EERE eXCHANGE: FAQs

Question 1: In the transcript for the Public Meeting on U.S. Offshore Wind: Advanced Technology Demonstration Projects a PowerPoint is referenced several times. Is there any way I can acquire a copy of the PowerPoint presented on February 7th, 2012?
Answer 1:

The PowerPoint referenced at the Pre-Solicitation Meeting on Feb. 7th is not a standalone document that will be released to the public, however, please view the PowerPoint in its intended format during Chris Hart’s section (starting at ~20:00 min.) of Part 1 of the meeting video at: http://www1.eere.energy.gov/wind/offshore_wind_demonstration_videos.html

Question 2: If a For-Profit company is a supplier of equipment to the applicant for this project, is there a required industry cost share from the supplier required to be able to request an " Advanced Patent Waiver" during the program?
Answer 2:

The cost share requirement for an Advance Patent Waiver is 20 percent. If the sub's cost share isn't that high, it could consider submitting identified patent waivers if and when it develops inventions.

Question 3: Section III, Eligibility Information, page 12 states: “The following entities are eligible for this announcement: (1) institutions of higher education; (2) nonprofit and for-profit entities; (3) state and local governments; or (4) consortia of the first three entities.” Does this mean a “for-profit” entity cannot apply on their own (i.e. they must have a nonprofit entity on their team)?
Answer 3:

It is not required to have a non-profit entity as part of the prime applicant’s team. Please to refer to the “Teaming” description under Section I of the FOA for further information.

Question 4: This question relates to C. Other Eligibility Requirements: Federally Funded Research and Development Center (FFRDC) Contractors: Do these criteria apply to all applicants or just FFRDC contractors? Do these criteria apply to the DOE funded portion of the budget or the overall project budget? Additionally, must the lead organization use the majority of the funds to pay its own employees or do subcontractors count as being funds spent by the lead organization? For example, permitting activities, attorneys, construction activities, etc. are not typically employed directly by the lead organization.
Answer 4:

The criteria found under the “Federally Funded Research and Development Center (FFRDC) Contractors” in section SECTION III – ELIBIBILITY INFORMATION applies only to DOE and non-DOE FFRDCs:

Value/Funding. The value of, and funding for, the FFRDC contractor 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 system and other FFRDC contractors and Federal agencies through an interagency agreement with the sponsoring agency.

Cost Share. The applicant’s cost share requirement will be based on the total cost of the project, including the applicant’s and the FFRDC contractor’s portions of the effort.

The prime or “lead organization” must capture those funds used to pay subcontractors under the applicable “Cost Classification” categories of the SF-424C. Taken from SECTION IV – APPLICATION AND SUBMISSION INFORMATION:

7. Subaward Budget File(s) You must provide a separate budget (i.e., budget for each budget year and a cumulative budget) for each subawardee that is expected to perform work estimated to be more than $100,000 or 50 percent of the total work effort (whichever is less). Use the SF-424C Excel for Construction Programs. This form is found on the DOE Financial Assistance Forms Page at http://energy.gov/management/officemanagement/operational-management/financial-assistance/financial-assistance-forms. Save each Subaward budget in a single file titled “Control#_Subawardee_SF424C.xls

Question 5: I am interested in possibly applying for the "410 Grant- U. S. Offshore Wind: Advanced Technology Demonstration Projects". Could you please email me the specific link I could use to gain more information about the application process, and the application itself?
Answer 5:

Instructions for completing the Pre-Application / Letter of Intent Package are contained in the full text of the Funding Opportunity Announcement (FOA) which can be obtained at: https://eere-exchange.energy.gov/. To find this information, scroll down the page to locate the appropriate FOA. Once you locate the FOA, you will see a list of the FOA Documents. To view any of the documents, simply click the attachment name (the “FULL TEXT” is the FOA document).

Question 6: SECTION V(A) states that “Foreign entities are not allowed to apply as prime applicants.” Could you please provide a definition of “foreign entity” for purposes of this FOA?
Answer 6:

For purposes of this FOA, the term “foreign entity” is defined as follow:

The term, foreign entity, refers to: (1) an entity which is incorporated or established under the laws of a country other than the United States; or (2) a foreign government or foreign governmental entity.

Question 7: Can a lead organization submit separate applications (with separate teams/consortiums) for two different projects under Topic Area 2?
Answer 7:

Yes, a lead organization may submit separate applications (with separate teams/consortiums) for two different projects under Topic Area 2.

Question 8: Will an environmental assessment be required as part of the award? If so, who is in charge of it? Is it DOE, BOEM, the States themselves, NOAA or the individual bidders?
Answer 8:

As stated in the SECTION I – FUNDING OPPORTUNITY DESCRIPTION, Environmental Review in Accordance with National Environmental Policy Act (NEPA) of the FOA: “The federal funds distributed under this FOA are subject to the National Environmental Policy Act [42 United States Code (U.S.C.) 4321 et seq.; NEPA]. NEPA requires federal agencies to integrate environmental values into their decision-making processes by considering the environmental impacts of their proposed actions. A project may require a lease, permit, and/or plan approval from multiple Federal agencies depending on the location, activities, and facilities being proposed. DOE will work closely with other Federal agencies to combine NEPA reviews when possible. For additional background on NEPA, please see DOE’s NEPA website, at: http://nepa.energy.gov/.”

