enable organizations to manage and
maximize the use of resources by providing workers contextualized data for fault
detection, corrective action, monitoring, predictive maintenance, and optimizing
operations.
Topic Area 2 Opportunity: AMO energy management programs increase the
awareness of the benefits of systematic management of energy and help
manufacturing facilities overcome barriers to implementing energy management
systems through training and technical assistance.
About a dozen state agencies, utilities, and regional organizations have programs
that provide technical and financial assistance to help manufacturers implement
energy management systems. These are often referred to as strategic energy
management (SEM) programs. Several SEM programs provide assistance to help
organizations implement energy management information systems (EMIS), which
are combinations of hardware and software that collect, track, analyze, report,
and predict energy consumption. EMISs provides information that makes energy
performance visible so that workers can make informed decisions to manage and
optimize energy use. Only a few SEM programs provide assistance to help
manufacturers implement smart manufacturing technologies like EMIS and
integrate them into their management of energy resources.
21 LBNL, 2016. "Global Impact Estimation of ISO 50001".
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
The adoption of energy management systems and smart technologies are uneven
across industrial sectors and geographic regions. The integration of EnMS and
smart manufacturing technologies will play a critical role in optimizing energy
productivity at the process and plant levels of an organization as well as at the
regional and national levels of the economy. As energy management is
fundamental to managing an organization's carbon footprint, integrating
technology and continuous improvement practices will accelerate the
decarbonization of the industrial sector.
Through the creation of a Regional Initiative in this pilot program, AMO will
expand the delivery of energy saving technical assistance and workforce training
to include energy management related smart technologies and the integration of
them into organizations' energy -related business practices. This pilot program will
fund a single Regional Initiative to run for two years and serve as a test bed of
technical assistance and workforce development practices that catalyze greater
uptake of smart manufacturing technologies and their integration with energy
management systems. The Regional Initiative will provide technical assistance to
industrial facilities and energy -efficiency programs serving the industrial sector.
Technical assistance will include awareness, education, training, instructor
training, and consultation services.
Robust and sustainable energy management requires a trained and skilled
workforce. Through this pilot, workers will gain cross -functional knowledge and
skills in smart manufacturing and energy management and learn how to apply
them to address energy, material, water efficiency, and decarbonization
challenges. Instructors and coaches of existing energy efficiency programs will also
be trained and therein gain new knowledge and skills to help them provide
awareness and training to others.
Figure 1 represents a potential, but not required, structure for the delivery of
technical assistance and workforce development training. Applicants may propose
alternate structures. In this structure, Regional Initiative staff provide awareness,
education, training, and instructor training through a combination of events
organized by the Initiative, events organized by existing state and regional
efficiency programs, and SEM programs implementers. Responsibilities of the
Regional Initiative staff range from leading workshop presentations, to providing
additional expertise at efficiency program events, to providing training on smart
manufacturing integration to the staff of SEM programs.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Awa rdee
(Engagement Provider)
Engagement Pathways
Primary
Engagement Activities
Secondary
Engagement Activities
Regional
Initiative Pilot
Project
Utility Programs. Direct
SEO , NiST MEP Engagement Public Events
with
Other Programs Manufacturers
Education & Consultakion,
Instructor Skills Skills Workshops
Training Development Development
Workshops
Figure 1: Example Regional Initiative project structure
Depending upon the results of this pilot, AMO may elect to fund additional
Regional Initiatives in a future solicitation.
Topic Area 2 Focus: The Regional Initiative will become a force multiplier by
providing technical assistance to existing state, local, and utility -sector industrial
energy efficiency and strategic energy management (SEM) programs that expands
the scope of their services.
The Regional Initiative will help SEM and other types of energy management
programs focus new technical assistance services on manufacturers already
investing in energy management systems to help them evaluate and integrate the
latest smart manufacturing technologies, systematic energy management
practices, and emerging sustainable manufacturing practices. The Regional
Initiative will tailor its structure and services to the make-up of the regional
industrial base and the nature of state and local programs. This will create
flexibility, create opportunities for sharing best practices, and maximize
effectiveness. The Regional Inititiative will also take action to spur opportunities
for underserved communities.
Engagement Activities:
■ Organize public workshops to create awareness
■ Provide education and training directly to manufacturers and through
existing efficiency programs
■ Provide expert speakers to existing programs' training events
■ Provide training to the program trainers, coaches, and staff of existing
regional, state, and local efficiency programs
■ Incorporate diversity, equity and inclusion topics into the eduction and
training (e.g., increasing participation from underserved communities and
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
individuals from groups historically underrepresented in STEM in quality
job training programs)
The initiative will scale its impacts by working with and partnering with other
organizations. It will also create a more sustainable impact by increasing and
enhancing the capabilities of existing programs targeting the industrial sector.
Further, the initiative to should seek to include partners who can help support the
diversity, equity and inclusion objectives.
The Regional Initiative will develop curricula and training tailored to the of local
manufacturers and industrial energy efficiency programs. The Regional Initiative
will use the developed materials to provide awareness, worker training, and
instructor training to manufacturers and to state and local program staffs.
Training will engage professionals from a cross section of a manufacturing
organization. The success of any management system or technology deployment
requires the commitment of senior management and the buy -in of workers
affected by the investments.
Types of workers to be engaged:
■ Engineering
■ Maintenance
■ Production
■ Finance
■ Purchasing
■ Environmental health and safety
■ Sustainability
■ All levels of management
Workers will gain knowledge and skills such as but not limited to:
■ Skills to identify opportunities and implement projects that use smart
technologies to optimize energy and save money
■ Knowledge of how to create standard operating procedures that
automate energy -data collection and analysis.
■ Understanding of how to integrate smart technologies into a plan -do -
check -act continual improvement management system
■ Ability to set up dashboards to simplify and improve decision making
affecting energy use, carbon/GHG reduction, and productivity
The initiative will participate in annual events organized by AMO to share
information with other AMO programs, discuss best practices for delivering
technical assistance, collect feedback, and improve training materials.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
The Regional Initiative will collect performance information to include but not
limited to what is necessary to satisfy performance metrics reporting.
Applicants should have existing staff, program delivery capabilities, and
relationships that enable them to readily deploy resources. They should have
existing engagements with small and medium size manufacturers and efficiency
programs serving them. They should be able to deploy expertise in energy
management systems and smart manufacturing shortly after starting the project.
Elements of Regional Initiative Engagement Strategy
An engagement strategy should include details on how the applicant plans to
develop and deploy a Regional Initiative that can provide awareness, education,
and skills development through multiple channels. It should explain how internal
staff will be trained and then deployed to train workers in manufacturing facilities,
instructors, and energy efficiency program coaches. It should include information
on how the applicant intends to scale impacts beyond its own activities. The
strategy should be supported by descriptions of the resources, capabilities, and
experience the applicant can leverage, such as:
• Partnerships and/or working relationships with regional entities including
state energy offices, utility energy efficiency program administrators,
regional and local energy efficiency programs, program implementers,
local engineering society chapters, trade organizations, NIST
Manufacturing Extension Partnership (MEP) Centers, and university and
trade schools.
• Access to experts with knowledge of smart manufacturing technologies
and their implementation
• Access to experts with knowledge of energy management systems, the ISO
50001 energy management standard, and how to implement and sustain
an EnMS.
• Expertise using smart technologies and management systems to reduce
energy consumption and GHG emissions.
The strategy should address how diversity, equity and inclusion objectives will be
incorporated. In particular, applicants should have a plan to support the inclusion
of individuals from groups historically underrepresented in STEM and to ensure
the investments and benefits reach underserved communities. The strategy
should identify which underserved communities the Regional Initiative will focus
on, the reason for selecting them, and the engagement plan for outreach to
them. The strategy should include anticipated environmental benefits and
investments to disadvantaged communities.
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21
U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
The engagement strategy should be included in the Technical Volume (See Section
V.C.i) Applicants must also submit a Diversity, Equity and Inclusion (DEI) Plan. It
is recognized there may be some overlap between the engagement strategy and
the separate DEI Plan for for Topic Area 2 applications. It is anticipated that the
engagement strategy will summarize the DEI elements, as outlined above, and
applicants will use the DEI Plan to elaborate on those elements, and could
potentially include additional DEI elements.
The strategy should include an assessment of the challenges in standing up a new
technical assistance capability that is focused on merging two distinctly different
but related topics — smart manufacturing and energy management — and a plan
for mitigating and overcoming those challenges. The strategy should describe
activities that will help manufacturers understand and track the connection
between the energy, economic, and environmental benefits of smart
manufacturing and energy management.
Topic Area 2 Candidate Targets and Metrics: AMO considers it critically
important to track awardee performance in order to assess the impacts and long-
term value of this program. Awardee shall provide AMO quarterly data on the
performance metrics listed below. AMO shall use these data to evaluate the
performance of the Awardee and the economic benefits of the program.
Awardee Performance Metrics:
• Increased energy efficiency (per unit or per $) at a process, facility, and/or
multi -facility level (required metric)
• Direct and indirect emission reductions
• Number of project staff trained to provide desired technical assistance
• Number of energy efficiency programs engaged
• Number of instructors/implementers of state, local, and utility efficiency
programs trained
• Support provided by state, regional, and local entities, both as cash and in -
kind
• Number of training events held, such as workshops, instructor trainings,
and coaching sessions
• Number of workers at industrial facilities engaged directly and through
local programs
• Number of companies engaged that integrate smart technologies into their
energy management systems.
• Share of regional industrial energy use represented by firms engaged in
training.
• Diversity of industry subsectors engaged
Other requirements
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
AMO will develop informational and training materials in parallel with this
program. Awardees will participate in the review of these materials and provide
feedback.
Awardee will develop case studies of successful integrations of smart
manufacturing and energy management systems by manufacturers that resulted
in reduced energy consumption, energy costs, and GHG emissions; collaborations
with strategic energy management programs; and impacts those programs have
on their participants. It will work with AMO to publicize these success stories.
All work under EERE funding agreements must be performed in the United States.
See Section IV.I.iii. and Appendix C.
C. Applications Specifically Not of Interest
The following types of applications will be deemed nonresponsive and will not be
reviewed or considered (See Section III.D. of the FOA):
• Applications that fall outside the technical parameters specified in Section I.A.
and I.B. of the FOA.
• Specifically, for Topic 1, any DE system that does not incorporate renewable
power in its operation.
• Specifically, for Topic 2, any technical assistance that promotes vendor -specific
technologies.
• Applications for proposed technologies that are not based on sound scientific
principles (e.g., violates the laws of thermodynamics).
D. Authorizing Statutes
The activities to be supported under this FOA are authorized under § 911 (a)(2)(C)
of the Energy Policy Act of 2005, as codified at 42 U.S.C. § 16191(a)(2)(C).
Awards made under this announcement will fall under the purview of 2 Code of
Federal Regulation (CFR) Part 200 as amended by 2 CFR Part 910.
II. Award Information
A. Award Overview
i. Estimated Funding
EERE expects to make a total of approximately $7,500,000 of federal funding
available for new awards under this FOA, subject to the availability of
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
appropriated funds. EERE anticipates making approximately 2 to 3 awards under
this FOA. EERE may issue one, multiple, or no awards. Individual awards may
vary between $500,000 and $4,000,000.
EERE may issue awards in one, multiple, or none of the following topic areas:
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Anticipated
Anticipated
Minimum
Maximum
Approximate
Topic
Anticipated
Award Size
Award Size
Total
Anticipated
Area
Topic Area Title
Number of
for Any One
for Any One
Federal
Period of
Number
Awards
Individual
Individual
Funding
Performance
A
Award (Fed
Award (Fed
Available for
(months)
Share)
Share)
All Awards
1
Advanced Technology
2-3
$3,000,000
$4,000,000
$7,000,000
24-36
Demonstration in a
Renewably Supplied
District Energy
System
2
Regional Initiative to
1
$500,000
$500,000
$500,000
12-24
Integrate Smart
Manufacturing and
Energy Management
Systems
EERE may establish more than one budget period for each award and fund only
the initial budget period(s). Funding for all budget periods, including the initial
budget period, is not guaranteed. Before the expiration of the initial budget
period(s), EERE may perform a down -select among different recipients and
provide additional funding only to a subset of recipients.
ii. Period of Performance
EERE anticipates making awards that will run from 12 months up to 36 months in
length, comprised of one or more budget periods. Project continuation will be
contingent upon several elements, including satisfactory performance and
Go/No-Go decision review. For a complete list, see Section VI.B.xiii. At the
Go/No-Go decision points, EERE will evaluate project performance, project
schedule adherence, the extent milestone objectives are met, compliance with
reporting requirements, and overall contribution to the program goals and
objectives. As a result of this evaluation, EERE may, at its discretion, authorize
the following actions: (1) continue to fund the project, contingent upon the
availability of funds appropriated by Congress for the purpose of this program
and the availability of future -year budget authority; (2) recommend redirection
of work under the project; (3) place a hold on federal funding for the project,
pending further supporting data or funding; or (4) discontinue funding the
project because of insufficient progress, change in strategic direction, or lack of
funding.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Topic Area Number
Topic Area Title
Estimated Duration of
Award (months)
1
Advanced Technology Demonstration
24-36
in a Renewably Supplied District Energy
System
2
Regional Initiative to Integrate Smart
12-24
Manufacturing and Energy
Management Systems
iii. New Applications Only
EERE will accept only new applications under this FOA. EERE will not consider
applications for renewals of existing EERE-funded awards through this FOA.
B. EERE Funding Agreements
Through cooperative agreements and other similar agreements, EERE provides
financial and other support to projects that have the potential to realize the FOA
objectives. EERE does not use such agreements to acquire property or services
for the direct benefit or use of the United States government.
i. Cooperative Agreements
EERE generally uses cooperative agreements to provide financial and other
support to prime recipients.
Through cooperative agreements, EERE provides financial or other support to
accomplish a public purpose of support or stimulation authorized by federal
statute. Under cooperative agreements, the government and prime recipients
share responsibility for the direction of projects.
EERE has substantial involvement in all projects funded via cooperative
agreement. See Section VI.B.ix of the FOA for more information on what
substantial involvement may involve.
ii. Funding Agreements with Federally Funded Research and
Development Center (FFRDCs)
In most cases, FFRDCs are funded independently of the remainder of the project
team. The FFRDC then executes an agreement with any non-FFRDC project team
members to arrange work structure, project execution, and any other matters.
Regardless of these arrangements, the entity that applied as the prime recipient
for the project will remain the prime recipient for the project.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
III. Eligibility Information
To be considered for substantive evaluation, an applicant's submission must meet the
criteria set forth below. If the application does not meet these eligibility requirements, it
will be considered ineligible and removed from further evaluation.
A. Eligible Applicants
i. Individuals
U.S. citizens and lawful permanent residents are eligible to apply for funding as a
prime recipient or subrecipient.
ii. Domestic Entities
For -profit entities, educational institutions, and nonprofits that are incorporated
(or otherwise formed) under the laws of a particular state or territory of the
United States and have a physical location for business operations in the United
States are eligible to apply for funding as a prime recipient or subrecipient.
Nonprofit organizations described in section 501(c)(4) of the Internal Revenue
Code of 1986 that engaged in lobbying activities after December 31, 1995 are
not eligible to apply for funding.
State, local, and tribal government entities are eligible to apply for funding as a
prime recipient or subrecipient.
DOE/NNSA FFRDCs are eligible to apply for funding as a subrecipient, but are not
eligible to apply as a prime recipient.
Non-DOE/NNSA FFRDCs are eligible to apply for funding as a subrecipient, but
are not eligible to apply as a prime recipient.
Federal agencies and instrumentalities (other than DOE) are eligible to apply for
funding as a subrecipient, but are not eligible to apply as a prime recipient.
iii. Foreign Entities
Foreign entities, whether for -profit or otherwise, are eligible to apply for funding
under this FOA. Other than as provided in the "Individuals" or "Domestic
Entities" sections above, all prime recipients receiving funding under this FOA
must be incorporated (or otherwise formed) under the laws of a state or
territory of the United States and have a physical location for business
operations in the United States. If a foreign entity applies for funding as a prime
recipient, it must designate in the Full Application a subsidiary or affiliate
incorporated (or otherwise formed) under the laws of a state or territory of the
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
United States to be the prime recipient. The Full Application must state the
nature of the corporate relationship between the foreign entity and domestic
subsidiary or affiliate.
Foreign entities may request a waiver of the requirement to designate a
subsidiary in the United States as the prime recipient in the Full Application (i.e.,
a foreign entity may request that it remains the prime recipient on an award). To
do so, the applicant must submit an explicit written waiver request in the Full
Application. Appendix C lists the necessary information that must be included in
a request to waive this requirement. The applicant does not have the right to
appeal EERE's decision concerning a waiver request.
In the waiver request, the applicant must demonstrate to the satisfaction of
EERE that it would further the purposes of this FOA and is otherwise in the
economic interests of the United States to have a foreign entity serve as the
prime recipient. EERE may require additional information before considering the
waiver request.
A foreign entity may receive funding as a subrecipient.
iv. Incorporated Consortia
Incorporated consortia, which may include domestic and/or foreign entities, are
eligible to apply for funding as a prime recipient or subrecipient. For consortia
incorporated (or otherwise formed) under the laws of a state or territory of the
United States, please refer to "Domestic Entities" above. For consortia
incorporated in foreign countries, please refer to the requirements in "Foreign
Entities" above.
