EERE eXCHANGE: FAQs

Question 1: Is there a start date you wish the proposals to use for budgeting purposes?
Answer 1:

October 1, 2012 will likely be the start date for projects selected under this announcement and would therefore be an appropriate start date to use for proposal budgeting purposes.

Question 2: Prime Applicants who are FFRDC's are granted a waiver from cost sharing. The waiver is extended to any subcontracts placed with any non-FFRDC participant up to 25% of the total project. Is this correct? Further, if the subcontract exceeds 25%, is the subcontractor responsible for paying the cost share on the entire amount of the subcontract or just the portion above the 25%?
Answer 2:

If an FFRDC is the prime applicant under the application, the cost share wavier applies to the entire effort, regardless of the types of entities involved. It is noted that in these instances, industry participation (large/small business, universities, research organizations) in aggregate shall be limited to 25% of the total project value. FFRDCs and other DOE/NNSA National Laboratories participating as subrecipients are not subject to the aggregate 25% participation, but are subject to the overall subrecipient limitation that the Prime Applicant must complete at least 51% of the scope of work and embody at least 51% of the total estimated cost of the project. [Reference Section III, paragraphs B and C of the FOA]. Accordingly, if the subcontractor contemplated in the question is an industry participant, their organization's participation is limited to 25%, in aggregate, and shall not exceed this limit. Another FFRDC participating as a subrecipient is not subject to the 25% limitation but is subject to the limitation that the overall subrecipient effort, in aggregate, shall not exceed 49%.

Question 3: We are doing work in both core technologies, and product development. Can we apply for both?
Answer 3:

Yes, you may apply to multiple announcements but you may not submit the same application more than once.

Question 4: On page 11, it indicates that an anticipated award will not exceed $600,000 per year for up to three years. Does that mean that a total award to an applicant can be up to $1.8 million ($600,000 per year x 3 years)?
Answer 4:

While the Announcement does not state a Maximum or Minimum Award Size, it is anticipated that individual awards will not exceed $1.8 million DOE share ($600,000 per year X 3 years).

Question 5: Regarding minimum match requirement, on page 13 it states, "The cost sharing requirements generally require a 20 percent cost share for research and development and a 50 percent cost share for demonstration and commercial application activities." However, for this particular FOA, it's a 20% match requirement across the board for any project, correct?
Answer 5:

Unless the Prime Applicant is eligible for the cost share waiver (i.e. is a Federally Funded Research and Development Center (FFRDC) or other DOE/NNSA National Laboratory), a 20% cost share match is required for research and development projects anticipated under this Announcement. It is unlikely that "demonstration and commercial application activities" would be proposed under this FOA; however, a higher cost share ratio might be negotiated for projects involving these types of activities.

Question 6: On page 15 it states that a subrecipient's efforts shall not exceed 49% of the total estimated cost of the project however on page 25 it states that if a subrecipient is expected to perform work estimated to be more than 50% of the total work, a subrecipient is expected to also submit a budget justification. So, if a subrecipient submits a budget justification, a subrecipient's efforts COULD then exceed 49% of the total estimated project cost?
Answer 6:

No, the sub-recipient effort in aggregate can NEVER exceed 49% of the total estimated cost of the project.

Question 7: Regarding expenditure of grant funds prior to grant award, does "grant award" refer to when an applicant is notified (end of June 2012) or when a grant contract is executed (end of September 2012)?
Answer 7:

"Grant award" refers to the date an agreement is signed by the DOE Contracting Officer (executed), not when an applicant is notified that they have been selected for negotiations leading to an award.

Question 8: How often should grant reimbursements be submitted? E.g., Monthly, quarterly? And are grant funds reimbursed on a per dollar ratio basis? In other words, an applicant must first expend their own funds and then receives reimbursement per the grant/match ratio (assuming of course the work is satisfactory)?
Answer 8:

Typically, requests for reimbursement should coincide with your normal billing pattern, but should not be more frequent than every two weeks. Each request must be limited to the amount of disbursements made during the billing period for the federal share of direct project costs and the proportionate share of any allowable indirect costs incurred during that billing period.

Typically, funds are reimbursed per the cost share ratio negotiated for the award. In certain rare instances, cost share may be reimbursed at a higher or lower percentage, as negotiated for specific budget period(s). By accepting federal funds under a subsequent award, the Recipient agrees that they are liable for the negotiated percentage share of total allowable project costs, on a budget period basis.