Question 9: (1) When I enter the site https://eere-exchange.energy.gov/ to submit the letter of intent, the form comes up for Concept Paper Details …. Is this the same as a Letter of Intent filing? (2) The Concept Paper asks for Team Members, which was not mentioned in the DE-FOA 410. Are team members needed for the Letter of Intent? (3) Is there a site with submitted questions and answers to the DE FOA 410? I have not been able to find one.
Answer 9:

(1) Yes -- the eXCHANGE system defaults to the “Concept Paper Details” form, when you submit this form it will state “Letter of Intent.”

(2) No -- team members are not required for the Letter of Intent. Per Section IV- SECTION IV – APPLICATION AND SUBMISSION INFORMATION of the FOA, the Letter of Intent should include the following information:

1. Applicant Name

2. Title of the project

3. One or two paragraph description of the project

4. Identification of the Topic Area to which applicant is applying

5. Estimated total DOE funding request

6. Point of Contact

FOR TOPIC AREA 1 APPLICANTS ONLY:

The following requested information will be used by DOE for planning purposes only and for this purpose may be shared with other Government Agencies and non-Federal personnel that have signed conflict of interest and non-disclosure agreements prior to reviewing the information. This preliminary information submitted with the Letter of Intent will not be used in the merit review process and must be included in greater detail with the Application:

a. The site location.

b. A list of current, pending and future permits, leases and/or approvals required for the project including a copy of the permit or approval with the following information:

i. Permit/Approval Name

ii. Issuing Agency, Contact Name, Title and Phone Number

iii. Description and/or Action

iv. Status/General Information (completed, pending, date approved, estimated date of

decision, application date, etc…)

v. Date Expires/Renewal date

c. A copy of any applicable draft or final Environmental Assessment or Environmental Impact

Statement that has been conducted.

(3) Yes -- Go to https://eere-exchange.energy.gov/

Select “Questions and Answers” on the left.

Select “DE-FOA-0000410 U.S. Offshore Wind: Advanced Technology Demonstration Projects” from the drop down menu to view the questions and answers.

Question 10: (1) Under Item 14. Page 31 Financial Viability, what are the criteria that the applicant must show “to demonstrate the applicant’s ability to complete the project?” How will a non-profit’s financial viability be determined? (2) TRL 7 states: Integrated Pilot System Demonstrated: System/process prototype demonstration in an operational environment (integrated pilot system level). Does operational environment mean offshore? (3) Is it required that the 'power purchaser' be committed to purchase 100% of the power generated? (4) Can team members, including the OEM team, be on more than one proposal? (5) Since DOE desires to collect the field test data for a period of five (5) years after installation and installation does not occur until Budget Period 4, will DOE provide follow on funding for this data collection effort? (6) What is the intended down select criteria to be used at the end of Topic 2: Budget Period 1?
Answer 10:

(1) The applicant must be in a strong financial position and have documented ability to meet the cost share requirements of the award.

(2) Yes – “operational environment” means offshore.

(3) For topic area 1 yes - a power purchaser must be committed. For topic area 2, no, this is not a requirement.

(4) Yes, team members can be on more than one application. However, team members cannot be oversubscribed to multiple projects.

(5) The 5 year operating expenses should be included in the last payment of federal funding and its associated cost share, budget period 5.

(6) The down select criteria will be provided to the selected applicants during award negotiations.

Question 11: On page 15 of the FOA, it states that Budget Periods 3-5 include validation of operating performance, reliability, and O&M costs. However, it later states that the period of performance for budget periods 3-5 should not exceed 3 years. There seems to be a disconnect between the period of performance for budget periods 3-5 and the need to supply data from the demonstration unit(s) during the 5 years after installation. Can DOE clarify the amount and timing of O&M scope eligible for funding/cost share in Budget Periods 3-5?
Answer 11:

The 5 year validation of operating performance funding should be included as a part of budget period 5 costs. The project period of performance should be 5 years from installation of the turbine(s).

Question 12: (1) As a prime recipient of an award is it required to provide both the SF424C and SF424A in the submission process? (2) Is a subcontractor to the Prime Recipient required to provide both the SF424C and SF424A? (3) How are Non Allowable Costs defined in Column B of SF424C for the Department of Energy?
Answer 12:

(1) No – Only the SF 424 C is required. You must provide a separate budget for each year of support requested and a cumulative budget for the total project period. Use the SF 424 C Excel, “Budget Information – Construction Programs” form (required) on DOE Financial Assistance Forms Page at http://energy.gov/management/officemanagement/ operational-management/financial-assistance/financial-assistance-forms. The SF424A (optional) provides columns for each individual budget-year as well as the cumulative project-budget. Save the information in a single file titled: “ControlNumber_LeadOrganization_SF424C”

(2) No – Only the SF 424 C is required. You must provide a separate budget (i.e., budget for each budget year and a cumulative budget) for each subawardee that is expected to perform work estimated to be more than $100,000 or 50 percent of the total work effort (whichever is less). Use the SF-424C Excel (required) for Construction Programs. This form is found on the DOE Financial Assistance Forms Page at http://energy.gov/management/officemanagement/ operational-management/financial-assistance/financial-assistance-forms. Save each subaward budget in a single file titled “Control#_Subawardee_SF424C.xls”.

(3)You may request funds under any Cost Classification as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions in this FOA (see Section IV, G). Costs must be allowable in accordance with the applicable Federal cost principles referenced in 10 CFR Part 600. The cost principles for commercial organizations are in FAR Part 31.