Each incorporated consortium must have an internal governance structure and a
written set of internal rules. Upon request, the consortium must provide a
written description of its internal governance structure and its internal rules to
the EERE Contracting Officer.
V. Unincorporated Consortia
Unincorporated Consortia, which may include domestic and foreign entities,
must designate one member of the consortium to serve as the prime
recipient/consortium representative. The prime recipient/consortium
representative must be incorporated (or otherwise formed) under the laws of a
state or territory of the United States. The eligibility of the consortium will be
determined by the eligibility of the prime recipient/consortium representative
under Section III.A. of the FOA.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Upon request, unincorporated consortia must provide the EERE Contracting
Officer with a collaboration agreement, commonly referred to as the articles of
collaboration, which sets out the rights and responsibilities of each consortium
member. This agreement binds the individual consortium members together and
should discuss, among other things, the consortium's:
• Management structure;
• Method of making payments to consortium members;
• Means of ensuring and overseeing members' efforts on the project;
• Provisions for members' cost sharing contributions; and
• Provisions for ownership and rights in intellectual property developed
previously or under the agreement.
B. Cost Sharing
Topic Area 1:
Topic 1 will be broken into three (3) budget periods (corresponding to the phases
described above): research and development (13131), design and testing (13132), and
installation and demonstration (13133). For phases 1 and 2, the cost share must be at
least 20% of the total allowable costs (i.e., the sum of the government share,
including FFRDC costs if applicable, and the recipient share of allowable costs
equals the total allowable cost of the project). For phase 3, the demonstration
phase, the cost share must be at least 50% of total allowable costs. The cost share
must come from non-federal sources unless otherwise allowed by law. (See 2 CFR
200.306 and 2 CFR 910.130 for the applicable cost sharing requirements)
Applications must clearly identify what work and which costs are associated with
each phase.
Topic Area 2: No cost share is required for an Education and Outreach activity.
Topic Area Number
Topic Area Title
Cost Share
Requirement
1
Advanced Technology
20%, 50%
Demonstration in a Renewably
Supplied District Energy System
2
Regional Initiative to Integrate
0%
Smart Manufacturing and Energy
Management Systems
To assist applicants in calculating proper cost share amounts, EERE has included a
cost share information sheet and sample cost share calculation as Appendices A
and B to this FOA.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
i. Legal Responsibility
Although the cost share requirement applies to the project as a whole, including
work performed by members of the project team other than the prime recipient,
the prime recipient is legally responsible for paying the entire cost share. If the
funding agreement is terminated prior to the end of the project period, the
prime recipient is required to contribute at least the cost share percentage of
total expenditures incurred through the date of termination.
The prime recipient is solely responsible for managing cost share contributions
by the project team and enforcing cost share obligation assumed by project
team members in subawards or related agreements.
ii. Cost Share Allocation
Each project team is free to determine how best to allocate the cost share
requirement among the team members. The amount contributed by individual
project team members may vary, as long as the cost share requirement for the
project as a whole is met.
iii. Cost Share Types and Allowability
Every cost share contribution must be allowable under the applicable federal
cost principles, as described in Section IV.I.i. of the FOA. In addition, cost share
must be verifiable upon submission of the Full Application.
Project teams may provide cost share in the form of cash or in -kind
contributions. Cost share may be provided by the prime recipient, subrecipients,
or third parties (entities that do not have a role in performing the scope of
work). Vendors/contractors may not provide cost share. Any partial donation of
goods or services is considered a discount and is not allowable.
Cash contributions include, but are not limited to: personnel costs, fringe costs,
supply and equipment costs, indirect costs and other direct costs.
In -kind contributions are those where a value of the contribution can be readily
determined, verified and justified but where no actual cash is transacted in
securing the good or service comprising the contribution. Allowable in -kind
contributions include, but are not limited to: the donation of volunteer time or
the donation of space or use of equipment.
Project teams may use funding or property received from state or local
governments to meet the cost share requirement, so long as the funding was not
provided to the state or local government by the federal government.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
The prime recipient may not use the following sources to meet its cost share
obligations including, but not limited to:
• Revenues or royalties from the prospective operation of an activity beyond
the project period;
• Proceeds from the prospective sale of an asset of an activity;
• Federal funding or property (e.g., federal grants, equipment owned by the
federal government); or
• Expenditures that were reimbursed under a separate federal program.
Project teams may not use the same cash or in -kind contributions to meet cost
share requirements for more than one project or program.
Cost share contributions must be specified in the project budget, verifiable from
the prime recipient's records, and necessary and reasonable for proper and
efficient accomplishment of the project. As all sources of cost share are
considered part of total project cost, the cost share dollars will be scrutinized
under the same federal regulations as federal dollars to the project. Every cost
share contribution must be reviewed and approved in advance by the
Contracting Officer and incorporated into the project budget before the
expenditures are incurred.
Applicants are encouraged to refer to 2 CFR 200.306 as amended by 2 CFR
910.130 for additional cost sharing requirements.
iv. Cost Share Contributions by FFRDCs
Because FFRDCs are funded by the federal government, costs incurred by FFRDCs
generally may not be used to meet the cost share requirement. FFRDCs may
contribute cost share only if the contributions are paid directly from the
contractor's Management Fee or another non-federal source.
V. Cost Share Verification
Applicants are required to provide written assurance of their proposed cost
share contributions in their Full Applications.
Upon selection for award negotiations, applicants are required to provide
additional information and documentation regarding their cost share
contributions. Please refer to Appendix A of the FOA.
vi. Cost Share Payment
EERE requires prime recipients to contribute the cost share amount
incrementally over the life of the award. Specifically, the prime recipient's cost
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
share for each billing period must always reflect the overall cost share ratio
negotiated by the parties (i.e., the total amount of cost sharing on each invoice
when considered cumulatively with previous invoices must reflect, at a
minimum, the cost sharing percentage negotiated). As FFRDC funding will be
provided directly to the FFRDC(s) by DOE, prime recipients will be required to
provide project cost share at a percentage commensurate with the FFRDC costs,
on a budget period basis, resulting in a higher interim invoicing cost share ratio
than the total award ratio.
In limited circumstances, and where it is in the government's interest, the EERE
Contracting Officer may approve a request by the prime recipient to meet its
cost share requirements on a less frequent basis, such as monthly or quarterly.
Regardless of the interval requested, the prime recipient must be up-to-date on
cost share at each interval. Such requests must be sent to the Contracting Officer
during award negotiations and include the following information: (1) a detailed
justification for the request; (2) a proposed schedule of payments, including
amounts and dates; (3) a written commitment to meet that schedule; and (4)
such evidence as necessary to demonstrate that the prime recipient has
complied with its cost share obligations to date. The Contracting Officer must
approve all such requests before they go into effect.
C. Compliance Criteria
Full Applications and Replies to Reviewer Comments must meet all compliance
criteria listed below or thev will be considered noncompliant. EERE will not
review or consider noncompliant submissions, including Full Applications and
Replies to Reviewer Comments that were: submitted through means other than
EERE Exchange; submitted after the applicable deadline; and/or submitted
incomplete. EERE will not extend the submission deadline for applicants that fail
to submit required information by the applicable deadline due to
server/connection congestion.
i. Compliance Criteria
Full Applications
Full Applications are deemed compliant if:
• The applicant submitted a compliant Letter of Intent and Concept
Paper;
• The Full Application complies with the content and form
requirements in Section IV.C. of the FOA; and
• The applicant successfully uploaded all required documents and
clicked the "Submit" button in EERE Exchange by the deadline stated
in the FOA.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
ii. Replies to Reviewer Comments
Replies to Reviewer Comments are deemed compliant if:
• The Reply to Reviewer Comments complies with the content and
form requirements in Section IV.D. of the FOA; and
• The applicant successfully uploaded all required documents to EERE
Exchange by the deadline stated in the FOA.
D. Responsiveness Criteria
All "Applications Specifically Not of Interest," as described in Section I.C. of the
FOA, are deemed nonresponsive and are not reviewed or considered.
E. Other Eligibility Requirements
i. Requirements for DOE/NNSA and non-DOE/NNSA Federally Funded
Research and Development Centers Included as a Subrecipient
DOE/NNSA and non-DOE/NNSA FFRDCs may be proposed as a subrecipient on
another entity's application subject to the following guidelines:
i. Authorization for non-DOE/NNSA FFRDCs
The federal agency sponsoring the FFRDC must authorize in writing the use
of the FFRDC on the proposed project and this authorization must be
submitted with the application. The use of a FFRDC must be consistent with
its authority under its award.
ii. Authorization for DOE/NNSA FFRDCs
The cognizant Contracting Officer for the FFRDC must authorize in writing the
use of the FFRDC on the proposed project and this authorization must be
submitted with the application. The following wording is acceptable for this
authorization:
Authorization is granted for the Laboratory to participate in the
proposed project. The work proposed for the laboratory is consistent
with or complementary to the missions of the laboratory, and will not
adversely impact execution of the DOE assigned programs at the
laboratory.
iii. Value/Funding
The value of and funding for the FFRDC portion of the work will not normally
be included in the award to a successful applicant. Usually, DOE will fund a
DOE/NNSA FFRDC contractor through the DOE field work proposal (WP)
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
system and non-DOE/NNSA FFRDC through an interagency agreement with
the sponsoring agency.
iv. Cost Share
Although the FFRDC portion of the work is usually excluded from the award
to a successful applicant, the applicant's cost share requirement will be
based on the total cost of the project, including the applicant's, the
subrecipient's, and the FFRDC's portions of the project.
v. Responsibility
The prime recipient will be the responsible authority regarding the
settlement and satisfaction of all contractual and administrative issues
including, but not limited to disputes and claims arising out of any agreement
between the prime recipient and the FFRDC contractor.
vi. Limit on FFRDC Effort
The scope of work to be performed by the FFRDC may not be more
significant than the scope of work to be performed by the applicant.
F. Limitation on Full Applications Eligible for Review
An entity may only submit one Full Application to each topic in this FOA. Each Full
Application must address no more than one topic area identified in Section I.B. of
the FOA. If an entity submits more than one Full Application to a single topic, EERE
will request a determination from the applicant's authorizing representative as to
which application should be reviewed. Any other submissions received listing the
same entity as the applicant will not be eligible for further consideration. This
limitation does not prohibit an applicant from collaborating on other applications
(e.g., as a potential subrecipient or partner) so long as the entity is only listed as
the applicant on one Full Application submitted under this FOA.
G. Questions Regarding Eligibility
EERE will not make eligibility determinations for potential applicants prior to the
date on which applications to this FOA must be submitted. The decision whether
to submit an application in response to this FOA lies solely with the applicant.
IV. Application and Submission Information
A. Application Process
The application process will include a Full Application phase.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
At each phase, EERE performs an initial eligibility review of the applicant
submissions to determine whether they meet the eligibility requirements of
Section III. of the FOA. EERE will not review or consider submissions that do not
meet the eligibility requirements of Section III. All submissions must conform to
the following form and content requirements, including maximum page lengths
(described below) and must be submitted via EERE Exchange at https://eere-
Exchanie.eneroy.aov, unless specifically stated otherwise. EERE will not review
or consider submissions submitted through means other than EERE Exchange,
submissions submitted after the applicable deadline, or incomplete
submissions. EERE will not extend deadlines for applicants who fail to submit
required information and documents due to server/connection congestion.
A Control Number will be issued when an applicant begins the EERE Exchange
application process. This control number must be included with all application
documents, as described below.
The Concept Paper, Full Application, and Reply to Reviewer Comments must
conform to the following requirements:
• Each must be submitted in Adobe PDF format unless stated otherwise;
• Each must be written in English;
• All pages must be formatted to fit on 8.5 x 11 inch paper with margins not less
than one inch on every side. Use Calibri typeface, a black font color, and a font
size of 12 point or larger (except in figures or tables, which may be 10 point
font). A symbol font may be used to insert Greek letters or special characters,
but the font size requirement still applies. References must be included as
footnotes or endnotes in a font size of 10 or larger. Footnotes and endnotes
are counted toward the maximum page requirement;
• The Control Number must be prominently displayed on the upper right corner
of the header of every page. Page numbers must be included in the footer of
every page; and
• Each submission must not exceed the specified maximum page limit, including
cover page, charts, graphs, maps, and photographs when printed using the
formatting requirements set forth above and single spaced. If applicants
exceed the maximum page lengths indicated below, EERE will review only the
authorized number of pages and disregard any additional pages.
Applicants are responsible for meeting each submission deadline. Applicants are
stron0v encouraL-ed to submit their Full ADDlications. and Replies to Reviewer
Comments at least 48 hours in advance of the submission deadline. Under
normal conditions (i.e., at least 48 hours in advance of the submission deadline),
applicants should allow at least 1 hour to submit a Application, or Reply to
Reviewer Comments. Once the Full Application, or Reply to Reviewer Comments
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
is submitted in EERE Exchange, applicants may revise or update that submission
until the expiration of the applicable deadline. If changes are made to any of
these documents, the applicant must resubmit the Full Application, or Reply to
Reviewer Comments before the applicable deadline.
EERE urges applicants to carefully review their Full Applications, and Replies to
Reviewer Comments to allow sufficient time for the submission of required
information and documents. All Full Applications that pass the initial eligibility
review will undergo comprehensive technical merit review according to the
criteria identified in Section V.A.i. of the FOA.
i. Additional Information on EERE Exchange
EERE Exchange is designed to enforce the deadlines specified in this FOA. The
"Apply" and "Submit" buttons will automatically disable at the defined
submission deadlines. Should applicants experience problems with EERE
Exchange, the following information may be helpful.
Applicants that experience issues with submission PRIOR to the FOA deadline: In
the event that an applicant experiences technical difficulties with a submission,
the applicant should contact the EERE Exchange helpdesk for assistance (EERE-
ExchangeSupport@hq.doe.gov). The EERE Exchange helpdesk and/or the EERE
Exchange system administrators will assist applicants in resolving issues.
B. Application Forms
The application forms and instructions are available on EERE Exchange. To access
these materials, go to https://eere-Exchange.energy.gov and select the
appropriate funding opportunity number.
Note: The maximum file size that can be uploaded to the EERE Exchange website
is 10MB. Files in excess of 10MB cannot be uploaded, and hence cannot be
submitted for review. If a file exceeds 10MB but is still within the maximum page
limit specified in the FOA, it must be broken into parts and denoted to that
effect. For example:
Tech nicalVolume—Pa rt_1
Tech nicalVolume—Pa rt 2
C. Content and Form of the Full Application
Applicants must submit a Full Application by the specified due date and time to
be considered for funding under this FOA. Applicants must complete the
following application forms found on the EERE Exchange website at https://eere-
Exchanie.eneriy.gov/, in accordance with the instructions.
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36
U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
All Full Application documents must be marked with the Control Number issued
to the applicant. Applicants will receive a control number upon clicking the
"Create Full Application" button in EERE Exchange, and should include that
control number in the file name of their Full Application submission (i.e., Control
number Applicant Name Full Application).
i. Full Application Content Requirements
EERE will not review or consider ineligible Full Applications (see Section III. of the
FOA).
Each Full Application shall be limited to a single concept or technology.
Unrelated concepts and technologies shall not be consolidated in a single Full
Application. Full Applications must conform to the following requirements:
Topic Areas 1 and 2:
Component
File Format
Page Limit
Technical Volume
PDF
Topic 1 - 20
Topic 2 — 10
Resumes
PDF
1
Letters of Commitment
PDF
1
Statement of Project Objectives
MS Word
5
SF-424
PDF
Budget Justification Workbook
MS Excel
Summary/Abstract for Public Release
PDF
1
Summary Slide
MS PowerPoint
1
Subrecipient Budget Justification
MS Excel
DOE Work Proposal for FFRDC, if applicable (see DOE 0
412.1A, Attachment 3)
PDF
Authorization from cognizant Contracting Officer for FFRDC
PDF
SF-LLL Disclosure of Lobbying Activities
PDF
Foreign Entities and Foreign Work
PDF
Diversity, Equity and Inclusion Plan
PDF
5
Note: The maximum file size that can be uploaded to the EERE Exchange website
is 10MB. Files in excess of 10MB cannot be uploaded, and hence cannot be
submitted for review. If a file exceeds 10MB but is still within the maximum page
limit specified in the FOA it must be broken into parts and denoted to that effect.
For example:
TechnicalVolume_Part _1
Tech nicalVolume—Part-2
EERE will not accept late submissions that resulted from technical difficulties
due to uDloading files that exceed 10MB.
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37
U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
EERE provides detailed guidance on the content and form of each component
below.
ii. Technical Volume
The Technical Volume must be submitted in PDF format. The Technical Volume
must conform to the following content and form requirements, including
maximum page lengths. If applicants exceed the maximum page lengths
indicated below, EERE will review only the authorized number of pages and
disregard any additional pages. This volume must address the Merit Review
Criteria as discussed in Section V.A.i. of the FOA. Save the Technical Volume in a
single PDF file.
Applicants must provide sufficient citations and references to the primary
research literature to justify the claims and approaches made in the Technical
Volume. However, EERE and reviewers are under no obligation to review cited
sources.