Question 9: Where in the “Upload and Submit” section shall we attach the FFRDC Authorization that is needed for DOE/NNSA National Laboratory participation?
Answer 9:

Please incorporate your FFRDC Authorization as a cover page to your Field Work Proposal and save the pages as a single file named "FWP.pdf" (See page 24 of the FOA)

Question 10: Can budget periods be longer or shorter than 12 months?
Answer 10:

Budget periods within the solid-state lighting program have historically been 12 months in duration. The 12 month duration of the budget period weaves in with the process the program uses to annually access project performance and arrive to a merit based determination on whether or not to continue a given project.

You should line your budget period decision points up with those milestones in your schedule that require a decision. For example, you may get your "assembly line" set up and running at month 13. It doesn't makes sense to have a decision at month 12 when that is such a critical factor.

So in short, we do not require performance period durations of 12 months. The proposer should propose project durations that make sense with the work proposed.

Question 11: I am currently doing research on an LED related topic. Can you look at my attached research paper and inform me if I should apply to this FOA?
Answer 11: It is the policy of DOE to neither encourage nor discourage potential applicants from submitting an application. You are encouraged to review the funding opportunity announcement and the various area(s) of interest and then employ your discretion as to whether a particular project meets the stated program objectives. Nonetheless, if you need clarification on the technical requirements, you may submit an additional question through this email address.

Question 12: Would it be possible to arrange a teleconference meeting with the Contract Specialist or the appropriate Program Manager to discuss any course of action to this project?
Answer 12: Unfortunately once a given FOA has been released, discussions of this nature with individual applicants currently pursuing awards from that FOA are not permissible. This approach helps to ensure a level playing ground for all applicants, as this is a competitive process. Please read the FOA carefully, determine the best application of your technology, then speak directly to most applicable area of interest.

Question 13: Can overhead be used as matching funds for cost share purposes and if so by what method may we calculate overhead expenses?
Answer 13: If overhead costs are allowable to the project, then the cost would be allowable as cost share. If your organization does not have negotiated overhead rates, then your organization would have to provide DOE with the methodology that your organization uses to determine overhead rates. Again, if that rate is determined to be allowable based on a review of their methodology, it would be an allowable cost to the project (and as cost share).

Question 14: Can a National Lab acting as the Prime recipient choose to opt out of the cost-share waiver, and in-turn team with an Industrial Partner whose effort exceeds 25%?
Answer 14:

Yes, This is acceptable, with a few caveats:

Cost share of 20% is required for the entire effort, including the National lab and all subrecipients/subcontractors.
The Prime Recipient (ie:in this case a National Lab) is solely responsible for ensuring that the mandatory 20% cost-share is met in its entirety (ie:20% of total project value). In this scenario special monitoring will be put in place to ensure that the cost-share is being met to its full extent. This being said, the National lab may not seek external funding from any other federal sources.
In this scenario the effort of the Industrial Partner(ie:acting as a sub-recipient to a National Lab opting out of the cost-share waiver) shall not exceed 49% in aggregate.

Question 15: Are Inverted Domestic Corporations eligible to apply under this Funding Opportunity Announcement?
Answer 15:

There is currently no prohibition on award of a Financial Assistance agreement to an Inverted Domestic Corporation. Therefore, Inverted Domestic Corporations could be eligible to apply under the FOA as long as other eligibility requirements are met - see Section III - Eligibility Information - specifically providing that the work will be conducted in the U.S.

Question 16: We have a sub recipient partner who will not provide the Budget Justification directly to us as prime. Is there a method for the sub recipient to submit directly to DOE?
Answer 16:

Answer: The sub-recipient may submit their budget justification directly to the DOE Contract Specialist through email.

The sub-recipient must (1) clearly specify the name of the Prime Applicant on their budget justification so that DOE will know what application the file is associated with; (2) indicate on their budget justification form that the information is business sensitive and not to be shared with anyone outside the government, including the Prime Applicant; and (3) ensure that the budget files are submitted to the DOE Contract Specialist in advance of the closing date and time.

Additionally, the Prime Applicant shall clearly state in their application that the sub-recipient submitted their budget information directly to the DOE Contract Specialist.

Question 17: If the subrecipient needs to provide a detailed budget. Is the “$100,000 or 50% (whichever is less)” threshold applies to the entire project period or it is the “per year” threshold?
Answer 17: The threshold applies to the entire project.

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