Question 13: How do I submit a Letter of Intent for this FOA?
Answer 13:

Per SECTION IV – APPLICATION AND SUBMISSION INFORMATION of the FOA:

A. Address to Request 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.

B. Letter of Intent

A Letter of Intent is required. Applicants are required to submit a Letter of Intent prior to application submission. Letters of Intent will be used by DOE to plan for the merit review. The letters should not contain any proprietary or sensitive business information. The letters will not be used for down-selection purposes, and do not commit an applicant to submit an application. However, applicants must submit a Letter of Intent by the due date to be eligible to submit an Application. If an applicant is applying for more than one Topic Area, a separate letter of intent must be submitted for each Topic Area. A control number will be issued when an Applicant begins the Letter of Intent submission process. This control number must be included with the Application documents, as described in Section C. below.

The Letter of Intent should include the following information:

1. Applicant Name

2. Title of the project

3. One or two paragraph description of the project

4. Identification of the Topic Area to which applicant is applying

5. Estimated total DOE funding request

6. Point of Contact

FOR TOPIC AREA 1 APPLICANTS ONLY:

The following requested information will be used by DOE for planning purposes only and for this purpose may be shared with other Government Agencies and non-Federal personnel that have signed conflict of interest and non-disclosure agreements prior to reviewing the information. This preliminary information submitted with the Letter of Intent will not be used in the merit review process and must be included in greater detail with the Application:

a. The site location.

b. A list of current, pending and future permits, leases and/or approvals required for the project including a copy of the permit or approval with the following information:

i. Permit/Approval Name

ii. Issuing Agency, Contact Name, Title and Phone Number

iii. Description and/or Action

iv. Status/General Information (completed, pending, date approved, estimated date of decision, application date, etc…)

v. Date Expires/Renewal date

c. A copy of any applicable draft or final Environmental Assessment or Environmental Impact Statement that has been conducted.

Letter of Intent due date and time: March 30, 2012 at 11:59 PM Eastern Time.

Save the information in a single file titled “Control#_Institution_LOI.pdf”. Letters of Intent must be submitted via EERE Exchange at https://eere-exchange.energy.gov/.

Question 14: Concept Paper Details for FOA #DE-FOA-0000410 U.S. Offshore Wind: Advanced Technology Demonstration Projects What does this require/mean? Topic: Topic Area
Answer 14:

Per SECTION IV – APPLICATION AND SUBMISSION INFORMATION of the FOA:

Applicants are required to submit a Letter of Intent prior to application submission. Letters of Intent will be used by DOE to plan for the merit review. The letters should not contain any proprietary or sensitive business information. The letters will not be used for down-selection purposes, and do not commit an applicant to submit an application. However, applicants must submit a Letter of Intent by the due date to be eligible to submit an Application. If an applicant is applying for more than one Topic Area, a separate letter of intent must be submitted for each Topic Area. A control number will be issued when an Applicant begins the Letter of Intent submission process. This control number must be included with the Application documents, as described in Section C. below.

The two Topic Areas are described in SECTION I – FUNDING OPPORTUNITY DESCRIPTION of the FOA:

Topic Area 1: “Accelerating Pilot Deployment” The demonstration project funded under Topic Area 1 will be a “fast track” pilot project targeted for commissioning by the end of calendar year 2014. Therefore significant planning, preparation and permitting activities by the applicant are highly desirable.

Topic Area 2: “Innovating Commercial Viability” Topic Area 2 technology demonstration projects will typically be broader in scope and of longer duration, and will focus more on bringing technological innovation to market. Topic Area 2 will be executed in several budget periods with a down-select process in between budget periods 1 and 2.

Question 15: For Topic Area 1 on FOA#: DE-FOA-0000410, it appears the intention is for the DOE to provide $15 million in project funding in 2012 and $5 million funding in 2013, is it possible for the DOE to provide less funding than that in 2012 and more funding in 2013?
Answer 15:

The project funded under Topic Area 1 will be a single budget period award with funding obligated to the project from multiple appropriations years. Thus, the recipient can structure the expenditures in whatever manner best benefits the project as long as they fit the obligation plan listed in the FOA ($15M obligated in FY12 and $5M obligated in FY13).

Question 16: Can the prime applicant be an LLC which has been created to respond to this FOA and which is a joint venture between a developer and a university?
Answer 16:

Yes - SECTION III – ELIGIBILITY INFORMATION A. Eligible Applicants “The following entities are eligible to apply for this announcement: (1) institutions of higher education; (2) nonprofit and for-profit private entities; (3) state and local governments; and (4) consortia of entities (1) through (3). All types of domestic entities are eligible to apply as prime applicants, excluding DOE Federally Funded Research and Development Center Contractors (FFRDC), other Federal agencies, non-DOE FFRDCs, and nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995.”

Question 17: (1)The FOA states in SECTION IV- FOR TOPIC AREA 1 APPLICANTS ONLY, to include, “A copy of any applicable draft or final Environmental Assessment or Environmental Impact Statement that has been conducted.” Would it be possible to include, at the end of the Letter(s) of Intent, a link to where those materials reside online? (2) For questions and answers that are published via the eXCHANGE website, is the identity of the questioner kept confidential? (3) Is sending an email to this OSWDEMO address the correct procedure or is there a web form I should be using instead?
Answer 17:

(1) Yes – if those documents are on-line, please include a link at the end of the Letter of Intent.