The Technical Volume to the Full Application may not be more than the number
of pages specified in the table below, including the cover page, table of contents,
and all citations, charts, graphs, maps, photos, or other graphics, and must
include all of the information in the table below. The applicant should consider
the weighting of each of the evaluation criteria (see Section V.A.i of the FOA)
when preparing the Technical Volume.
Topic Area Number
Topic Area Title
Page Limit
1
Advanced Technology
20
Demonstration in a Renewably
Supplied District Energy
System
2
Regional Initiative to Integrate
10
Smart Manufacturing and
Energy Management Systems
The Technical Volume must conform to the following content requirements:
TOPIC 1
SECTION/PAGE LIMIT
DESCRIPTION
Cover Page
The cover page should include the project title, the specific FOA Topic Area
being addressed, both the technical and business points of contact, names
of all team member organizations, names of senior/key personnel and their
organizations„ and any statements regarding confidentiality.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Project Overview
(Approximately 10% of
the Technical Volume)
The Project Overview should contain the following information:
• Background: The applicant should discuss the background of their
organization, including the history, successes, and current research
and development status (i.e., the technical baseline) relevant to
the technical topic being addressed in the Full Application.
• Project Goal: The applicant should explicitly identify the targeted
improvements to the baseline technology and the critical success
factors in achieving that goal.
• DOE Impact: The applicant should discuss the impact that DOE
funding would have on the proposed project. Applicants should
specifically explain how DOE funding, relative to prior, current, or
anticipated funding from other public and private sources, is
necessary to achieve the project objectives.
Technical Description,
The Technical Description should contain the following information:
Innovation, and Impact
• Relevance and Outcomes: The applicant should provide a detailed
(Approximately 30% of
description of the technology, including the scientific and other
the Technical Volume)
principles and objectives that will be pursued during the project.
This section should describe the relevance of the proposed project
to the goals and objectives of the FOA, including the potential to
meet specific DOE technical targets or other relevant performance
targets. The applicant should clearly specify the expected
outcomes of the project.
• Feasibility: The applicant should demonstrate the technical
feasibility of the proposed technology and capability of achieving
the anticipated performance targets, including a description of
previous work done and prior results.
• Innovation and Impacts: The applicant should describe the current
state-of-the-art in the applicable field, the specific innovation of
the proposed technology, the advantages of proposed technology
over current and emerging technologies, and the overall impact on
advancing the state-of-the-art/technical baseline if the project is
successful.
Workplan and Market
The Workplan should include a summary of the Project Objectives,
Transformation Plan
Technical Scope, Work Breakdown Structure (WBS), Milestones, Go/No-Go
(Approximately 40% of
Decision Points, and Project Schedule. A detailed SOPO is separately
the Technical Volume)
requested. The Workplan should contain the following information:
• Project Objectives: The applicant should provide a clear and
concise (high-level) statement of the goals and objectives of the
project as well as the expected outcomes.
• Technical Scope Summary: The applicant should provide a
summary description of the overall work scope and approach to
achieve the objective(s). The overall work scope is to be divided by
performance periods that are separated by discrete, approximately
annual decision points (see below for more information on Go/No-
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Go decision points). The applicant should describe the specific
expected end result of each performance period.
WBS and Task Description Summary: The Workplan should
describe the work to be accomplished and how the applicant will
achieve the milestones, will accomplish the final project goal(s),
and will produce all deliverables. The Workplan is to be structured
with a hierarchy of performance period (approximately annual),
task and subtasks, which is typical of a standard WBS for any
project. The Workplan shall contain a concise description of the
specific activities to be conducted over the life of the project. The
description shall be a full explanation and disclosure of the project
being proposed (i.e., a statement such as "we will then complete a
proprietary process" is unacceptable). It is the applicant's
responsibility to prepare an adequately detailed task plan to
describe the proposed project and the plan for addressing the
objectives of this FOA. The summary provided should be consistent
with the SOPO. The SOPO will contain a more detailed description
of the WBS and tasks.
Milestone Summary: The applicant should provide a summary of
appropriate milestones throughout the project to demonstrate
success. A milestone may be either a progress measure (which can
be activity based) or a SMART technical milestone. SMART
milestones should be Specific, Measurable, Achievable, Relevant,
and Timely, and must demonstrate a technical achievement rather
than simply completing a task. Unless otherwise specified in the
FOA, the minimum requirement is that each project must have at
least one milestone per quarter for the duration of the project
with at least one SMART technical milestone per year (depending
on the project, more milestones may be necessary to
comprehensively demonstrate progress). The applicant should also
provide the means by which the milestone will be verified. The
summary provided should be consistent with the Milestone
Summary Table in the SOPO.
Go/No-Go Decision Points: The applicant should provide a
summary of project -wide Go/No-Go decision points at appropriate
points in the Workplan. A Go/No-Go decision point is a risk
management tool and a project management best practice to
ensure that, for the current phase or period of performance,
technical success is definitively achieved and potential for success
in future phases or periods of performance is evaluated, prior to
actually beginning the execution of future phases. At a minimum,
each project must have at least one project -wide Go/No-Go
decision point for each budget period (12 to 18-month period) of
the project. See Section VI.B.xiv. The applicant should also provide
the specific technical criteria to be used to evaluate the project at
the Go/No-Go decision point. The summary provided should be
consistent with the SOPO. Go/No-Go decision points are
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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considered "SMART" and can fulfill the requirement for an annual
SMART milestone.
• End of Project Goal: The applicant should provide a summary of
the end of project goal(s). At a minimum, each project must have
one SMART end of project goal. The summary provided should be
consistent with the SOPO.
• Project Schedule (Gantt Chart or similar): The applicant should
provide a schedule for the entire project, including task and
subtask durations, milestones, and Go/No-Go decision points.
• Project Management: The applicant should discuss the team's
proposed management plan, including the following:
o The overall approach to and organization for managing the
wo rk
o The roles of each project team member
o Any critical handoffs/interdependencies among project
team members
o The technical and management aspects of the
management plan, including systems and practices, such
as financial and project management practices
o The approach to project risk management
o A description of how project changes will be handled
o If applicable, the approach to Quality Assurance/Control
o How communications will be maintained among project
team members
Market Transformation Plan: The applicant should provide a
market transformation plan, including the following:
o Identification of target market, competitors, and
distribution channels for proposed technology along with
known or perceived barriers to market penetration,
including a mitigation plan
o Identification of a product development and/or service
plan, commercialization timeline, financing, product
marketing, legal/regulatory considerations including
intellectual property, infrastructure requirements, data
dissemination, and product distribution.
A substantive techno-economic analysis that provides the
estimated cost of a commercially available system.
Technical Qualifications The Technical Qualifications and Resources should contain the following
and Resources information:
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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(Approximately 20% of • Describe the project team's unique qualifications and expertise,
the Technical ) including those of key subrecipients.
• Describe the project team's existing equipment and facilities that
will facilitate the successful completion of the proposed project;
include a justification of any new equipment or facilities requested
as part of the project.
• This section should also include relevant, previous work efforts,
demonstrated innovations, and how these enable the applicant to
achieve the project objectives.
• Describe the time commitment of the key team members to
support the project.
• Describe the technical services to be provided by DOE/NNSA
FFRDCs, if applicable.
• For multi -organizational or multi -investigator projects, describe
succinctly:
o The roles and the work to be performed by each PI and
Key Personnel;
o Business agreements between the applicant and each PI
and Key Personnel;
0
o How the various efforts will be integrated and managed;
o Process for making decisions on scientific/technical
direction;
o Publication arrangements;
o Intellectual Property issues; and
o Communication plans
TOPIC 2
SECTION/PAGE
LIMIT
DESCRIPTION TOPIC 2
Cover Page
The cover page should include the project title, the specific
FOA Topic Area being addressed, both the technical and
business points of contact, names of all team member
organizations, names of senior/key personnel and their organizations,
and any statements regarding confidentiality.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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Project Overview
The Project Overview should contain the following
(Approximately
information:
10% of the
• Background: The applicant should discuss the
Technical Volume)
background of their organization, including the history,
successes, and current technical assistance activities
relevant to the technical topic being addressed in the
Full Application.
• Project Goal: The applicant should describe how
proposed activities are additional to existing activities
and how they contribute to successfully achieving goals
of the FOA.
• DOE Impact: The applicant should discuss the impact
that DOE funding would have on the proposed project.
Applicants should specifically explain how DOE funding,
relative to prior, current, or anticipated funding from
other public and private sources, is necessary to
achieve the project objectives.
Project
The Project Description should contain the following
Description,
information:
Innovation, and
• Relevance and Outcomes: The applicant should provide
Impact
a detailed description of the technical assistance
(Approximately
activities, including the economic development
30% of the
objectives that will be pursued during the project. This
Technical Volume)
section should describe the relevance of the proposed
project to the goals and objectives of the FOA. The
applicant should clearly specify the expected outcomes
of the project.
• Feasibility: The applicant should demonstrate the
feasibility of the proposed activities and capability of
achieving the anticipated performance targets,
including a description of previous work done and prior
results.
• Innovation and Impacts: The applicant should describe
the current state-of-the-art in the applicable field, the
specific innovation of the proposed technical assistance
and the advantages it offers over current practices.
Workplan, Market
The Workplan should include a summary of the Project
Transformation
Objectives, Technical Scope, Work Breakdown Structure
Plan and
(WBS), Milestones, Go/No-Go Decision Points, and Project
Engagement
Schedule. A detailed SOPO is separately requested. The
Strategy(Approxim
Workplan should contain the following information:
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U.S. DEPARTMENT OF i office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
ately 40% of the • Project Objectives: The applicant should provide a clear
Technical Volume) and concise (high-level) statement of the goals and
objectives of the project as well as the expected
outcomes.
Technical Scope Summary: The applicant should
provide a summary description of the overall work
scope and approach to achieve the objective(s). The
overall work scope is to be divided by performance
periods that are separated by discrete, approximately
annual decision points (see below for more information
on Go/No-Go decision points). The applicant should
describe the specific expected end result of each
performance period.
• WBS and Task Description Summary: The Workplan
should describe the work to be accomplished and how
the applicant will achieve the milestones, will
accomplish the final project goal(s), and will produce all
deliverables. The Workplan is to be structured with a
hierarchy of performance period (approximately
annual), task and subtasks, which is typical of a
standard WBS for any project. The Workplan shall
contain a concise description of the specific activities to
be conducted over the life of the project. The
description shall be a full explanation and disclosure of
the project being proposed (i.e., a statement such as
"we will then complete a proprietary process" is
unacceptable). It is the applicant's responsibility to
prepare an adequately detailed task plan to describe
the proposed project and the plan for addressing the
objectives of this FOA. The summary provided should
be consistent with the SOPO. The SOPO will contain a
more detailed description of the WBS and tasks.
Milestone Summary: The applicant should provide a
summary of appropriate milestones throughout the
project to demonstrate success. A milestone may be
either a progress measure (which can be activity based)
or a SMART technical milestone. SMART milestones
should be Specific, Measurable, Achievable, Relevant,
and Timely, and must demonstrate a technical
achievement rather than simply completing a task.
Unless otherwise specified in the FOA, the minimum
requirement is that each project must have at least one
milestone aer auarter for the duration of the aroiect
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
with at least one SMART technical milestone per year
(depending on the project, more milestones may be
necessary to comprehensively demonstrate progress).
The applicant should also provide the means by which
the milestone will be verified. The summary provided
should be consistent with the Milestone Summary
Table in the SOPO.
Go/No-Go Decision Points: The applicant should
provide a summary of project -wide Go/No-Go decision
points at appropriate points in the Workplan. A Go/No-
Go decision point is a risk management tool and a
project management best practice to ensure that, for
the current phase or period of performance, technical
success is definitively achieved and potential for
success in future phases or periods of performance is
evaluated, prior to actually beginning the execution of
future phases. At a minimum, each project must have
at least one project -wide Go/No-Go decision point for
each budget period (12 to 18-month period) of the
project. See Section VI.B.xiv. The applicant should also
provide the specific technical criteria to be used to
evaluate the project at the Go/No-Go decision point.
The summary provided should be consistent with the
SOPO. Go/No-Go decision points are considered
"SMART" and can fulfill the requirement for an annual
SMART milestone.
End of Project Goal: The applicant should provide a
summary of the end of project goal(s). At a minimum,
each project must have one SMART end of project goal.
The summary provided should be consistent with the
SOPO.
• Project Schedule (Gantt Chart or similar): The applicant
should provide a schedule for the entire project,
including task and subtask durations, milestones, and
Go/No-Go decision points.
• Project Management: The applicant should discuss the
team's proposed management plan, including the
following:
o The overall approach to and organization for
managing the work
o The roles of each project team member
o Any critical handoffs/interdependencies among
oroiect team members
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
o The technical and management aspects of the
management plan, including systems and
practices, such as financial and project
management practices
o The approach to project risk management
o A description of how project changes will be
handled
o If applicable, the approach to Quality
Assurance/Control
o How communications will be maintained among
project team members
Market Transformation Plan: The applicant should
provide a market transformation plan, including the
following:
o Identification of target market, existing
programs, and distribution channels for
proposed technical assistance along with known
or perceived barriers to market penetration,
including a mitigation plan.
o Description of how the project will catalyze and
scale additional technical assistance beyond the
term of the project.
o Identification of legal/regulatory considerations
including intellectual property, infrastructure
requirements, and product distribution.
• Engagement strategy should include the following:
o A plan to develop partnerships and working
relationships with regional entities including
state energy offices, utility energy efficiency
program administrators, regional and local
energy efficiency programs, program
implementers, local engineering society
chapters, trade organizations, NIST
Manufacturing Extension Partnership (MEP)
Centers, and university and trade schools.
o An outreach effort that will reach and engage
manufacturers and efficiency program
administrators
o A plan to leverage local and national experts
with knowledge of smart manufacturing
technologies and their implementation
o A plan to leverage local and national experts
with knowledge of enerRv management
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46
U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
systems, the ISO 50001 energy management
standard, and how to implement and sustain an
EnMS.
Qualifications and
The Qualifications and Resources should contain the following
Resources
information:
(Approximately
• Describe the project team's unique qualifications and
20% of the
expertise, including those of key subrecipients.
Technical Volume)
• Describe the project team's existing equipment and
facilities that will facilitate the successful completion of
the proposed project; include a justification of any new
equipment or facilities requested as part of the project.
• This section should also include relevant, previous work
efforts, demonstrations, and how these enable the
applicant to achieve the project objectives.
• Describe the time commitment of the key team
members to support the project.
• Describe the technical services to be provided by
DOE/NNSA FFRDCs, if applicable.
• For multi -organizational or multi -investigator projects,
describe succinctly:
o The roles and the work to be performed by each
PI and Key Personnel;
o Business agreements between the applicant and
each PI and Key Personnel;
o How the various efforts will be integrated and
managed;
o Process for making decisions on
scientific/technical direction;
o Publication arrangements;
o Intellectual Property issues; and
o Communication plans
iii. Resumes
A resume provides information that can be used by reviewers to evaluate the
individual's skills, experience, and potential for leadership within the scientific
community. Applicants are required to submit two -page resumes for the
Principal Investigator and all Key Personnel that include the following:
1. Contact Information;
2. Education and training: Provide institution, major/area, degree, and year
for undergraduate, graduate, and postdoctoral training;
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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3. Research and Professional Experience: Beginning with the current
position, list professional/academic positions in chronological order with
a brief description. List all current academic, professional, or institutional
appointments, foreign or domestic, at the applicant institution or
elsewhere, whether or not remuneration is received, and, whether full-
time, part-time, or voluntary;
4. Awards and honors;
5. A list of up to 10 publications most closely related to the proposed
project. For each publication, identify the names of all authors (in the
same sequence in which they appear in the publication), the article title,
book orjournal title, volume number, page numbers, year of publication,
and website address if available electronically. Patents, copyrights, and
software systems developed may be provided in addition to or
substituted for publications. An abbreviated style such as the Physical
Review Letters (PRL) convention for citations (list only the first author)
may be used for publications with more than 10 authors; and
6. Synergistic Activities: List up to five professional and scholarly activities
related to the proposed effort.
Save the resumes in a single PDF file using the following convention for the title
"Control Number_Lead0rganization_Resumes".
In future FOAs, EERE may require a biographical sketch for the PI and Key
Personnel. In the meantime, in lieu of a resume, it is acceptable to use the
biographical sketch format approved by the National Science Foundation (NSF).
The biographical sketch format may be generated by the Science Experts
Network Curriculum Vita (SciENcv), a cooperative venture maintained at
https://www.ncbi.nlm.nih.gov/sciencv/, and is also available at
https://nsf.gov/bfa/dias/policy/nsfapprovedformats/biosketch.pdf. The use of a
format required by another agency is intended to reduce the administrative
burden to researchers by promoting the use of common formats.
iv. Letters of Commitment
Submit letters of commitment from all subrecipient and third party cost share
providers. If applicable, also include any letters of commitment from
partners/end users (one -page maximum per letter). Save the letters of
commitment in a single PDF file using the following convention for the title
"Control Number_Lead0rganization_LOCs".
V. Statement of Project Objectives (SOPO)
Applicants are required to complete a SOPO. A SOPO template is available on
EERE Exchange at https://eere-Exchange.energy.gov/. The SOPO, including the
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48
U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Milestone Table, must not exceed 20 pages when printed using standard 8.5 x
11 paper with 1" margins (top, bottom, left, and right) with font not smaller than
12 point (except in figures or tables, which may be 10 point font). Save the SOPO
in a single Microsoft Word file using the following convention for the title
"Control Number_Lead0rganization_SOPO".
vi. SF-424: Application for Federal Assistance
Complete all required fields in accordance with the instructions on the form. The
list of certifications and assurances in Field 21 can be found at
http://energy.gov/management/office-management/operational-
management/financial-assistance/financial-assistance-forms, under
Certifications and Assurances. Note: The dates and dollar amounts on the SF-424
are for the complete project period and not just the first project year, first phase
or other subset of the project period. Save the SF-424 in a single PDF file using
the following convention for the title "Control Number_LeadOrganization_424".
vii. Budget Justification Workbook
Applicants are required to complete the Budget Justification Workbook. This
form is available on EERE Exchange at https://eere-Exchange.energy.gov/. Prime
recipients must complete each tab of the Budget Justification Workbook for the
project as a whole, including all work to be performed by the prime recipient and
its subrecipients and contractors. Applicants should include costs associated with
required annual audits and incurred cost proposals in their proposed budget
documents. The "Instructions and Summary" included with the Budget
Justification Workbook will auto -populate as the applicant enters information
into the Workbook. Applicants must carefully read the "Instructions and
Summary" tab provided within the Budget Justification Workbook. Save the
Budget Justification Workbook in a single Microsoft Excel file using the following
convention for the title
"Control Number_Lead0rganization_Budget_Justification".
viii. Summary/Abstract for Public Release
Applicants are required to submit a one -page summary/abstract of their project.
The project summary/abstract must contain a summary of the proposed activity
suitable for dissemination to the public. It should be a self-contained document
that identifies the name of the applicant, the project director/principal
investigator(s), the project title, the objectives of the project, a description of the
project, including methods to be employed, the potential impact of the project
(e.g., benefits, outcomes), and major participants (for collaborative projects).
This document must not include any proprietary or sensitive business
information as DOE may make it available to the public after selections are
made. The project summary must not exceed 1 page when printed using
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
standard 8.5 x 11 paper with 1" margins (top, bottom, left, and right) with font
not smaller than 12 point. Save the Summary for Public Release in a single PDF
file using the following convention for the title
"ControlNumber_LeadOrganization_Summary".
ix. Summary Slide
Applicants are required to provide a single slide summarizing the proposed
project. This slide is used during the evaluation process.
The Summary Slide template requires the following information:
• A technology summary;
• A description of the technology's impact;
• Proposed project goals;
• Any key graphics (illustrations, charts and/or tables);
• The project's key idea/takeaway;
• Project title, prime recipient, Principal Investigator, and Key Personnel
information; and
• Requested EERE funds and proposed applicant cost share.
Save the Summary Slide in a single Microsoft Powerpoint file using the following
convention for the title "ControlNumber_LeadOrganization_Slide".
X. Subrecipient Budget Justification (if applicable)
Applicants must provide a separate budget justification for each subrecipient
that is expected to perform work estimated to be more than $250,000 or 25
percent of the total work effort (whichever is less). The budget justification must
include the same justification information described in the "Budget Justification"
section above. Save each subrecipient budget justification in a Microsoft Excel
file using the following convention for the title
"Control Number_Lead0rganization_Subrecipient_Budget_Justification".
A. Budget for DOE/NNSA FFRDC (if applicable)
If a DOE/NNSA FFRDC contractor is to perform a portion of the work, the
applicant must provide a DOE WP in accordance with the requirements in DOE
Order 412.1A, Work Authorization System, Attachment 3, available at:
httas://www.directives.doe.L-ov/directives-documents/400-series/0412.1-
Border-a-chgl-AdmChg Save the WP in a single PDF file using the following
convention for the title "ControlNumber_LeadOrganization_WP".
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50
U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
xii. Authorization for non-DOE/NNSA or DOE/NNSA FFRDCs (if
applicable)
The federal agency sponsoring the FFRDC must authorize in writing the use of
the FFRDC on the proposed project and this authorization must be submitted
with the application. The use of a FFRDC must be consistent with the
contractor's authority under its award. Save the Authorization in a single PDF file
using the following convention for the title
"Control Number_Lead0rganization_FFRDCAuth".
xiii. SF-LLL: Disclosure of Lobbying Activities (required)
Prime recipients and subrecipients may not use any federal funds to influence or
attempt to influence, directly or indirectly, congressional action on any
legislative or appropriation matters.
Prime recipients and subrecipients are required to complete and submit SF-LLL,
"Disclosure of Lobbying Activities"
(https://www.grants.gov/web/grants/forms/sf-424-individual-family.html) to
ensure that non-federal funds have not been paid and will not be paid to any
person for influencing or attempting to influence any of the following in
connection with the application:
• An officer or employee of any federal agency;
• A Member of Congress;
• An officer or employee of Congress; or
• An employee of a Member of Congress.
Save the SF-LLL in a single PDF file using the following convention for the title
"Control Number_Lead0rganization_SF-LLL".
xiv. Waiver Requests: Foreign Entity and Foreign Work (if applicable)
i. Foreign Entity Participation:
As set forth in Section III.A.iii., all prime recipients receiving funding under
this FOA must be incorporated (or otherwise formed) under the laws of a
State or territory of the United States. To request a waiver of this
requirement, the applicant must submit an explicit waiver request in the Full
Application. Appendix C lists the necessary information that must be included
in a request to waive this requirement.
H. Performance of Work in the United States (Foreign Work Waiver)
As set forth in Section IV.I.iii., all work under EERE funding agreements must
be performed in the United States. This requirement does not apply to the
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
purchase of supplies and equipment, so a waiver is not required for foreign
purchases of these items. However, the prime recipient should make every
effort to purchase supplies and equipment within the United States.
Appendix C lists the necessary information that must be included in a foreif
work waiver request.
Save the Waivers in a single PDF file using the following convention for the title
"Control Number_Lead0rganization_Waiver".
xv. Diversity, Equity and Inclusion Plan
As part of the application, applicants are required to describe how diversity,
equity, and inclusion objectives will be incorporated in the project. Specifically,
applicants are required to submit a Diversity, Equity, and Inclusion Plan that
describes the actions the applicant will take to foster a welcoming and inclusive
environment, support people from groups underrepresented in STEM, advance
equity, and encourage the inclusion of individuals from these groups in the
project; and the extent the project activities will be located in or benefit
underserved communities (also see Section I.A.iii.). The plan should include at
least one SMART milestone per Budget Period supported by metrics to measure
the success of the proposed actions, and will be incorporated into the award if
selected. The Diversity, Equity, and Inclusion Plan should contain the following
information:
• Equity Impacts: the impacts of the proposed project on underserved
communities, including social and environmental impacts.
• Benefits: The overall benefits of the proposed project, if funded, to
underserved communities; and
• How diversity, equity, and inclusion objectives will be incorporated in the
project.
The following is a non -exhaustive list of actions that can serve as examples of
ways the proposed project could incorporate diversity, equity, and inclusion
elements. These examples should not be considered either comprehensive or
prescriptive. Applicants may include appropriate actions not covered by these
examples.
a. Include persons from groups underrepresented in STEM as PI, co -PI,
and/or other senior personnel;
b. Include persons from groups underrepresented in STEM as student
researchers or post -doctoral researchers;
c. Include faculty or students from Minority Serving Institutions as PI/co-PI,
senior personnel, and/or student researchers, as applicable;
d. Enhance or collaborate with existing diversity programs at your home
organization and/or nearby organizations;
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
e. Collaborate with students, researchers, and staff in Minority Serving
Institutions;
f. Disseminate results of research and development in Minority Serving
Institutions or other appropriate institutions serving underserved
communities;
g. Implement evidence -based, diversity -focused education programs (such
as implicit bias training for staff) in your organization;
h. Identify Minority Business Enterprises, Minority Owned Businesses,
Woman Owned Businesses and Veteran Owned Businesses to solicit as
vendors and sub -contractors for bids on supplies, services and
equipment.
The Diversity, Equity, and Inclusion Plan must not exceed 5 pages. Save the
Diversity, Equity and Inclusion Plan in a single PDF file using the following
convention for the title"ControlNumber_LeadOrganization_DEIP".
Topic Area 2 requires specific DEI elements be included in the engagement
strategy. The engagement strategy is included in the Technical Volume (See
Section V.C.i) to Topic Area 2). It is recognized there may be some overlap
between the applicant's engagement strategy and the separate DEI Plan for for
Topic Area 2 applications. It is anticipated that the engagement strategy will
summarize the DEI elements, as outlined above, and applicants will use the DEI
Plan to elaborate on those elements, and could potentially include additional DEI
elements in the DEI plan. Applicants can determine how to best present the DEI
elements in the engagement strategy and DEI Plan within the stated page
limitations.
xvi. Current and Pending Support
Current and pending support is intended to allow the identification of potential
duplication, overcommitment, potential conflicts of interest or commitment, and
all other sources of support. As part of the application, the principal investigator
and each senior/key person at the recipient and subrecipient level must provide
a list of all sponsored activities, awards, and appointments, whether paid or
unpaid; provided as a gift with terms or conditions or provided as a gift without
terms or conditions; full-time, part-time, or voluntary; faculty, visiting, adjunct,
or honorary; cash or in -kind; foreign or domestic; governmental or private -
sector; directly supporting the individual's research or indirectly supporting the
individual by supporting students, research staff, space, equipment, or other
research expenses. All foreign government -sponsored talent recruitment
programs must be identified in current and pending support.
For every activity, list the following items:
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53
U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
• The sponsor of the activity or the source of funding
• The award or other identifying number
• The title of the award or activity. If the title of the award or activity is not
descriptive, add a brief description of the research being performed that
would identify any overlaps or synergies with the proposed research.
• The total cost or value of the award or activity, including direct and
indirect costs and cost share. For pending proposals, provide the total
amount of requested funding.
• The award period (start date — end date).
• The person -months of effort per year being dedicated to the award or
activity
If required to identify overlap, duplication of effort, or synergistic efforts, append
a description of the other award or activity to the current and pending support.
Details of any obligations, contractual or otherwise, to any program, entity, or
organization sponsored by a foreign government must be provided on request to
either the applicant institution or DOE.
Pls and senior/key personnel must provide a separate disclosure statement
listing the required information above regarding current and pending support.
Each individual must sign and date their respective disclosure statement and
include the following certification statement:
I, [Full Name and Title], certify to the best of my knowledge and
belief that the information contained in this Current and Pending
Support Disclosure Statement is true, complete and accurate. I
understand that any false, fictitious, or fraudulent information,
misrepresentations, half-truths, or omissions of any material fact,
may subject me to criminal, civil or administrative penalties for
fraud, false statements, false claims or otherwise. (18 U.S.C. §§
1001 and 287, and 31 U.S.C. 3729-3730 and 3801-3812). 1 further
understand and agree that (1) the statements and
representations made herein are material to DOE's funding
decision, and (2) 1 have a responsibility to update the disclosures
during the period of performance of the award should
circumstances change which impact the responses provided
above.
The information may be provided in the format approved by the National
Science Foundation (NSF), which may be generated by the Science Experts
Network Curriculum Vita (SciENcv), a cooperative venture maintained at
https://www.ncbi.nlm.nih.gov/sciencv/, and is also available at
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
https://www.nsf.gov/bfa/dias/policy/nsfapprovedformats/cps.pdf. The use of a
format required by another agency is intended to reduce the administrative
burden to researchers by promoting the use of common formats. If the NSF
format is used, the individual must still include a signature, date, and a
certification statement using the language included in the paragraph above.
Save the Current and Pending Support table in a single PDF file using the
following convention for the title"Control Number_LeadOrganization_CPS".
D. Content and Form of Replies to Reviewer Comments
If replies to reviewer comments are applicable, EERE will provide applicants with
reviewer comments following the evaluation of all eligible Full Applications.
Applicants will have a brief opportunity to review the comments and to prepare
a short Reply to Reviewer Comments responding to the comments however they
desire or supplementing their Full Application. The Reply to Reviewer Comments
is an optional submission; applicants are not required to submit a Reply to
Reviewer Comments. EERE will post the Reviewer Comments in EERE Exchange.
The expected submission deadline is on the cover page of the FOA; however, it is
the applicant's responsibility to monitor EERE Exchange in the event that the
expected date changes. The deadline will not be extended for applicants who are
unable to timely submit their reply due to failure to check EERE Exchange or
relying on the expected date alone. Applicants should anticipate having
approximately three (3) business days to submit Replies to Reviewer Comments.
EERE will not review or consider ineligible Replies to Reviewer Comments (see
Section III. of the FOA). EERE will review and consider each eligible Full
Application, even if no Reply is submitted or if the Reply is found to be ineligible.
Replies to Reviewer Comments must conform to the following content and form
requirements, including maximum page lengths, described below. If a Reply to
Reviewer Comments is more than three (3) pages in length, EERE will review only
the first three (3) pages and disregard any additional pages.
SECTION
PAGE LIMIT
DESCRIPTION
Text
2 pages max
Applicants may respond to one or more reviewer comments
or supplement their Full Application.
Optional
1 page max
Applicants may use this page however they wish; text, graphs,
charts, or other data to respond to reviewer comments or
supplement their Full Application are acceptable.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
E. Post Selection Information Requests
If selected for award, EERE reserves the right to request additional or clarifying
information regarding the following (non -exhaustive list):
• Personnel proposed to work on the projectand collaborating organizations
(See Section VI.B.xviii. Participants and Collaborating Organizations);
• Current and Pending Support (See Sections IV.C.xvi and VI.B.xviii);
• Indirect cost information;
• Other budget information;
• Commitment Letters from Third Parties Contributing to Cost Share, if
applicable;
• Name and phone number of the Designated Responsible Employee for
complying with national policies prohibiting discrimination (See 10 CFR
1040.5); and
• Environmental Questionnaire.
F. Dun and Bradstreet Universal Numbering System (DUNS)
Number, Unique Entity Identifier (UEI) and System for Award
Management (SAM)
Each applicant (unless the applicant is an individual or federal awarding agency
that is excepted from those requirements under 2 CFR 25.110(b) or (c), or has an
exception approved by the federal awarding agency under 2 CFR 25.110(d)) is
required to: (1) Be registered in the SAM at https://www.sam.gov before
submitting its application; (2) provide a valid DUNS number (until April 4, 2022)
and UEI in its application; and (3) continue to maintain an active SAM
registration with current information at all times during which it has an active
federal award or an application or plan under consideration by a federal
awarding agency. Please note: A DUNS number will no longer be required after
April 3, 2022. After that date, applicants will be required to provide ONLY a UEI.
DOE may not make a federal award to an applicant until the applicant has
complied with all applicable DUNS, UEI, and SAM requirements and, if an
applicant has not fully complied with the requirements by the time DOE is ready
to make a federal award, the DOE will determine that the applicant is not
qualified to receive a federal award and use that determination as a basis for
making a federal award to another applicant.
G. Submission Dates and Times
All required submissions must be submitted in EERE Exchange no later than 5
p.m. Eastern Time on the dates provided on the cover page of this FOA.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
H. Intergovernmental Review
This FOA is not subject to Executive Order 12372 — Intergovernmental Review of
Federal Programs.
i. Funding Restrictions
i. Allowable Costs
All expenditures must be allowable, allocable, and reasonable in accordance with
the applicable federal cost principles.
Refer to the following applicable federal cost principles for more information:
• Federal Acquisition Regulation (FAR) Part 31 for For -Profit entities; and
• 2 CFR Part 200 Subpart E - Cost Principles for all other non-federal entities.
ii. Pre -Award Costs
Selectees must request prior written approval to charge pre -award costs. Pre -
award costs are those incurred prior to the effective date of the federal award
directly pursuant to the negotiation and in anticipation of the federal award
where such costs are necessary for efficient and timely performance of the scope
of work. Such costs are allowable only to the extent that they would have been
allowable if incurred after the date of the federal award and only with the
written approval of the federal awarding agency, through the Contracting Officer
assigned to the award.
Pre -award costs cannot be incurred prior to the Selection Official signing the
Selection Statement and Analysis.
Pre -award expenditures are made at the selectee's risk. EERE is not obligated to
reimburse costs: (1) in the absence of appropriations; (2) if an award is not
made; or (3) if an award is made for a lesser amount than the selectee
anticipated.
1. National Environmental Policy Act (NEPA) Requirements Related to Pre -
Award Costs
EERE's decision whether and how to distribute federal funds under this FOA
is subject to NEPA. Applicants should carefully consider and should seek legal
counsel or other expert advice before taking any action related to the
proposed project that would have an adverse effect on the environment or
limit the choice of reasonable alternatives prior to EERE completing the NEPA
review process.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
EERE does not guarantee or assume any obligation to reimburse pre -award
costs incurred prior to receiving written authorization from the Contracting
Officer. If the applicant elects to undertake activities that DOE determines
may have an adverse effect on the environment or limit the choice of
reasonable alternatives prior to receiving such written authorization from the
Contracting Officer, the applicant is doing so at risk of not receiving federal
funding for their project and such costs may not be recognized as allowable
cost share. Nothing contained in the pre -award cost reimbursement
regulations or any pre -award costs approval letter from the Contracting
Officer override these NEPA requirements to obtain the written
authorization from the Contracting Officer prior to taking any action that
may have an adverse effect on the environment or limit the choice of
reasonable alternatives. Likewise, if an application is selected for negotiation
of award, and the prime recipient elects to undertake activities that are not
authorized for federal funding by the Contracting Officer in advance of EERE
completing a NEPA review, the prime recipient is doing so at risk of not
receiving federal funding and such costs may not be recognized as allowable
cost share.
iii. Performance of Work in the United States (Foreign Work Waiver)
1. Requirement
All work performed under EERE awards must be performed in the United
States. This requirement does not apply to the purchase of supplies and
equipment; however, the prime recipient should make every effort to
purchase supplies and equipment within the United States. The prime
recipient must flow down this requirement to its subrecipients.