(2) Yes – the identity of the questioner is kept confidential.

(3) Yes - oswdemo@go.doe.gov is the correct address for questions regarding the content of the announcement. All questions must be submitted at least 3 business days prior to each submission deadline.

Please use EERE-ExchangeSupport@hq.doe.gov for questions regarding the submission of applications through EERE Exchange. All questions must be submitted at least 3 business days prior to each submission deadline.

Question 18: Is it required that turbines proposed for Topic Area 1 to have been in the water for a year?
Answer 18:

No - this is not a requirement as it is not listed in the FOA.

Question 19: (1) For Topic Area 2, is there a TRL requirement? (2) For Topic Area 2, will you require all cost-share for 5 years to be available at proposal submission time? For Topic Area 2, should the cost-share for year 1 only be available at proposal submission time, since only year one funding will be initially awarded? (3) How will DOE disburse the funds? Will any funds be advanced to the applicant at the beginning of each funding year? (4) Can a cash loan obtained using a 20-year PPA as collateral, qualify for cost share?
Answer 19:

(1) DOE envisions projects could begin with research and development of technologies ranging from TRL 2 through TRL 5 in budget periods 1 and 2. DOE has purposely avoided specifying a final TRL for TA 2.

(2)Documentation for the cost share associated with budget period 1 will be the only required submittal with the application materials for Topic Area 2.

(3) Funds will be disbursed through the AUTOMATED STANDARD APPLICATION for PAYMENT (ASAP) System. Normally, universities and non-profit organizations are eligible for advance payments. However, requests for advance payments must be made to minimize the time of disbursement by the recipient. For-profit entities will be reimbursed for costs incurred for project expenditures. Please see the 10 CFR 600 for specific information on payment methods and restrictions. Awards resulting from this Funding Opportunity Announcement will be subject to the availability of appropriated funds.

(4) Proof of financial viability including cost share, to demonstrate the applicant’s ability to complete the project, must be provided with application materials. Cash contribution from the prime recipient is an allowable form of cost share

Question 20: (1) For the Letter of Intent, do the applicant need to include all parties that will be participating in the proposed project or can we submit our LOI and then look to recruit a coalition that will best serve our needs at the lowest price? (2) Please further explain the Summary of Topics, Funding, Duration and Cost Share chart? For example: If we were looking to propose a project that would be commissioned in 2015, but would have ground broken in 2013, what budget period would that fall under? Further, is there a resource that more fully explains the table itself?
Answer 20:

(1) You may submit your Letter of Intent (LOI) and then recruit a coalition. The LOI is a mandatory submittal from the prime applicant in order to submit a full application; but a full list of team members is not required with the LOI.

(2) As stated in the FOA, the demonstration project funded under Topic Area 1 will be a “fast track” pilot project targeted for commissioning by the end of calendar year 2014. Therefore significant planning, preparation and permitting activities by the applicant are highly desirable. The project will be a single budget period.

Topic Area 2 technology demonstration projects will typically be broader in scope and of longer duration, and will focus more on bringing technological innovation to market. Topic Area 2 will be executed in several budget periods with a down-select process in between budget periods 1 and 2. Topic Area 2 will be executed in five (5) Budget Periods:

Budget Period 1: DOE anticipates five projects will be selected for Budget Period 1. The period of performance is approximately one year.

Budget Period 2: Up to three projects will be selected for Budget Period 2. The period of performance for Budget Period 2 is approximately one year.

A project review will be performed at the end of Budget Period 2.

Budget Periods 3-5: Includes fabrication, installation and commissioning stages of the project and validation of operating performance, reliability and O&M costs. At the end of Budget Period 5, a project will be generating power and delivering it to an electric power grid. Revenue from electricity generation will belong to the recipient and shall not be used in the calculation of cost share. The period of performance shall include 5 years of operational data from the turbine(s).

Question 21: 1) Should there be a clear applicant in a consortia? 2) What evidence must be in place to verify consortia status?
Answer 21:

1) Yes -From SECTION III – ELIGIBILITY INFORMATION, C. Other Eligibility Requirements, Team Arrangements, of the FOA, “Entities proposing as a team or consortium must designate a lead organization, with strong scientific leadership and a clearly defined central location. Applications must be submitted, on behalf of the team members, by the lead organization and DOE will enter into a prime award relationship with the designated lead organization. The designated lead organization (i.e. the prime applicant) must provide a strong level of engagement with DOE throughout the project; as evidenced by attendance to periodic reviews, authorship on reports, and leadership and coordination of the extended project team/consortium. If an application is received in which the prime applicant is not performing a greater percentage of the effort than that of any individual team member or subcontractor, the application will be deemed non-responsive and rejected without further review.

2) From SECTION I – Funding Opportunity Description, Teaming, of the FOA, “DOE encourages applications which present an integrated set of activities undertaken by broad teams or consortia of organizations with world-class capabilities and resources. The membership of such a team or consortium must be able to execute these complex projects from the time of award and examples of membership include: an experienced energy project developer, a research organization specializing in development of wind power, a power purchaser, the regional transmission or independent system operator as appropriate, an original equipment manufacturer (OEM) team capable of manufacturing a complete offshore wind system, and installation specialists with experience in the marine operating environment. While the specific makeup of the proposed team is at the discretion of the applicant, the applicant must provide supporting evidence that the team is highly qualified, experienced, and capable of performing all aspects of the proposed work scope and fulfilling the objectives of the FOA. It is understood that the consortium members will have varying levels of commitment and engagement within the team, varying from full partners to occasional contributors, and this involvement must be explicitly stated in the application.