2. Failure to Comply
If the prime recipient fails to comply with the Performance of Work in the
United States requirement, EERE may deny reimbursement for the work
conducted outside the United States and such costs may not be recognized
as allowable recipient cost share. The prime recipient is responsible should
any work under this award be performed outside the United States, absent a
waiver, regardless of whether the work is performed by the prime recipient,
subrecipients, contractors or other project partners.
3. Waiver
There may be limited circumstances where it is in the interest of the project
to perform a portion of the work outside the United States. To seek a foreign
work waiver, the applicant must submit a written waiver request to EERE.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Appendix C lists the necessary information that must be included in a request
for a foreign work waiver.
The applicant must demonstrate to the satisfaction of EERE that a waiver
would further the purposes of the FOA and is in the economic interests of
the United States. EERE may require additional information before
considering a waiver request. Save the waiver request(s) in a single PDF file.
The applicant does not have the right to appeal EERE's decision concerning a
waiver request.
iv. Construction
Recipients are required to obtain written authorization from the Contracting
Officer before incurring any major construction costs.
V. Foreign Travel
Foreign travel costs are not allowable under this FOA.
vi. Equipment and Supplies
To the greatest extent practicable, all equipment and products purchased with
funds made available under this FOA should be American -made. This
requirement does not apply to used or leased equipment.
Property disposition will be required at the end of a project if the current fair
market value of property exceeds $5,000. For -profit entity disposition
requirements are set forth at 2 CFR 910.360. Property disposition requirements
for other non-federal entities are set forth in 2 CFR 200.310 — 200.316.
vii. Domestic Preference — Infrastructure Projects
As appropriate and to the extent consistent with law, applicants shall ensure
that, to the greatest extent practicable, iron and aluminum as well as steel,
cement, and other manufactured products (items and construction materials
composed in whole or in part of non-ferrous metals such as aluminum; plastics
and polymer -based products such as polyvinyl chloride pipe; aggregates such as
concrete; glass, including optical fiber; and lumber) used in the proposed project
shall be produced in the United States. This requirement shall flow down to all
sub -awards including all contracts, subcontracts and purchase orders for work
performed under the proposed project.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
viii. Lobbying
Recipients and subrecipients may not use any federal funds to influence or
attempt to influence, directly or indirectly, congressional action on any
legislative or appropriation matters.
Recipients and subrecipients are required to complete and submit SF-LLL,
"Disclosure of Lobbying Activities"
(https://www.grants.gov/web/grants/forms/sf-424-individual-family.html) to
ensure that non-federal funds have not been paid and will not be paid to any
person for influencing or attempting to influence any of the following in
connection with the application:
• An officer or employee of any federal agency;
• A Member of Congress;
• An officer or employee of Congress; or
• An employee of a Member of Congress.
ix. Risk Assessment
Prior to making a federal award, the DOE is required by 31 U.S.C. 3321 and 41
U.S.C. 2313 to review information available through any Office of Management
and Budget (OMB) -designated repositories of government -wide eligibility
qualification or financial integrity information, such as SAM Exclusions and "Do
Not Pay."
In addition, DOE evaluates the risk(s) posed by applicants before they receive
federal awards. This evaluation may consider: results of the evaluation of the
applicant's eligibility; the quality of the application; financial stability; quality of
management systems and ability to meet the management standards prescribed
in this part; history of performance; reports and findings from audits; and the
applicant's ability to effectively implement statutory, regulatory, or other
requirements imposed on non-federal entities.
In addition to this review, DOE must comply with the guidelines on government -
wide suspension and debarment in 2 CFR 180, and must require non-federal
entities to comply with these provisions. These provisions restrict federal
awards, subawards and contracts with certain parties that are debarred,
suspended or otherwise excluded from or ineligible for participation in federal
programs or activities.
X. Invoice Review and Approval
DOE employs a risk -based approach to determine the level of supporting
documentation required for approving invoice payments. Recipients may be
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
required to provide some or all of the following items with their requests for
reimbursement:
• Summary of costs by cost categories;
• Timesheets or personnel hours report;
• Invoices/receipts for all travel, equipment, supplies, contractual, and other
costs;
• UCC filing proof for equipment acquired with project funds by for -profit
recipients and subrecipients;
• Explanation of cost share for invoicing period;
• Analogous information for some subrecipients; and
• Other items as required by DOE.
V. Application Review Information
A. Technical Review Criteria
i. Full Applications
Applications will be evaluated against the merit review criteria shown below. All
sub -criteria are of equal weight.
Topic Area 1:
Criterion 1: Technical Merit, Innovation, and Impact (40%)
This criterion involves consideration of the following factors:
Technical Merit and Innovation
• Extent to which the proposed technology or process is innovative;
• Degree to which the current state of the technology and the proposed
advancement are clearly described;
• Extent to which the application specifically and convincingly demonstrates how
the applicant will move the state-of-the-art to the proposed advancement; and
• Sufficiency of technical detail in the application to assess whether the proposed
work is scientifically meritorious and revolutionary, including relevant data,
calculations and discussion of prior work in the literature with analyses that
support the viability of the proposed work.
Impact of Technology Advancement
• How the project supports the topic area objectives and target
specifications and metrics; and
• The potential impact of the project on advancing the state-of-the-art.
Criterion 2: Project Research, Market Transformation Plan and Contribution to US
Manufacturing (30%)
This criterion involves consideration of the following factors:
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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Research Approach, Workplan and SOPO
• Degree to which the approach and critical path have been clearly described and
thoughtfully considered; and
• Degree to which the task descriptions are clear, detailed, timely, and
reasonable, resulting in a high likelihood that the proposed Workplan and SOPO
will succeed in meeting the project goals.
Identification of Technical Risks
• Discussion and demonstrated understanding of the key technical risk areas
involved in the proposed work and the quality of the mitigation strategies to
address them.
Baseline, Metrics, and Deliverables
• The level of clarity in the definition of the baseline, metrics, and milestones; and
• Relative to a clearly defined experimental baseline, the strength of the
quantifiable metrics, milestones, and a mid -point deliverables defined in the
application, such that meaningful interim progress will be made.
Market Transformation Plan
Identification of target market, competitors, and distribution channels for
proposed technology along with known or perceived barriers to market
penetration, including mitigation plan; and
Comprehensiveness of market transformation plan including but not limited to
product development and/or service plan, commercialization timeline,
financing, product marketing, legal/regulatory considerations including
intellectual property, infrastructure requirements, and product distribution.
Contribution to US Manufacturing
Degree to which the project would strengthen the competitiveness of domestic
manufacturing and translate into increased long-term manufacturing and
employment in the United States.
Criterion 3: Team and Resources (20%)
This criterion involves consideration of the following factors:
• The capability of the Principal Investigator(s) and the proposed team to
address all aspects of the proposed work with a high probability of
success. The qualifications, relevant expertise, and time commitment of
the individuals on the team;
• The sufficiency of the facilities to support the work;
■ The degree to which the proposed consortia/team demonstrates the
ability to facilitate and expedite further development and commercial
deployment of the proposed technologies;
■ The level of participation by project participants as evidenced by letter(s)
of commitment and how well they are integrated into the Workplan; and
■ The reasonableness of the budget and spend plan for the proposed
project and objectives.
Criterion 4: Diversity, Equity and Inclusion (10%)
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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This criterion involves consideration of the following factors:
■ The quality and manner in which the measures incorporate diversity,
equity and inclusion goals in the project; and
■ Extent to which the project benefits underserved communities.
Topic Area 2:
Criterion 1: Merit, Innovation, and Impact (40%)
This criterion involves consideration of the following factors:
Merit and Innovation
• Extent to which the proposed technical assistance and training is
innovative;
• Degree to which the current technical assistance best practices are
advanced are clearly described;
• Extent to which the application specifically and convincingly
demonstrates how the applicant will move the state-of-the-art to the
proposed advancement; and
• Sufficiency of technical detail in the application to assess whether the
proposed work is meritorious and revolutionary, including relevant
discussion of prior work that support the viability of the proposed work.
Impact of Technical Assistance
• How the project supports the topic area objectives and target
specifications and metrics; and
• The potential impact of the project on advancing industry best
practices.
Criterion 2: Project and Market Transformation Plans (30%)
This criterion involves consideration of the following factors:
Technical Assistance Approach, Workplan and SOPO
• Degree to which the approach and critical path have been clearly
described and thoughtfully considered; and
• Degree to which the task descriptions are clear, detailed, timely, and
reasonable, resulting in a high likelihood that the proposed Workplan
and SOPO will succeed in meeting the project goals.
Identification of Implementation Risks
• Discussion and demonstrated understanding of the key risk areas
involved in the proposed work and the quality of the mitigation
strategies to address them.
Baseline, Metrics, and Deliverables
• The level of clarity in the definition of the baseline, metrics, and
milestones; and
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
• Relative to a clearly defined baseline, the strength of the quantifiable
metrics, milestones, and a mid -point deliverables defined in the
application, such that meaningful interim progress will be made.
Market Transformation Plan
• Identification of target market, existing programs, and distribution
channels for proposed technical assistance along with known or
perceived barriers to market penetration, including mitigation plan; and
• Comprehensiveness of market transformation plan including but not
limited to development of training materials, training plan, marketing,
and legal/regulatory considerations including intellectual property
Criterion 3: Team and Resources (20%)
This criterion involves consideration of the following factors:
• The capability of the Principal Investigator(s) and the proposed team to
address all aspects of the proposed work with a high probability of
success. The qualifications, relevant expertise, and time commitment of
the individuals on the team;
• The sufficiency of the facilities to support the work;
• The degree to which the proposed consortia/team demonstrates the
ability to facilitate and expedite further development and commercial
deployment of the proposed technical assistance;
• The level of participation by project participants as evidenced by
letter(s) of commitment and how well they are integrated into the
Workplan; and
• The reasonableness of the budget and spend plan for the proposed
project and objectives.
Criterion 4: Diversity, Equity and Inclusion (10%)
This criterion involves consideration of the following factors:
• The quality and manner in which the measures incorporate diversity,
equity and inclusion goals in the project; and
• Extent to which the project benefits underserved communities.
ii. Criteria for Replies to Reviewer Comments
EERE has not established separate criteria to evaluate Replies to Reviewer
Comments. Instead, Replies to Reviewer Comments are attached to the original
applications and evaluated as an extension of the Full Application.
B. Standards for Application Evaluation
Applications that are determined to be eligible will be evaluated in accordance
with this FOA, by the standards set forth in EERE's Notice of Objective Merit
Review Procedure (76 Fed. Reg. 17846, March 31, 2011) and the guidance
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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provided in the "DOE Merit Review Guide for Financial Assistance," effective
September 2020, which is available at:
https://energy.gov/management/downloads/merit-review-guide-financial-
assistance-and-unsolicited-aroaosals-current.
C. Other Selection Factors
i. Program Policy Factors
In addition to the above criteria, the Selection Official may consider the following
program policy factors in determining which Full Applications to select for award
negotiations:
• The degree to which the proposed project exhibits technological diversity
when compared to the existing DOE project portfolio and other projects
selected from the subject FOA;
• The degree to which the proposed project, including proposed cost share,
optimizes the use of available EERE funding to achieve programmatic
objectives;
• The level of industry involvement and demonstrated ability to accelerate
commercialization and overcome key market barriers;
• The degree to which the proposed project is likely to lead to increased
employment and manufacturing in the United States;
• The degree to which the proposed project will accelerate transformational
technological advances in areas that industry by itself is not likely to
undertake because of technical and financial uncertainty; and
• The degree to which the proposed project, or group of projects, represent a
desired geographic distribution (considering past awards and current
applications);
• The degree to which the proposed project incorporates diversity, equity, and
inclusion elements, including but not limited to team members from
Minority Serving Institutions (e.g. Historically Black Colleges and Universities
(HBCUs)/Other Minority Institutions), Minority Business Enterprises, Minority
Owned Businesses, Woman Owned Businesses, Veteran Owned Businesses,
or members within underserved communities.
D. Evaluation and Selection Process
i. Overview
The evaluation process consists of multiple phases; each includes an initial
eligibility review and a thorough technical review. Rigorous technical reviews of
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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eligible submissions are conducted by reviewers that are experts in the subject
matter of the FOA. Ultimately, the Selection Official considers the
recommendations of the reviewers, along with other considerations such as
program policy factors, in determining which applications to select.
ii. Pre -Selection Interviews
As part of the evaluation and selection process, EERE may invite one or more
applicants to participate in Pre -Selection Interviews. Pre -Selection Interviews are
distinct from and more formal than pre -selection clarifications (See Section
V.D.iii. of the FOA). The invited applicant(s) will meet with EERE representatives
to provide clarification on the contents of the Full Applications and to provide
EERE an opportunity to ask questions regarding the proposed project. The
information provided by applicants to EERE through Pre -Selection Interviews
contributes to EERE's selection decisions.
EERE will arrange to meet with the invited applicants in person at EERE's offices
or a mutually agreed upon location. EERE may also arrange site visits at certain
applicants' facilities. In the alternative, EERE may invite certain applicants to
participate in a one-on-one conference with EERE via webinar, videoconference,
or conference call.
EERE will not reimburse applicants for travel and other expenses relating to the
Pre -Selection Interviews, nor will these costs be eligible for reimbursement as
pre -award costs.
EERE may obtain additional information through Pre -Selection Interviews that
will be used to make a final selection determination. EERE may select
applications for funding and make awards without Pre -Selection Interviews.
Participation in Pre -Selection Interviews with EERE does not signify that
applicants have been selected for award negotiations.
iii. Pre -Selection Clarification
EERE may determine that pre -selection clarifications are necessary from one or
more applicants. Pre -selection clarifications are distinct from and less formal
than pre -selection interviews. These pre -selection clarifications will solely be for
the purposes of clarifying the application, and will be limited to information
already provided in the application documentation. The pre -selection
clarifications may occur before, during or after the merit review evaluation
process. Information provided by an applicant that is not necessary to address
the pre -selection clarification question will not be reviewed or considered.
Typically, a pre -selection clarification will be carried out through either written
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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responses to EERE's written clarification questions or video or conference calls
with EERE representatives.
The information provided by applicants to EERE through pre -selection
clarifications is incorporated in their applications and contributes to the merit
review evaluation and EERE's selection decisions. If EERE contacts an applicant
for pre -selection clarification purposes, it does not signify that the applicant has
been selected for negotiation of award or that the applicant is among the top
ranked applications.
EERE will not reimburse applicants for expenses relating to the pre -selection
clarifications, nor will these costs be eligible for reimbursement as pre -award
costs.
iv. Recipient Integrity and Performance Matters
DOE, prior to making a federal award with a total amount of federal share
greater than the simplified acquisition threshold, is required to review and
consider any information about the applicant that is in the designated integrity
and performance system accessible through SAM (currently FAPIIS) (see 41
U.S.C. 2313).
The applicant, at its option, may review information in the designated integrity
and performance systems accessible through SAM and comment on any
information about itself that a federal awarding agency previously entered and is
currently in the designated integrity and performance system accessible through
SAM.
DOE will consider any written comments by the applicant, in addition to the
other information in the designated integrity and performance system, in making
a judgment about the applicant's integrity, business ethics, and record of
performance under federal awards when completing the review of risk posed by
applicants as described in 2 CFR 200.206.
V. Selection
The Selection Official may consider the technical merit, the Federal Consensus
Board's recommendations, program policy factors, and the amount of funds
available in arriving at selections for this FOA.
E. Anticipated Notice of Selection and Award Negotiation Dates
EERE anticipates notifying applicants selected for negotiation of award and
negotiating awards by the dates provided on the cover page of this FOA.
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VI. Award Administration Information
A. Award Notices
i. Ineligible Submissions
Ineligible Concept Papers and Full Applications will not be further reviewed or
considered for award. The Contracting Officer will send a notification letter by
email to the technical and administrative points of contact designated by the
applicant in EERE Exchange. The notification letter will state the basis upon
which the Concept Paper or the Full Application is ineligible and not considered
for further review.
ii. Concept Paper Notifications
EERE will notify applicants of its determination to encourage or discourage the
submission of a Full Application. EERE will post these notifications to EERE
Exchange.
Applicants may submit a Full Application even if they receive a notification
discouraging them from doing so. By discouraging the submission of a Full
Application, EERE intends to convey its lack of programmatic interest in the
proposed project. Such assessments do not necessarily reflect judgments on the
merits of the proposed project. The purpose of the Concept Paper phase is to
save applicants the considerable time and expense of preparing a Full
Application that is unlikely to be selected for award negotiations.
A notification encouraging the submission of a Full Application does not
authorize the applicant to commence performance of the project. Please refer to
Section IV.I.ii. of the FOA for guidance on pre -award costs.
iii. Full Application Notifications
EERE will notify applicants of its determination via a notification letter by email
to the technical and administrative points of contact designated by the applicant
in EERE Exchange. The notification letter will inform the applicant whether or not
its Full Application was selected for award negotiations. Alternatively, EERE may
notify one or more applicants that a final selection determination on particular
Full Applications will be made at a later date, subject to the availability of funds
or other factors.
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iv. Successful Applicants
Receipt of a notification letter selecting a Full Application for award negotiations
does not authorize the applicant to commence performance of the project. If an
application is selected for award negotiations, it is not a commitment by EERE to
issue an award. Applicants do not receive an award until award negotiations are
complete and the Contracting Officer executes the funding agreement,
accessible by the prime recipient in FeclConnect.
The award negotiation process will take approximately 60 days. Applicants must
designate a primary and a backup point -of -contact in EERE Exchange with whom
EERE will communicate to conduct award negotiations. The applicant must be
responsive during award negotiations (i.e., provide requested documentation)
and meet the negotiation deadlines. If the applicant fails to do so or if award
negotiations are otherwise unsuccessful, EERE will cancel the award negotiations
and rescind the Selection. EERE reserves the right to terminate award
negotiations at any time for any reason.
Please refer to Section IV.I.ii. of the FOA for guidance on pre -award costs.
v. Alternate Selection Determinations
In some instances, an applicant may receive a notification that its application
was not selected for award and EERE designated the application to be an
alternate. As an alternate, EERE may consider the Full Application for federal
funding in the future. A notification letter stating the Full Application is
designated as an alternate does not authorize the applicant to commence
performance of the project. EERE may ultimately determine to select or not
select the Full Application for award negotiations.
vi. Unsuccessful Applicants
EERE shall promptly notify in writing each applicant whose application has not
been selected for award or whose application cannot be funded because of the
unavailability of appropriated funds.
B. Administrative and National Policy Requirements
i. Registration Requirements
There are several one-time actions before submitting an application in response
to this FOA, and it is vital that applicants address these items as soon as possible.
Some may take several weeks, and failure to complete them could interfere with
an applicant's ability to apply to this FOA, or to meet the negotiation deadlines
and receive an award if the application is selected. These requirements are as
follows:
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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1. EERE Exchange
Register and create an account on EERE Exchange at https://eere-
Exchange.energy.gov. This account will then allow the user to register for any
open EERE FOAs that are currently in EERE Exchange. It is recommended that
each organization or business unit, whether acting as a team or a single
entity, use only one account as the contact point for each submission.
Applicants should also designate backup points of contact so they may be
easily contacted if deemed necessary. This step is required to apply to this
FOA. The EERE Exchange registration does not have a delay; however, the
remaining registration requirements below could take several weeks to
process and are necessary for a potential applicant to receive an award
under this FOA.
2. System for Award Management
Register with the SAM at https://www.sam.gov. Designating an Electronic
Business Point of Contact (EBiz POC) and obtaining a special password called
a Marketing Partner ID Number (MPIN) are important steps in SAM
registration. Please update your SAM registration annually.
3. FedConnect
Register in FedConnect at https://www.fedconnect.net. To create an
organization account, your organization's SAM MPIN is required. For more
information about the SAM MPIN or other registration requirements, review
the FedConnect Ready, Set, Go! Guide at
https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnec
t Ready Set Go.pdf.
4. Grants.gov
Register in Grants.gov (http://www.grants.gov) to receive automatic updates
when Amendments to this FOA are posted. However, please note that
Letters of Intent, Concept Papers, and Full Applications will not be accepted
through Grants.gov.
5. Electronic Authorization of Applications and Award Documents
Submission of an application and supplemental information under this FOA
through electronic systems used by the DOE, including EERE Exchange and
FeclConnect.net, constitutes the authorized representative's approval and
electronic signature.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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ii. Award Administrative Requirements
The administrative requirements for DOE grants and cooperative agreements are
contained in 2 CFR Part 200 as amended by 2 CFR Part 910.
iii. Foreign National Access
All applicants selected for an award under this FOA may be required to provide
information to DOE in order to satisfy requirements for foreign nationals' access
to DOE sites, information, technologies, equipment, programs or personnel. A
foreign national is defined as any person who is not a U.S. citizen by birth or
naturalization. If a selected applicant (including any of its subrecipients,
contractors or vendors) anticipates involving foreign nationals in the
performance of its award, the selected applicant may be required to provide
DOE with specific information about each foreign national to ensure compliance
with the requirements for access approval. National laboratory personnel
already cleared for site access may be excluded.
iv. Subaward and Executive Reporting
Additional administrative requirements necessary for DOE grants and
cooperative agreements to comply with the Federal Funding and Transparency
Act of 2006 (FFATA) are contained in 2 CFR Part 170. Prime recipients must
register with the new FFATA Subaward Reporting System database and report
the required data on their first tier subrecipients. Prime recipients must report
the executive compensation for their own executives as part of their registration
profile in SAM.
V. National Policy Requirements
The National Policy Assurances that are incorporated as a term and condition of
award are located at: http://www.nsf.gov/awards/managing/rtc.*sp.
vi. Environmental Review in Accordance with National Environmental
Policy Act (NEPA)
EERE's decision whether and how to distribute federal funds under this FOA is
subject to NEPA (42 U.S.C. 4321, etseq.). NEPA requires federal agencies to
integrate environmental values into their decision -making processes by
considering the potential environmental impacts of their proposed actions. For
additional background on NEPA, please see DOE's NEPA website, at
https://www.energy.gov/nepa.
While NEPA compliance is a federal agency responsibility and the ultimate
decisions remain with the federal agency, all recipients selected for an award will
be required to assist in the timely and effective completion of the NEPA process
in the manner most pertinent to their proposed project. If DOE determines
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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certain records must be prepared to complete the NEPA review process (e.g.,
biological evaluations or environmental assessments), the recipient may be
required to prepare the records and the costs to prepare the necessary records
may be included as part of the project costs.
vii. Applicant Representations and Certifications
1. Lobbying Restrictions
By accepting funds under this award, the prime recipient agrees that none of
the funds obligated on the award shall be expended, directly or indirectly, to
influence Congressional action on any legislation or appropriation matters
pending before Congress, other than to communicate to Members of
Congress as described in 18 U.S.C. § 1913. This restriction is in addition to
those prescribed elsewhere in statute and regulation.
2. Corporate Felony Conviction and Federal Tax Liability Representations
In submitting an application in response to this FOA, the applicant represents
that:
a. It is not a corporation that has been convicted of a felony criminal
violation under any federal law within the preceding 24 months; and
b. It is not a corporation that has any unpaid federal tax liability that has
been assessed, for which all judicial and administrative remedies have
been exhausted or have lapsed, and that is not being paid in a timely
manner pursuant to an agreement with the authority responsible for
collecting the tax liability.
For purposes of these representations the following definitions apply:
A Corporation includes any entity that has filed articles of incorporation
in any of the 50 states, the District of Columbia, or the various territories
of the United States [but not foreign corporations]. It includes both for -
profit and non-profit organizations.
3. Nondisclosure and Confidentiality Agreements Representations
In submitting an application in response to this FOA the applicant represents
that:
a. It does not and will not require its employees or contractors to sign
internal nondisclosure or confidentiality agreements or statements
prohibiting or otherwise restricting its employees or contactors from
lawfully reporting waste, fraud, or abuse to a designated investigative or
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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law enforcement representative of a federal department or agency
authorized to receive such information.
b. It does not and will not use any federal funds to implement or enforce
any nondisclosure and/or confidentiality policy, form, or agreement it
uses unless it contains the following provisions:
(1) "These provisions are consistent with and do not supersede, conflict
with, or otherwise alter the employee obligations, rights, or liabilities
created by existing statute or Executive order relating to (1) classified
information, (2) communications to Congress, (3) the reporting to an
Inspector General of a violation of any law, rule, or regulation, or
mismanagement, a gross waste of funds, an abuse of authority, or a
substantial and specific danger to public health or safety, or (4) any
other whistleblower protection. The definitions, requirements,
obligations, rights, sanctions, and liabilities created by controlling
Executive orders and statutory provisions are incorporated into this
agreement and are controlling."
(2) The limitation above shall not contravene requirements
applicable to Standard Form 312 Classified Information
Nondisclosure Agreement
(https://fas.org/sgp/othergov/sf312.pdf), Form 4414
Sensitive Compartmented Information Disclosure
Agreement (https:Hfas.org/sgp/othergov/intel/sf4414.pdf),
or any other form issued by a federal department or agency
governing the nondisclosure of classified information.
(3) Notwithstanding the provision listed in paragraph (a), a nondisclosure
or confidentiality policy form or agreement that is to be executed by
a person connected with the conduct of an intelligence or
intelligence -related activity, other than an employee or officer of the
United States government, may contain provisions appropriate to the
particular activity for which such document is to be used. Such form
or agreement shall, at a minimum, require that the person will not
disclose any classified information received in the course of such
activity unless specifically authorized to do so by the United States
government. Such nondisclosure or confidentiality forms shall also
make it clear that they do not bar disclosures to Congress, or to an
authorized official of an executive agency or the Department of
Justice, that are essential to reporting a substantial violation of law.
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viii. Statement of Federal Stewardship
EERE will exercise normal federal stewardship in overseeing the project activities
performed under EERE awards. Stewardship Activities include, but are not
limited to, conducting site visits; reviewing performance and financial reports;
providing assistance and/or temporary intervention in unusual circumstances to
correct deficiencies that develop during the project; assuring compliance with
terms and conditions; and reviewing technical performance after project
completion to ensure that the project objectives have been accomplished.
ix. Statement of Substantial Involvement
EERE has substantial involvement in work performed under awards made as a
result of this FOA. EERE does not limit its involvement to the administrative
requirements of the award. Instead, EERE has substantial involvement in the
direction and redirection of the technical aspects of the project as a whole.
Substantial involvement includes, but is not limited to, the following:
1. EERE shares responsibility with the recipient for the management, control,
direction, and performance of the project.
2. EERE may intervene in the conduct or performance of work under this award
for programmatic reasons. Intervention includes the interruption or
modification of the conduct or performance of project activities.
3. EERE may redirect or discontinue funding the project based on the outcome
of EERE's evaluation of the project at the Go/No-Go decision point(s).
4. EERE participates in major project decision -making processes.
X. Subject Invention Utilization Reporting
In order to ensure that prime recipients and subrecipients holding title to subject
inventions are taking the appropriate steps to commercialize subject inventions,
EERE may require that each prime recipient holding title to a subject invention
submit annual reports for ten (10) years from the date the subject invention was
disclosed to EERE on the utilization of the subject invention and efforts made by
prime recipient or their licensees or assignees to stimulate such utilization. The
reports must include information regarding the status of development, date of
first commercial sale or use, gross royalties received by the prime recipient, and
such other data and information as EERE may specify.
A. Intellectual Property Provisions
The standard DOE financial assistance intellectual property provisions applicable
to the various types of recipients are located at http://energy.gov/gc/standard-
intellectual-property-ip-provisions-financial-assistance-awards.
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xii. Reporting
Reporting requirements are identified on the Federal Assistance Reporting
Checklist, attached to the award agreement. This helpful EERE checklist can be
accessed at https://www.energy.gov/eere/funding/eere-funding-application-
and-management-forms. See Attachment 2 Federal Assistance Reporting
Checklist, after clicking on "Model Cooperative Agreement" under the Award
Package section.
xiii. Go/No-Go Review
Each project selected under this FOA will be subject to a periodic project
evaluation referred to as a Go/No-Go Review. At the Go/No-Go decision points,
EERE will evaluate project performance, project schedule adherence, meeting
milestone objectives, compliance with reporting requirements, and overall
contribution to the EERE program goals and objectives. Federal funding beyond
the Go/No-Go decision point (continuation funding) is contingent upon (1)
availability of federal funds appropriated by Congress for the purpose of this
program; (2) the availability of future -year budget authority; (3) recipient's
technical progress compared to the Milestone Summary Table stated in
Attachment 1 of the award; (4) recipient's submittal of required reports; (5)
recipient's compliance with the terms and conditions of the award; (6) EERE's
Go/No-Go decision; (7) the recipient's submission of a continuation application;
and (8) written approval of the continuation application by the Contracting
Officer.
As a result of the Go/No-Go Review, DOE may, at its discretion, authorize the
following actions: (1) continue to fund the project, contingent upon the
availability of funds appropriated by Congress for the purpose of this program
and the availability of future -year budget authority; (2) recommend redirection
of work under the project; (3) place a hold on federal funding for the project,
pending further supporting data or funding; or (4) discontinue funding the
project because of insufficient progress, change in strategic direction, or lack of
funding.
The Go/No-Go decision is distinct from a non-compliance determination. In the
event a recipient fails to comply with the requirements of an award, EERE may
take appropriate action, including but not limited to, redirecting, suspending or
terminating the award.
xiv. Conference Spending
The recipient shall not expend any funds on a conference not directly and
programmatically related to the purpose for which the grant or cooperative
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agreement was awarded that would defray the cost to the United States
government of a conference held by any Executive branch department, agency,
board, commission, or office for which the cost to the United States government
would otherwise exceed $20,000, thereby circumventing the required
notification by the head of any such Executive Branch department, agency,
board, commission, or office to the Inspector General (or senior ethics official for
any entity without an Inspector General), of the date, location, and number of
employees attending such conference.
xv. Uniform Commercial Code (UCC) Financing Statements
Per 2 CFR 910.360 (Real Property and Equipment) when a piece of equipment is
purchased by a for -profit recipient or subrecipient with federal funds, and when
the federal share of the financial assistance agreement is more than $1,000,000,
the recipient or subrecipient must:
Properly record, and consent to the Department's ability to properly record if the
recipient fails to do so, UCC financing statement(s) for all equipment in excess of
$5,000 purchased with project funds. These financing statement(s) must be
approved in writing by the Contracting Officer prior to the recording, and they
shall provide notice that the recipient's title to all equipment (not real property)
purchased with federal funds under the financial assistance agreement is
conditional pursuant to the terms of this section, and that the government
retains an undivided reversionary interest in the equipment. The UCC financing
statement(s) must be filed before the Contracting Officer may reimburse the
recipient for the federal share of the equipment unless otherwise provided for in
the relevant financial assistance agreement. The recipient shall further make any
amendments to the financing statements or additional recordings, including
appropriate continuation statements, as necessary or as the Contracting Officer
may direct.
xvi. Implementation of Executive Order 13798, Promoting Free Speech
and Religious Liberty
States, local governments, or other public entities may not condition sub -awards
in a manner that would discriminate, or disadvantage sub -recipients based on
their religious character.
xvii. Participants and Collaborating Organizations
If selected for award negotiations, the selected applicant must submit a list of
personnel who are proposed to work on the project, both at the recipient and
subrecipient level and a list of collaborating organizations. Recipients will have
an ongoing responsibility to notify DOE of changes to the personnel and
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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collaboration organizations, and submit updated information during the life of
the award.
xviii. Current and Pending Support
If selected for award negotiations, within 30 days of the selection notice, the
selectee must submit 1) current and pending support disclosures and resumes
for any new Pls or senior/key personnel that were not part of the original
application and 2) updated disclosures if there have been any changes to the
current and pending support submitted with the application. Throughout the life
of the award, the Recipient has an ongoing responsibility to submit 1) current
and pending support disclosure statements and resumes for any new PI and
senior/key personnel and 2) updated disclosures if there are changes to the
current and pending support previously submitted to DOE. Also See. Section
IV.C.xvi.
Ax. Conflict of Interest Policy
The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy)
can be found at https://www.energy.gov/management/pf-2022-17-department-
energy-interim-conflict-interest-policy-requirements-financial. This policy is
applicable to all non -Federal entities applying for, or that receive, DOE funding
by means of a financial assistance award (e.g., a grant, cooperative agreement,
or technology investment agreement) and, through the implementation of this
policy by the entity, to each Investigator who is planning to participate in, or is
participating in, the project funded wholly or in part under the DOE financial
assistance award. DOE's interim COI Policy establishes standards that provide a
reasonable expectation that the design, conduct, and reporting of projects
funded wholly or in part under DOE financial assistance awards will be free from
bias resulting from financial conflicts of interest or organizational conflicts of
interest. The applicant is subject to the requirements of the interim COI Policy
and within each application for financial assistance, the applicant must certify
that it is, or will be by the time of receiving any financial assistance award,
compliant with all requirements in the interim COI Policy. The applicant must
flow down the requirements of the interim COI Policy to any subrecipient non -
Federal entities.
As this is a new policy, some applicants may need time to incorporate these
requirements into their conflict of interest processes. Applicants selected under
this FOA must be compliant by the time of receiving a financial assistance award.
xx. U.S. Manufacturing Commitments
A primary objective of DOE's multi -billion dollar research, development and
demonstration investments is to cultivate new research and development
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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ecosystems, manufacturing capabilities, and supply chains for and by U.S.
industry and labor. Therefore, in exchange for receiving taxpayer dollars to
support an applicant's project, the applicant must agree to the following U.S.