Question 22: In an award for either topic area, does DOE have any ownership rights to equipment during or after the program is complete? Since DOE is funding part of the demonstration project is there property rights that the applicant will have to negotiate?
Answer 22:

Property and equipment rights must be in accordance with the applicable Federal cost principles referenced in 10 CFR Part 600.

 Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations are found at 10 CFR 600.130 through 600.137;

 State and Local Governments are found at 10 CFR 600.231 through 600.232;

 For-profit Organizations are found at 10 CFR 600.320 through 600.325.

Question 23: As an applicant for an award am I allowed to add a profit to my costs for the budget of the project? Are subcontractors allowed to add profit to their prices that they provide to the applicant?
Answer 23:

Fee and Profit must be in accordance with the applicable Federal cost principles referenced in 10 CFR Part 318.

(a) Grants and cooperative agreements may not provide for the payment of fee or profit to recipients or subrecipients, except for awards made pursuant to the Small Business Innovation Research or Small Business Technology Transfer Research programs.

(b) A recipient or subrecipient may pay a fee or profit to a contractor providing goods or services under a contract.

Question 24: In Question 19 on the Frequently Asked Questions, question 1 asks if there’s a TRL requirement for TA 2. The answer: “1) DOE envisions projects could begin with research and development of technologies ranging from TRL 2 through TRL 5 in budget periods 1 and 2. DOE has purposely avoided specifying a final TRL for TA 2.” However, according to the FOA on page 8, the FOA clearly states that, “The final technology deployed should demonstrate a maturation level consistent with an Integrated Pilot System Technology Readiness Level (TRL) of 7 - inclusive of the appropriate design verification and validation data - as reflected in the self-assessment of TRL described in Appendix G and to be included in the applicant’s proposal.” Has the DOE made an amendment to the FOA eliminating the TRL-7 requirement for TA 2 or should TA 2 applicants continue to take TRL-7 into consideration as they draft their proposals?
Answer 24:

DOE has not amended the FOA to eliminate any TRL requirements for Topic Area (TA) 2. DOE does not intend to amend the FOA in this regard. TA 2 applicants should continue to take TRL-7 into consideration as they draft their proposals.

For TA 2, DOE welcomes projects at lower TRL levels during Budget Periods 1 & 2. At the end of Budget Period 2, DOE will perform a project review during which the maturity of the recipient’s technology will be an important factor that DOE considers in deciding which projects will continue into Budget Periods 3 through 5. The final technology deployed during Budget Periods 3 through 5 should demonstrate a maturation level consistent with TRL 7, Integrated Pilot System Demonstrated, as stated in the FOA on page 8 and in Appendix G which describes applicable Technology Readiness Levels.

To the extent the answer to Question 19 conflicts with this answer, the answer to Question 43 is DOE’s current position.

Question 25: Will DOE publish a list of all of the parties who filed an expression of interest for the grant solicitation?
Answer 25:

No – DOE will not publish a list of the of all of the parties who filed an expression of interest for this FOA.

Question 26: How do I register in Grants.gov to receive automatic updates when Amendments to this FOA are posted?
Answer 26:

Go to http://www.grants.gov/

Select “Get Registered” on the left.

Select “Organization Registration” or “Individual Registration” to proceed to the next steps.

Question 27: 1) Please confirm that budgets for Topic Area 2 are for all budget periods (1-5), not just the first two budget periods. Since the WBS and RLS are only required for budget periods 1&2, what level of detail does DOE need for budget periods 3-5? 2) Should the Risk Management Plan cover all budget periods 1-5? The FOA indicates that the RMP should be tied to specific WBS elements (which are only required for budget periods 1-2). Would DOE like applicants to identify potential risks associated with budget periods 3-5 to the extent practicable? 3) The FOA states that applications chosen for award will be required to upgrade the efficiency of their facilities by replacing any lighting that does not meet or exceed the energy efficiency requirements as set forth in 42 U.S.C. 6295. Would this require all facilities under the same ownership be upgraded or only facilities where work under the cooperative agreement is being performed? Does this requirement apply to sub-recipients? 4) Please describe the difference between a vendor and a sub-recipient as referred to in the section on letters of commitment. 5) Can the applicant change the project title from the one used in the letter of intent? 6) Please confirm that letters of commitment should be based on total project cost share. Question 19 says that cost share for budget period 1 should be “available” when proposals are submitted. Should this be reflected in the letter of commitment?
Answer 27:

1) The overall budget for Topic Area 2 should reflect all five budget periods. The WBS and RLS should only be for Budget Periods 1-2. The level of detail for Budget Periods 3-5 should reflect the best estimate of an overall amount for each budget period.

2) Yes - The detailed plan should be tied to the WBS for Budget Periods 1-2 and potential risks for Budget Periods 3-5 should be addressed to the extent practicable at this point.

3) This requirement is applicable to where the work (facilities) will be done. In the case of a university for example, the entire football stadium would not have to be retro-fitted for work completed in a one-room laboratory.

Sub-recipients are not required to upgrade their facilities.