Competitiveness Provision as part of an award under this FOA.
U.S. Competitiveness
The Recipient agrees that any products embodying any subject
invention or produced through the use of any subject invention
will be manufactured substantially in the United States unless the
Recipient can show to the satisfaction of DOE that it is not
commercially feasible. In the event DOE agrees to foreign
manufacture, there will be a requirement that the Government's
support of the technology be recognized in some appropriate
manner, e.g., alternative binding commitments to provide an
overall net benefit to the U.S. economy. The Recipient agrees that
it will not license, assign or otherwise transfer any subject
invention to any entity, at any tier, unless that entity agrees to
these same requirements. Should the Recipient or other such
entity receiving rights in the invention(s): (1) undergo a change in
ownership amounting to a controlling interest, or (2) sell, assign,
or otherwise transfer title or exclusive rights in the invention(s),
then the assignment, license, or other transfer of rights in the
subject invention(s) is/are suspended until approved in writing by
DOE. The Recipient and any successor assignee will convey to
DOE, upon written request from DOE, title to any subject
invention, upon a breach of this paragraph. The Recipient will
include this paragraph in all subawards/contracts, regardless of
tier, for experimental, developmental or research work.
A subject invention is any invention conceived or first actually reduced in
performance of work under an award. An invention is any invention or discovery
which is or may be patentable.
As noted in the U.S. Competitiveness Provision, at any time in which an entity
cannot meet the requirements of the U.S. Competitiveness Provision, the entity
may request a modification or waiver of the U.S. Competitiveness Provision. For
example, the entity may propose modifying the language of the U.S.
Competitiveness Provision in order to change the scope of the requirements or
to provide more specifics on the application of the requirements for a particular
technology. As another example, the entity may request that the U.S.
Competitiveness Provision be waived in lieu of a net benefits statement or U.S.
manufacturing plan. The statement or plan would contain specific and
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U.S. DEPARTMENT OF i office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
enforceable commitments that would be beneficial to the U.S. economy and
competitiveness. Commitments could include manufacturing specific products in
the U.S., making a specific investment in a new or existing U.S. manufacturing
facility, keeping certain activities based in the U.S. or supporting a certain
number of jobs in the U.S. related to the technology. If DOE, in its sole discretion,
determines that the proposed modification or waiver promotes
commercialization and provides substantial U.S. economic benefits, DOE may
grant the request and, if granted, modify the award terms and conditions for the
requesting entity accordingly.
The U.S. Competitiveness Provision is implemented by DOE pursuant to a
Determination of Exceptional Circumstances (DEC) under the Bayh-Dole Act and
DOE Patent Waivers. See Section VIII.J. Title to Subject Inventions of this FOA for
more information on the DEC and DOE Patent Waivers.
xxi. Data Management Plan (DMP)
Each applicant whose Full Application is selected for award negotiations will be
required to submit a DMP during the award negotiations phase. A DMP explains
how, when appropriate, data generated in the course of the work performed
under an EERE award will be shared and preserved in order to validate the
results of the proposed work or how the results could be validated if the data is
not shared or preserved. The DMP must provide a plan for making all research
data displayed in publications resulting from the proposed work digitally
accessible at the time of publications.
VII. Questions/Agency Contacts
Upon the issuance of a FOA, EERE personnel are prohibited from communicating
(in writing or otherwise) with applicants regarding the FOA except through the
established question and answer process as described below. Specifically,
questions regarding the content of this FOA must be submitted to:
AMOTPFOA@ee.doe.gov. Questions must be submitted not later than 3 business
days prior to the application due date and time. Please note, feedback on
individual concepts will not be provided through Q&A.
All questions and answers related to this FOA will be posted on EERE Exchange
at: https://eere-exchange.energy.gov. Please note that you must first select this
specific FOA Number in order to view the questions and answers specific to
this FOA. EERE will attempt to respond to a question within 3 business days,
unless a similar question and answer has already been posted on the website.
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Questions related to the registration process and use of the EERE Exchange
website should be submitted to: EERE-ExchangeSupport@hq.doe.gov.
VIII.Other Information
A. FOA Modifications
Amendments to this FOA will be posted on the EERE Exchange website and the
Grants.gov system. However, you will only receive an email when an
amendment or a FOA is posted on these sites if you register for email
notifications for this FOA in Grants.gov. EERE recommends that you register as
soon after the release of the FOA as possible to ensure you receive timely notice
of any amendments or other FOAs.
B. Government Right to Reject or Negotiate
EERE reserves the right, without qualification, to reject any or all applications
received in response to this FOA and to select any application, in whole or in
part, as a basis for negotiation and/or award.
C. Commitment of Public Funds
The Contracting Officer is the only individual who can make awards or commit
the government to the expenditure of public funds. A commitment by anyone
other than the Contracting Officer, either express or implied, is invalid.
D. Treatment of Application Information
Applicants should not include trade secrets or commercial or financial
information that is privileged or confidential in their application unless such
information is necessary to convey an understanding of the proposed project or
to comply with a requirement in the FOA. Applicants are advised to not include
any critically sensitive proprietary detail.
If an application includes trade secrets or information that is commercial or
financial, or information that is confidential or privileged, it is furnished to the
Government in confidence with the understanding that the information shall be
used or disclosed only for evaluation of the application. Such information will be
withheld from public disclosure to the extent permitted by law, including the
Freedom of Information Act. Without assuming any liability for inadvertent
disclosure, EERE will seek to limit disclosure of such information to its employees
and to outside reviewers when necessary for merit review of the application or
as otherwise authorized by law. This restriction does not limit the Government's
right to use the information if it is obtained from another source.
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Full Applications, and other submissions containing confidential, proprietary, or
privileged information must be marked as described below. Failure to comply
with these marking requirements may result in the disclosure of the unmarked
information under the Freedom of Information Act or otherwise. The U.S.
Government is not liable for the disclosure or use of unmarked information, and
may use or disclose such information for any purpose.
The cover sheet of the Full Application, and other submission must be marked as
follows and identify the specific pages containing trade secrets, confidential,
proprietary, or privileged information:
Notice of Restriction on Disclosure and Use of Data:
Pages [list applicable pages] of this document may contain trade
secrets, confidential, proprietary, or privileged information that is
exempt from public disclosure. Such information shall be used or
disclosed only for evaluation purposes or in accordance with a
financial assistance or loan agreement between the submitter and
the Government. The Government may use or disclose any
information that is not appropriately marked or otherwise restricted,
regardless of source. [End of Notice]
The header and footer of every page that contains confidential, proprietary, or
privileged information must be marked as follows: "Contains Trade Secrets,
Confidential, Proprietary, or Privileged Information Exempt from Public
Disclosure." In addition, each line or paragraph containing proprietary,
privileged, or trade secret information must be clearly marked with double
brackets or highlighting.
E. Evaluation and Administration by Non -Federal Personnel
In conducting the merit review evaluation, the Go/No-Go Reviews and Peer
Reviews, the government may seek the advice of qualified non-federal personnel
as reviewers. The government may also use non-federal personnel to conduct
routine, nondiscretionary administrative activities, including EERE contractors.
The applicant, by submitting its application, consents to the use of non-federal
reviewers/administrators. Non-federal reviewers must sign conflict of interest
(COI) and non -disclosure acknowledgements (NDA) prior to reviewing an
application. Non-federal personnel conducting administrative activities must sign
an NDA.
F. Notice Regarding Eligible/Ineligible Activities
Eligible activities under this FOA include those which describe and promote the
understanding of scientific and technical aspects of specific energy technologies,
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but not those which encourage or support political activities such as the
collection and dissemination of information related to potential, planned or
pending legislation.
G. Notice of Right to Conduct a Review of Financial Capability
EERE reserves the right to conduct an independent third party review of financial
capability for applicants that are selected for negotiation of award (including
personal credit information of principal(s) of a small business if there is
insufficient information to determine financial capability of the organization).
H. Requirement for Full and Complete Disclosure
Applicants are required to make a full and complete disclosure of all information
requested. Any failure to make a full and complete disclosure of the requested
information may result in:
• The termination of award negotiations;
• The modification, suspension, and/or termination of a funding agreement;
• The initiation of debarment proceedings, debarment, and/or a declaration of
ineligibility for receipt of federal contracts, subcontracts, and financial
assistance and benefits; and
• Civil and/or criminal penalties
1. Retention of Submissions
EERE expects to retain copies of all Full Applications and other submissions. No
submissions will be returned. By applying to EERE for funding, applicants consent
to EERE's retention of their submissions.
J. Title to Subject Inventions
Ownership of subject inventions is governed pursuant to the authorities listed
below:
• Domestic Small Businesses, Educational Institutions, and Nonprofits: Under
the Bayh-Dole Act (35 U.S.C. § 200 et seq.), domestic small businesses,
educational institutions, and nonprofits may elect to retain title to their
subject inventions;
• All other parties: The federal Non -Nuclear Energy Act of 1974, 42. U.S.C. 5908,
provides that the government obtains title to new inventions unless a waiver is
granted (see below);
• Class Patent Waiver: DOE has issued a class waiver that applies to this FOA.
Under this class waiver, domestic large businesses may elect title to their
subject inventions similar to the right provided to the domestic small
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businesses, educational institutions, and nonprofits by law. In order to avail
itself of the class waiver, a domestic large business must agree that any
products embodying or produced through the use of a subject invention first
created or reduced to practice under this program will be substantially
manufactured in the United States.
• Advance and Identified Waivers: For an applicant not covered by a Class
Patent Waiver or the Bayh-Dole Act, the applicant may request a patent
waiver that will cover subject inventions that may be invented under the
award, in advance of or within 30 days after the effective date of the award.
Even if an advance waiver is not requested or the request is denied, the
recipient will have a continuing right under the award to request a waiver for
identified inventions, i.e., individual subject inventions that are disclosed to
EERE within the timeframes set forth in the award's intellectual property
terms and conditions. Any patent waiver that may be granted is subject to
certain terms and conditions in 10 CFR 784.
DEC: On June 07, 2021, DOE approved a DETERMINATION OF EXCEPTIONAL
CIRCUMSTANCES (DEC) UNDER THE BAYH-DOLE ACT TO FURTHER PROMOTE
DOMESTIC MANUFACTURE OF DOE SCIENCE AND ENERGY TECHNOLOGIES. In
accordance with this DEC, all awards, including sub -awards, under this FOA
shall include the U.S. Competitiveness Provision in accordance with Section
VI.B.xx. U.S. Manufacturing Committments of this FOA. A copy of the DEC can
be found at https://www.energy.gov/gc/determination-exceptional-
circumstances-decs. Pursuant to 37 CFR § 401.4, any nonprofit organization or
small business firm as defined by 35 U.S.C. 201 affected by any DEC has the
right to appeal it by providing written notice to DOE within 30 working days
from the time it receives a copy of the determination.
K. Government Rights in Subject Inventions
Where prime recipients and subrecipients retain title to subject inventions, the
U.S. government retains certain rights.
i. Government Use License
The U.S. government retains a nonexclusive, nontransferable, irrevocable, paid -
up license to practice or have practiced for or on behalf of the United States any
subject invention throughout the world. This license extends to contractors
doing work on behalf of the government.
ii. March -In Rights
The U.S. government retains march -in rights with respect to all subject
inventions. Through "march -in rights," the government may require a prime
recipient or subrecipient who has elected to retain title to a subject invention (or
their assignees or exclusive licensees), to grant a license for use of the invention
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to a third party. In addition, the government may grant licenses for use of the
subject invention when a prime recipient, subrecipient, or their assignees and
exclusive licensees refuse to do so.
DOE may exercise its march -in rights only if it determines that such action is
necessary under any of the four following conditions:
• The owner or licensee has not taken or is not expected to take effective steps
to achieve practical application of the invention within a reasonable time;
• The owner or licensee has not taken action to alleviate health or safety needs
in a reasonably satisfied manner;
• The owner has not met public use requirements specified by federal statutes
in a reasonably satisfied manner; or
• The U.S. manufacturing requirement has not been met.
Any determination that march -in rights are warranted must follow a fact-finding
process in which the recipient has certain rights to present evidence and
witnesses, confront witnesses and appear with counsel and appeal any adverse
decision. To date, DOE has never exercised its march -in rights to any subject
inventions.
L. Rights in Technical Data
Data rights differ based on whether data is first produced under an award or
instead was developed at private expense outside the award.
"Limited Rights Data": The U.S. government will not normally require delivery of
confidential or trade secret -type technical data developed solely at private
expense prior to issuance of an award, except as necessary to monitor technical
progress and evaluate the potential of proposed technologies to reach specific
technical and cost metrics.
Government Rights in Technical Data Produced Under Awards: The U.S.
government normally retains unlimited rights in technical data produced under
government financial assistance awards, including the right to distribute to the
public. However, pursuant to special statutory authority, certain categories of
data generated under EERE awards may be protected from public disclosure for
up to five years after the data is generated ("Protected Data"). For awards
permitting Protected Data, the protected data must be marked as set forth in
the awards intellectual property terms and conditions and a listing of unlimited
rights data (i.e., non -protected data) must be inserted into the data clause in the
award. In addition, invention disclosures may be protected from public
disclosure for a reasonable time in order to allow for filing a patent application.
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Under this FOA, Protected Data will be permitted for awards on topic area 1
only.
m. Copyright
The prime recipient and subrecipients may assert copyright in copyrightable
works, such as software, first produced under the award without EERE approval.
When copyright is asserted, the government retains a paid -up nonexclusive,
irrevocable worldwide license to reproduce, prepare derivative works, distribute
copies to the public, and to perform publicly and display publicly the copyrighted
work. This license extends to contractors and others doing work on behalf of the
government.
N. Export Control
The U.S. government regulates the transfer of information, commodities,
technology, and software considered to be strategically important to the U.S. to
protect national security, foreign policy, and economic interests without
imposing undue regulatory burdens on legitimate international trade. There is a
network of federal agencies and regulations that govern exports that are
collectively referred to as "Export Controls". To ensure compliance with Export
Controls, it is the prime recipient's responsibility to determine when its project
activities trigger Export Controls and to ensure compliance.
Export Controls may apply to individual projects, depending on the nature of the
tasks. When Export Controls apply, the recipient must take the appropriate steps
to obtain any required governmental licenses, monitor and control access to
restricted information, and safeguard all controlled materials. Under no
circumstances may foreign entities (organizations, companies or persons)
receive access to export controlled information unless proper export procedures
have been satisfied and such access is authorized pursuant to law or regulation.
o. Personally Identifiable Information (PII)
All information provided by the applicant must to the greatest extent possible
exclude PII. The term "PII" refers to information which can be used to distinguish
or trace an individual's identity, such as their name, social security number,
biometric records, alone, or when combined with other personal or identifying
information which is linked or linkable to a specific individual, such as date and
place of birth, mother's maiden name. (See OMB Memorandum M-07-16 dated
May 22, 2007, found at:
https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/200
7/m07-16.pdf
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By way of example, applicants must screen resumes to ensure that they do not
contain PH such as personal addresses, personal landline/cell phone numbers,
and personal emails. Under no circumstances should Social Security Numbers
(SSNs) be included in the application. Federal agencies are prohibited from the
collecting, using, and displaying unnecessary SSNs. (See, the Federal Information
Security Modernization Act of 2014 (Pub. L. No. 113-283, Dec 18, 2014; 44 U.S.C.
§ 3551).
P. Annual Independent Audits
If a for -profit entity is a prime recipient and has expended $750,000 or more of
DOE awards during the entity's fiscal year, an annual compliance audit
performed by an independent auditor is required. For additional information,
please refer to 2 CFR 910.501 and Subpart F.
If an educational institution, non-profit organization, or state/local government
is a prime recipient or subrecipient and has expended $750,000 or more of
federal awards during the non-federal entity's fiscal year, then a Single or
Program -Specific Audit is required. For additional information, please refer to 2
CFR 200.501 and Subpart F.
Applicants and subrecipients (if applicable) should propose sufficient costs in the
project budget to cover the costs associated with the audit. EERE will share in
the cost of the audit at its applicable cost share ratio.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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APPENDIX A - COST SHARE INFORMATION
Cost Sharing or Cost Matching
The terms "cost sharing" and "cost matching" are often used synonymously. Even the DOE
Financial Assistance Regulations, 2 CFR 200.306, use both of the terms in the titles specific to
regulations applicable to cost sharing. EERE almost always uses the term "cost sharing," as it
conveys the concept that non-federal share is calculated as a percentage of the Total Project
Cost. An exception is the State Energy Program Regulation, 10 CFR 420.12, State Matching
Contribution. Here "cost matching" for the non-federal share is calculated as a percentage of
the federal funds only, rather than the Total Project Cost.