4) Subrecipients are involved in the project, and their contribution impacts the overall success of the project. Vendors provide goods or services and these goods or services can be provided from different sources. In addition, subrecipients are not allowed to charge a fee or profit to an award, while a vendor may charge a fee or profit (see 10 CFR 600.128 (c) ).

5) Yes - the applicant may change the project title from the one used in the letter of intent

6) Yes - the cost share commitment letters should document full commitment for Budget Period 1.

Question 28: Page 17 of the FOA details a “Coordination Management Plan” in the event that an applicant will have multiple PIs. Is the Coordination Management Plan included in the resume file or should it be included in the project narrative or elsewhere in the proposal?
Answer 28:

Please include the “Coordination Management Plan” in the Resume file named, “Control#_Institution_Resume.pdf”.

Question 29: Will DOE provide a list of applicants to this FOA?
Answer 29:

DOE does not release the names of FOA applicants.

Question 30: According to the FOA on page 8, ” In order to help facilitate the use of innovative technology without compromising commercial success, activities under Topic Area 2 of this FOA may include validation of advanced concepts at the pre-commercial prototype scale as part of the project development and engineering process.” In order to take advantage of prior DOE grants, would the DOE favorably approve for grant applicants to build off existing DOE Awards applicants are also participating in?
Answer 30:

Please see Section II – Award Information, G. Type of Application, “DOE will accept only new applications under this FOA (i.e., applications for renewals of existing DOE funded projects will not be considered).” In addition, applicants that have current DOE awards will not receive preferential treatment with regard to the review of their application to this Funding Opportunity Announcement.

Question 31: What are exactly the criteria to the DOE to be able to be considered as a domestic small business? Can we consider that a US subsidiary of a foreign company will fulfill the criteria?
Answer 31:

Please see the Small Business Administration Regulations 13 C.F.R. Part 121, which set forth size and ownership restrictions.

Question 32: Is there a link to the list of attendees to pre-solicitation public meeting held on February 7, 2012?
Answer 32:

The FOA pre-solicitation public meeting attendee list is posted online here: wind.energy.gov/news_detail.html?news_id=18042

Question 33: Will sub-megawatt turbine(s) be considered for projects under Topic Area 2?
Answer 33:

No - projects that propose to deploy sub-megawatt turbine(s) will be deemed non-responsive and eliminated from further review.

Question 34: Should the tables for the LCOE calculation in appendix H be included as a separate attachment to the project narrative file.
Answer 34:

Yes – please attach the LCOE calculation in appendix H as a separate attachment to the project narrative file.

Question 35: 1. Should the total costs listed include cost share amounts? Or should federal funding requested for the project only be listed on this form? 2. Can you please provide a definition and examples of “costs not allowable for participation”?
Answer 35:

1. Please include total cost share amounts.

2. Per SECTION IV – APPLICATION AND SUBMISSION INFORMATION, G. Funding Restrictions, Cost Principles, “Costs must be allowable in accordance with the applicable Federal cost principles referenced in 10 CFR Part 600. The cost principles for commercial organizations are in FAR Part 31.”

Question 36: I can see where Letters of Commitment are discussed in the Topic 2 Application, but where should Letters of Support be included with the application? I can see where Letters of Commitment are discussed in the Topic 2 Application, but where should Letters of Support be included with the application?
Answer 36:

Per SECTION IV – APPLICATION AND SUBMISSION INFORMATION, C. Content and Form of Application, Letters of Commitment, of the FOA, “If cost share is required, you must have a letter from each third party contributing cost share (i.e., a party other than the organization submitting the application) stating that the third party is committed to providing a specific minimum dollar amount of cost share. All Letters of Commitment must be attached as an Appendix to the Project Narrative File. Identify the following information for each third party contributing cost share: (1) the name of the organization; (2) the proposed dollar amount to be provided; (3) the amount as a percentage of the total project cost; and (4) the proposed type of cost share – cash, services, or property. Letters of Commitment from parties participating in the project, exclusive of vendors, who will not be contributing cost share, but will be integral to the success of the project must be included as part of this Appendix to the Narrative. Letters of Commitment will not count towards the Project Narrative page limit.”

Question 37: I would like to clarify the locations for Topic Area 1: Does Topic Area 1 include Territories and areas controlled by the United States Government, such as Guam, Puerto Rico, and American Samoa?
Answer 37:

Yes - Topic Area 1 includes Territories and areas controlled by the United States Government

Question 38: DOE requests three LCOE calculations, the last of which is to include Other Industry Innovations: “In the third LCOE calculation, savings due to incorporating assumed innovations and general industry advance by others such as new installation vessel or advanced electrical substation may be included.” Are there innovations DOE expects to be included? Are applicants required to model these innovations or can this third calculation be omitted?
Answer 38:

Per SECTION V – APPLICATION REVIEW INFORMATION, Section A. Criteria of the FOA, "Extent to which the LCOE analysis for proposed project can be projected to show a clear path from the demonstration-scale to cost-effective commercial-scale deployment at (below) 10 ¢/kWh or the local 'hurdle' price at which offshore wind can compete with other regional generation sources without economic support (subsidizes)." If a proposed project can show a clear path to commercial deployment below 10 ¢/kWh or the local "hurdle" price using only existing technology and the innovations proposed in their project, then there is no need to complete the third LCOE calculation including other industry innovations.

Question 39: In regards to the DOE FOA 0000410, is the SF-424A form required for grant applicants to fill out?
Answer 39:

Please use the SF 424 C Excel, “Budget Information – Construction Programs” form on DOE Financial Assistance Forms Page at http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms.

Question 40: Appendix C discusses what qualifies as cost share. Please confirm that in the case of for-profit companies that cost share (non-federal) is exclusive of fee and that for-profit companies may apply a reasonable fee for work performed using the federal funds.
Answer 40:

Please reference 10 CFR 600.318. “Grants and cooperative agreements may not provide for the payment of fee or profit to recipients or subrecipients, except for awards made pursuant to the Small Business Innovation Research [not applicable to awards under this FOA] or Small Business Technology Transfer Research programs [not applicable to awards under this FOA].” The budget for an award under this FOA may not contain a fee or profit for the recipient or subrecipients.

Question 41: 1. Under 14 Proof of Financial Viability are actual CPA "certified” financials intended? 2. Would “compiled” financials or “reviewed” financials by a CPA be acceptable? (In order for CPA to do “certified” financial documents requires 15-20 pages.) 3. What “Other appropriate authority” qualifies to “certify, compile, or review” the financials?
Answer 41:

DOE will consider any information that the applicant feels is appropriately certified. It is up to the applicant to submit the appropriate level of information regarding their financial capabilities.

Question 42: Can you please explain how I should answer item 9 in the SF-LLL Disclosure of Lobbying Activities?
Answer 42:

For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in Item 4 or 5.

Question 43: After looking more closely at SF-LLL it appears that we only need to complete this IF we have lobbied. Is that correct?
Answer 43:

Per SECTION IV – APPLICATION AND SUBMISSION INFORMATION, C. Content and Form of Application, 11. SF-LLL Disclosure of Lobbying Activities, of the FOA, “Applicability: If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the grant/cooperative agreement, you must complete and submit

Standard Form - LLL, "Disclosure Form to Report Lobbying.” Save the SF-LLL in a single file titled “Control#_Institution_SF-LLL.pdf.”

Question 44: How do I submit the full application?
Answer 44:

A guide to submitting Full Applications can be found here: https://eere-exchange.energy.gov/Manuals.aspx

Question 45: After the award is announced at the end of September 2012, will the Down Select occur one year after the award date or one year after the effective contract date?
Answer 45:

One year after the agreed upon project start date resulting from award negotiations.

Question 46: For Topic Area 1 proposals, what is required length of time for data collection and monitoring after the turbine installation? And should the costs for monitoring and data collection be included in the year 2 budget?
Answer 46:

The required length of time for data collection and monitoring is five years after installation. The funding for this work should be included in the second year budget.

Question 47: We would like to make submission on this opportunity, which we recently became aware of. We can make the grant submission deadline, but did not issue an LOI. Is the LOI required, or can we go right to the grant submission?
Answer 47:

Per Section IV. B. of the FOA, submitting a Letter of Intent by March 30, 2012, was a requirement for having an application accepted. DOE will not be able to accept your application. Please continue to monitor eXCHANGE and Grants.gov on a regular basis for future Wind and Water Power Program opportunities.

Question 48: Can a project start counting cost share as soon as DOE makes their award selection or once the DOE award contract is in place?
Answer 48:

The pre-award date for incurring costs cannot begin prior to the date the relevant Selection Statement is signed. DOE does not guarantee or assume any obligation to reimburse costs incurred in the performance of the agreement if the agreement is not awarded or the award amount is less than anticipated.

Please refer to the following:

10 CFR 600.125 (e) – Non-profit organizations / universities

10 CFR 600.315 (c) (4) – For profit organizations

Both of these types of organizations are allowed to incur costs up to 90 days prior to award, without prior approval of DOE. Cost incurred beyond the 90 days must have written DOE approval, and cannot exceed selection date.

All governments and governmental agencies require prior approval.

Question 49: (A) Can the prime applicant on the letter of intent be changed to another member of the consortium? (B) Can the prime applicant be changed during the term of the grant in the case where initially a significant portion of the work is be done by one member and during the construction stage the significant portion of the work shifts to another consortium member?
Answer 49:

(A) Yes - the prime applicant on the letter of intent may be changed to another member of the consortium

(B) Any key change in personnel would require prior approval from DOE - once award is made.

Question 50: Please provide a definition and/or guidelines as to what the DOE means by offshore?
Answer 50:

The turbines have to be in the water although DOE is not prescribing a specific water depth.

Question 51: Are prime applicants required to seek written authorization from a government agency team member (i.e. NASA or Army Corps of Engineers) who is asking for funding upon receiving the grant award? If yes, does this written authorization need to be submitted with the application?
Answer 51:

Yes - the DOE requires a letter of commitment from the Federal Team member. This letter must be submitted with the application.

Question 52: Can a sub-tier partner who was not listed originally on the LOI apply as the prime organization for a proposal?
Answer 52:

Yes - an applicant revision is allowable for your application submission. Please use the same Control Number for your submission.

Question 53: Will the FOA administrators provide feedback on the Letters of Intent?
Answer 53:

No – the FOA administrators will not provide feedback on the Letters of Intent.