How Cost Sharing Is Calculated
As stated above, cost sharing is calculated as a percentage of the Total Project Cost. FFRDC
costs must be included in Total Project Costs. The following is an example of how to calculate
cost sharing amounts for a project with $1,000,000 in federal funds with a minimum 20% non-
federal cost sharing requirement:
• Formula: Federal share ($) divided by federal share (%) = Total Project Cost
Example: $1,000,000 divided by 80% = $1,250,000
• Formula: Total Project Cost ($) minus federal share ($) = Non-federal share ($)
Example: $1,250,000 minus $1,000,000 = $250,000
• Formula: Non-federal share ($) divided by Total Project Cost ($) = Non-federal share (%)
Example: $250,000 divided by $1,250,000 = 20%
What Qualifies For Cost Sharing
While it is not possible to explain what specifically qualifies for cost sharing in one or even a
couple of sentences, in general, if a cost is allowable under the cost principles applicable to the
organization incurring the cost and is eligible for reimbursement under an EERE grant or
cooperative agreement, then it is allowable as cost share. Conversely, if the cost is not
allowable under the cost principles and not eligible for reimbursement, then it is not allowable
as cost share. In addition, costs may not be counted as cost share if they are paid by the federal
government under another award unless authorized by federal statute to be used for cost
sharing.
The rules associated with what is allowable as cost share are specific to the type of organization
that is receiving funds under the grant or cooperative agreement, though are generally the
same for all types of entities. The specific rules applicable to:
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• FAR Part 31 for For -Profit entities, (48 CFR Part 31); and
• 2 CFR Part 200 Subpart E - Cost Principles for all other non-federal entities.
In addition to the regulations referenced above, other factors may also come into play such as
timing of donations and length of the project period. For example, the value of ten years of
donated maintenance on a project that has a project period of five years would not be fully
allowable as cost share. Only the value for the five years of donated maintenance that
corresponds to the project period is allowable and may be counted as cost share.
Additionally, EERE generally does not allow pre -award costs for either cost share or
reimbursement when these costs precede the signing of the appropriation bill that funds the
award. In the case of a competitive award, EERE generally does not allow pre -award costs prior
to the signing of the Selection Statement by the EERE Selection Official.
General Cost Sharing Rules on a DOE Award
1. Cash Cost Share — encompasses all contributions to the project made by the recipient or
subrecipient(s), for costs incurred and paid for during the project. This includes when an
organization pays for personnel, supplies, equipment for their own company with
organizational resources. If the item or service is reimbursed for, it is cash cost share. All
cost share items must be necessary to the performance of the project.
2. In -Kind Cost Share — encompasses all contributions to the project made by the recipient
or subrecipient(s) that do not involve a payment or reimbursement and represent
donated items or services. In -Kind cost share items include volunteer personnel hours,
donated existing equipment, donated existing supplies. The cash value and calculations
thereof for all In -Kind cost share items must be justified and explained in the Cost Share
section of the project Budget Justification. All cost share items must be necessary to the
performance of the project. If questions exist, consult your DOE contact before filling
out the In -Kind cost share section of the Budget Justification.
3. Funds from other federal sources MAY NOT be counted as cost share. This prohibition
includes FFRDC subrecipients. Non-federal sources include any source not originally
derived from federal funds. Cost sharing commitment letters from subrecipients must
be provided with the original application.
4. Fee or profit, including foregone fee or profit, are not allowable as project costs
(including cost share) under any resulting award. The project may only incur those costs
that are allowable and allocable to the project (including cost share) as determined in
accordance with the applicable cost principles prescribed in FAR Part 31 for For -Profit
entities and 2 CFR Part 200 Subpart E - Cost Principles for all other non-federal entities.
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DOE Financial Assistance Rules 2 CFR Part 200 as amended by 2 CFR Part 910
As stated above, the rules associated with what is allowable cost share are generally the same
for all types of organizations. Following are the rules found to be common, but again, the
specifics are contained in the regulations and cost principles specific to the type of entity:
(A) Acceptable contributions. All contributions, including cash contributions and third party
in -kind contributions, must be accepted as part of the prime recipient's cost sharing if
such contributions meet all of the following criteria:
(1) They are verifiable from the recipient's records.
(2) They are not included as contributions for any other federally -assisted project or
program.
(3) They are necessary and reasonable for the proper and efficient accomplishment of
project or program objectives
(4) They are allowable under the cost principles applicable to the type of entity
incurring the cost as follows:
a. For -profit organizations. Allowability of costs incurred by for -profit organizations
and those nonprofit organizations listed in Attachment C to OMB Circular A-122
is determined in accordance with the for -profit cost principles in 48 CFR Part 31
in the FAR, except that patent prosecution costs are not allowable unless
specifically authorized in the award document. (v) Commercial Organizations.
FAR Subpart 31.2—Contracts with Commercial Organizations; and
b. Other types of organizations. For all other non-federal entities, allowability of
costs is determined in accordance with 2 CFR Part 200 Subpart E.
(5) They are not paid by the federal government under another award unless
authorized by federal statute to be used for cost sharing or matching.
(6) They are provided for in the approved budget.
(B) Valuing and documenting contributions
(1) Valuing recipient's property or services of recipient's employees. Values are
established in accordance with the applicable cost principles, which mean that
amounts chargeable to the project are determined on the basis of costs incurred.
For real property or equipment used on the project, the cost principles authorize
depreciation or use charges. The full value of the item may be applied when the item
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will be consumed in the performance of the award or fully depreciated by the end of
the award. In cases where the full value of a donated capital asset is to be applied as
cost sharing or matching, that full value must be the lesser or the following:
a. The certified value of the remaining life of the property recorded in the
recipient's accounting records at the time of donation; or
b. The current fair market value. If there is sufficient justification, the Contracting
Officer may approve the use of the current fair market value of the donated
property, even if it exceeds the certified value at the time of donation to the
project. The Contracting Officer may accept the use of any reasonable basis for
determining the fair market value of the property.
(2) Valuing services of others' employees. If an employer other than the recipient
furnishes the services of an employee, those services are valued at the employee's
regular rate of pay, provided these services are for the same skill level for which the
employee is normally paid.
(3) Valuing volunteer services. Volunteer services furnished by professional and
technical personnel, consultants, and other skilled and unskilled labor may be
counted as cost sharing or matching if the service is an integral and necessary part of
an approved project or program. Rates for volunteer services must be consistent
with those paid for similar work in the recipient's organization. In those markets in
which the required skills are not found in the recipient organization, rates must be
consistent with those paid for similar work in the labor market in which the recipient
competes for the kind of services involved. In either case, paid fringe benefits that
are reasonable, allowable, and allocable may be included in the valuation.
(4) Valuing property donated by third parties
a. Donated supplies may include such items as office supplies or laboratory
supplies. Value assessed to donated supplies included in the cost sharing or
matching share must be reasonable and must not exceed the fair market value
of the property at the time of the donation.
b. Normally only depreciation or use charges for equipment and buildings may be
applied. However, the fair rental charges for land and the full value of equipment
or other capital assets may be allowed, when they will be consumed in the
performance of the award or fully depreciated by the end of the award, provided
that the Contracting Officer has approved the charges. When use charges are
applied, values must be determined in accordance with the usual accounting
policies of the recipient, with the following qualifications:
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L The value of donated space must not exceed the fair rental value of
comparable space as established by an independent appraisal of
comparable space and facilities in a privately -owned building in the same
locality.
L The value of loaned equipment must not exceed its fair rental value.
(5) Documentation. The following requirements pertain to the recipient's supporting
records for in -kind contributions from third parties:
a. Volunteer services must be documented and, to the extent feasible, supported
by the same methods used by the recipient for its own employees.
b. The basis for determining the valuation for personal services and property must
be documented.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
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APPENDIX B - SAMPLE COST SHARE CALCULATION FOR BLENDED COST
SHARE PERCENTAGE
The following example shows the math for calculating required cost share for a project with
$2,000,000 in federal funds with four tasks requiring different non-federal cost share
percentages:
Task
Proposed Federal
Share
Federal Share %
Recipient Share
Task 1 (R&D)
$1,000,000
80%
20%
Task 2 (R&D)
$500,000
80%
20%
Task 3 (Demonstration)
$400,000
50%
50%
Task 4 (Outreach)
$100,000
100%
0%
Federal share ($) divided by federal share (%) = Task Cost
Each task must be calculated individually as follows:
Task 1
$1,000,000 divided by 80% = $1,250,000 (Task 1 Cost)
Task 1 Cost minus federal share = non-federal share
$1,250,000 - $1,000,000 = $250,000 (non-federal share)
Task 2
$500,000 divided 80% = $625,000 (Task 2 Cost)
Task 2 Cost minus federal share = non-federal share
$625,000 - $500,000 = $125,000 (non-federal share)
Task 3
$400,000 / 50% = $800,000 (Task 3 Cost)
Task 3 Cost minus federal share = non-federal share
$800,000 - $400,000 = $400,000 (non-federal share)
Task 4
Federal share = $100,000
Non-federal cost share is not mandated for outreach = $0 (non-federal share)
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The calculation may then be completed as follows:
Tasks
$ Federal
Share
% Federal
Share
$ Non -Federal
Share
% Non -Federal
Share
Total Project
Cost
Task 1
$1,000,000
80%
$250,000
20%
$1,250,000
Task 2
$500,000
80%
$125,000
20%
$625,000
Task 3
$400,000
50%
$400,000
50%
$800,000
Task 4
$100,000
100%
$0
0%
$100,000
Totals
$2,000,000
$775,000
$2,775,000
Blended Cost Share
Non-federal share ($775,000) divided by Total Project Cost ($2,775,000) = 27.9% (non-federal)
Federal share ($2,000,000) divided by Total Project Cost ($2,775,000) = 72.1% (federal)
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APPENDIX C — WAIVER REQUESTS AND APPROVAL PROCESSES: 1.
FOREIGN ENTITY PARTICIPATION AS THE PRIME RECIPIENT; AND 2.
PERFORMANCE OF WORK IN THE UNITED STATES FOREIGN WORK
WAIVER)
1. Waiver for Foreign Entity Participation as the Prime Recipient
As set forth in Section III.A.iii., all prime recipients receiving funding under this FOA must
be incorporated (or otherwise formed) under the laws of a state or territory of the
United States and have a physical location for business operations in the United States.
To request a waiver of this requirement, an applicant must submit an explicit waiver
request in the Full Application.
Overall, the applicant must demonstrate to the satisfaction of EERE that it would further
the purposes of this FOA and is otherwise in the economic interests of the United States
to have a foreign entity serve as the prime recipient. A request to waive the Foreign
Entity Participation as the prime recipient requirement must include the following:
• Entity name;
• The rationale for proposing a foreign entity to serve as the prime recipient;
• Country of incorporation and the extent, if any, the entity is state owned or
controlled;
• A description of the project's anticipated contributions to the US economy;
• How the project will benefit U.S. research, development and manufacturing,
including contributions to employment in the U.S. and growth in new markets
and jobs in the U.S.;
• How the project will promote domestic American manufacturing of products
and/or services;
• A description of how the foreign entity's participation as the prime recipient is
essential to the project;
• A description of the likelihood of Intellectual Property (IP) being created from
the work and the treatment of any such IP; and
• Countries where the work will be performed (Note: if any work is proposed to be
conducted outside the U.S., the applicant must also complete a separate request
for waiver of the Performance of Work in the United States requirement).
EERE may require additional information before considering the waiver request.
The applicant does not have the right to appeal EERE's decision concerning a waiver
request.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
2. Waiver for Performance of Work in the United States (Foreign Work
Waiver)
As set forth in Section IV.K.iii., all work under EERE funding agreements must be
performed in the United States. This requirement does not apply to the purchase of
supplies and equipment, so a waiver is not required for foreign purchases of these
items. However, the prime recipient should make every effort to purchase supplies and
equipment within the United States. There may be limited circumstances where it is in
the interest of the project to perform a portion of the work outside the United States.
To seek a waiver of the Performance of Work in the United States requirement, the
applicant must submit an explicit waiver request in the Full Application. A separate
waiver request must be submitted for each entity proposing performance of work
outside of the United States
Overall, a waiver request must demonstrate to the satisfaction of EERE that it would
further the purposes of this FOA and is otherwise in the economic interests of the
United States to perform work outside of the United States. A request to waive the
Performance of Work in the United States requirement must include the following:
• The rationale for performing the work outside the U.S. ("foreign work");
• A description of the work proposed to be performed outside the U.S.;
• An explanation as to how the foreign work is essential to the project;
• A description of the anticipated benefits to be realized by the proposed foreign
work and the anticipated contributions to the US economy;
• The associated benefits to be realized and the contribution to the project from
the foreign work;
• How the foreign work will benefit U.S. research, development and
manufacturing, including contributions to employment in the U.S. and growth in
new markets and jobs in the U.S.;
• How the foreign work will promote domestic American manufacturing of
products and/or services;
• A description of the likelihood of Intellectual Property (IP) being created from
the foreign work and the treatment of any such IP;
• The total estimated cost (DOE and recipient cost share) of the proposed foreign
work;
• The countries in which the foreign work is proposed to be performed; and
• The name of the entity that would perform the foreign work.
EERE may require additional information before considering the waiver request.
The applicant does not have the right to appeal EERE's decision concerning a waiver
request.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
APPENDIX E - GLOSSARY
Applicant — The lead organization submitting an application under the FOA.
Continuation application — A non-competitive application for an additional budget period within
a previously approved project period. At least ninety (90) days before the end of each budget
period, the Recipient must submit to EERE its continuation application, which includes the
following information:
A report on the Recipient's progress towards meeting the objectives of the project,
including any significant findings, conclusions, or developments, and an estimate of
any unobligated balances remaining at the end of the budget period. If the remaining
unobligated balance is estimated to exceed 20 percent of the funds available for the
budget period, explain why the excess funds have not been obligated and how they
will be used in the next budget period.
A detailed budget and supporting justification if there are changes to the negotiated
budget, or a budget for the upcoming budget period was not approved at the time of
award.
iii. A description of any planned changes from the negotiated Statement of Project
Objectives and/or Milestone Summary Table.
Cooperative Research and Development Agreement (CRADA) — a contractual agreement
between a national laboratory contractor and a private company or university to work together
on research and development. For more information, see
https://www.energy.gov/gc/downloads/doe-cooperative-research-and-development-
agreements
Federally Funded Research and Development Centers (FFRDC) - FFRDCs are public -private
partnerships which conduct research for the United States government. A listing of FFRDCs can
be found at http://www.nsf.gov/statistics/ffrdclist/.
Go/No-Go Decision Points: — A decision point at the end of a budget period that defines the
overall objectives, milestones and deliverables to be achieved by the recipient in that budget
period. As of a result of EERE's review, EERE may take one of the following actions: 1) authorize
federal funding for the next budget period; 2) recommend redirection of work; 3) discontinue
providing federal funding beyond the current budget period; or 4) place a hold on federal
funding pending further supporting data.
Project — The entire scope of the cooperative agreement which is contained in the recipient's
Statement of Project Objectives.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
Recipient or "Prime Recipient" — A non-federal entity that receives a federal award directly
from a federal awarding agency to carry out an activity under a federal program. The term
recipient does not include subrecipients.
Subrecipient — A non-federal entity that receives a subaward from a pass -through entity to
carry out part of a federal program; but does not include an individual that is a beneficiary of
such program. A subrecipient may also be a recipient of other federal awards directly from a
federal awarding agency. Also, a DOE/NNSA and non-DOE/NNSA FFRDC may be proposed as a
subrecipient on another entity's application. See section III.E.ii.
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
APPENDIX F - DEFINITION OF TECHNOLOGY READINESS LEVELS
TRL 1:
Basic principles observed and reported
TRL 2:
Technology concept and/or application formulated
TRL 3:
Analytical and experimental critical function and/or characteristic proof of
concept
TRL 4:
Component and/or breadboard validation in a laboratory environment
TRL 5:
Component and/or breadboard validation in a relevant environment
TRL 6:
System/subsystem model or prototype demonstration in a relevant
environment
TRL 7:
System prototype demonstration in an operational environment
TRL 8:
Actual system completed and qualified through test and demonstrated
TRL 9:
Actual system proven through successful mission operations
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U.S. DEPARTMENT OF Office of ENERGY EFFICIENCY
ENERGY & RENEWABLE ENERGY
APPENDIX G - LIST OF ACRONYMS
Insert other acronyms applicable to this FOA (e.g., technology office name, technical terms or
metrics)
COI
Conflict of Interest
DEC
Determination of Exceptional Circumstances
DEI
Diversity, Equity, and Inclusion
DMP
Data Management Plan
DOE
Department of Energy
DOI
Digital Object Identifier
EERE
Energy Efficiency and Renewable Energy
FAR
Federal Acquisition Regulation
FFATA
Federal Funding and Transparency Act of 2006
FOA
Funding Opportunity Announcement
FOIA
Freedom of Information Act
FFRDC
Federally Funded Research and Development Center
GAAP
Generally Accepted Accounting Principles
IPMP
Intellectual Property Management Plan
M&O
Management and Operating
MPIN
Marketing Partner ID Number
MSI
Minority -Serving institution
MYPP
Multi -Year Program Plan
NDA
Non -Disclosure Acknowledgement
NEPA
National Environmental Policy Act
NNSA
National Nuclear Security Agency
OMB
Office of Management and Budget
OSTI
Office of Scientific and Technical Information
PH
Personal Identifiable Information
R&D
Research and Development
RFI
Request for Information
RFP
Request for Proposal
SAM
System for Award Management
SOPO
Statement of Project Objectives
SPOC
Single Point of Contact
STEM
Science, Technology, Engineering, and Mathematics
TIA
Technology Investment Agreement
TRL
Technology Readiness Level
UCC
Uniform Commercial Code
UEI
Unique Entity Identifier
WBS
Work Breakdown Structure
WP
Work Proposal
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99