Question 54: This question is being submitted to ensure that winners of either of the FOA 410 US Offshore Advanced Technology Demonstration Project topic areas will also be able to take advantage of the DOE’s loan guarantee program if this option were to become available. There is language in the Loan Guarantee Solicitation that raises concern. The currently open Loan Guarantee Solicitation Announcement (DE-FOA-0000140) supports debt financing for projects in the United States that employee energy efficiency, renewable energy, and advanced transmission and distribution technologies. The potential funding for this FOA is critical to some offshore wind projects, however the FOA states that “no loan guarantees may be issued under Section 1703 of Title XVII for a project where funds, personnel, or property (tangible or intangible) of any Federal agency, instrumentality, personnel or affiliated entity are expected to be used (directly or indirectly) through acquisitions, contracts, demonstrations, exchanges, grants, incentives, leases, procurements, sales, other transaction authority, or other arrangements, to support the project or to obtain goods or services from the project.” If a project is awarded funding through the US Offshore Advanced Technology Demonstration Projects FOA 410, is the project prohibited from receiving a DOE Loan Guarantee?
Answer 54:

In order to determine whether or not an applicant is eligible to receive a DOE Loan Guarantee, the applicant should contact the DOE Loan Guarantee Program Office and/or the point-of-contact provided in the loan guarantee solicitation. The DOE Loan Guarantee Program Office is the appropriate DOE office to answer questions about eligibility under DOE solicitations for loan guarantees. The link to the Loan Guarantee Program Office is: www.lgprogram.energy.gov/

Question 55: Topic Area 2, year one requires a 50% FEED study. Does the 50% mean that there is a 50% confidence level in the project cost?
Answer 55:

The 50% FEED design is not an estimate of the confidence level associated with the project cost. The 50% FEED design refers to an estimate of how close the design is towards being a 100% complete Front-End Engineering Design (FEED) which includes preliminary cost data.

Question 56: Can the project description submitted in the Concept Paper Details for FOA# DE-FOA-0000410 be augmented somewhat for the full application Project Summary/Abstract or must it completely match that which was submitted for the Concept Paper Details?
Answer 56:

It was not a requirement of the FOA that the application material/information be based on the project description included in their letter of intent. The letter of intent will not be used for any selection purposes.

Question 57: Do the bibliography and references count towards the Narrative 50 page limit? Or can these be included as an appendix?
Answer 57:

See Section IV – Application and Submission Information, Subsection C. Content and Form of Application, Project Narrative File, which lists all components which must be within the Narrative page limit. Bibliography and References are listed as one of those components.

Question 58: APPENDIX C – COST SHARE INFORMATION opening paragraph includes a statement as follows: "...An exception is the State Energy Program Regulation, 10 CFR Part 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...". (a) If the primary applicant to this FOA is a state government agency, does the exception under CFR Part 420.12 apply with the cost share requirement calculated as a percentage of the federal funds only? (b) If a team or consortium of public/private entities with a designated lead organization/applicant being a state government agency, does the exception under CFR Part 420.12 apply with the cost share requirement calculated as a percentage of the federal funds only?
Answer 58:

(a) No. Non-federal cost share for awards made under this FOA will be calculated as a percentage of the Total Project Cost.

(b) No. The State Energy Program Regulation, 10 C.F.R. Part 420.12, does not apply to discretionary financial assistance. The State Energy Program is a formula grant program.

Question 59: With reference to Appendix F, DOE suggests a proposed or primary site should be no larger than one 3 nm² lease block for a maximum of 9 and 12 turbines. This will not fit 9 to 12 turbines assuming a 200 meter rotor diameter and 1 nm spacing. What is the correct lease block size?
Answer 59:

The second bullet in Appendix F refers to an OCS lease block, which is typically a square roughly three nautical miles on a side. A site of this size will fit at least nine turbines, assuming a distance between foundations of one nautical mile. The siting guidance provided in Appendix F is intended to be suggestive rather than prescriptive, and reflects DOE's sense--based on consultation with other federal agencies--of parameters that would ensure, in the words of the Appendix, "that proposals have the highest probability of success in the proposed timeline." Site configuration, area and number of turbines are ultimately up to the applicant to propose and justify within context of their overall project plan.

Question 60: Can multiple sub megawatt (>500 kW) turbines be deployed as the multi-megawatt demonstration project under this FOA, if those turbines can be shown in the proposal to move the technology substantially towards a commercially viable multi-megawatt turbine?
Answer 60: No - the funding opportunity announcement states in the "Description of Topic Area 1" and the "Description of Topic Area 2", both found in Section I, that projects should include one or more multi-megawatt turbines. A multi-megawatt turbine is considered to be 2 MW or greater.

Question 61: I understand that SF 424c form is required for each budget year and one for the cumulative budget over all years of requested funding. However, I do not see where inclusion of research activities fits in the SF 424c. I understand using SF 424A is optional to assist with compiling yearly budgets, and the cumulative budget, but how are research-related activities to be documented on the SF 424c?
Answer 61:

On the SF424C please include any costs that do not fit in the specific Cost Classification columns in the “Miscellaneous” column #11.

Question 62: Please explain what is meant by “Start Date” and “End Date”- Does it mean the start date and end date of project funding (i.e. September 2012 and September 2017), or does it mean the Start and End Date of the proposed project’s expected commercial operation?
Answer 62:

"Start Date” - refers to the agreed upon project start date resulting from award negotiations.

“End Date” - please refer to the Table 1: Summary of Topics, Funding, Duration and Cost Share* on page 11 of the FOA for the approximate duration of the Budget Periods for the two Topic Areas.