EERE eXCHANGE: FAQs

Question 1: Does the FOA also apply to reductions in concentrating solar power or utility-scale solar projects, or is the FOA focused on reducing PV-related soft costs alone?
Answer 1:

This funding opportunity is for all methods and solutions that reduce non-hardware solar costs. This includes techniques that apply to concentrating (sunlight to heat to electricity) and photovoltaic (sunlight to electricity) solar power for residential, commercial, and utility scale solar installations.

Note: This solicitation is not for non-hardware solutions which improve hardware performance (i.e. improved tracking software). This solicitation is not for solar hot water or heating applications.

Question 2: Can a large business (>500 employees) submit a stand-alone proposal in response to this FOA if one of their divisions is seeking to focus on soft cost solutions?
Answer 2: The startup division may apply as the Prime Recipient if it meets the eligibility criteria. The startup division would have to be a separately incorporated entity with less than 500 employees.

Question 3: Can a large business (>500 employees) participate as a subcontractor to a small business with the understanding that the small business will be the Prime Recipient and incur at least 60% of the total expenditures?
Answer 3: A company with greater than 500 employees cannot apply as a stand-alone applicant for this funding opportunity. However, a large company can participate as a subcontractor partnered with a small business as long as that small business incurs at least 60% of the award funds and can meet the cost share requirements.

Question 4: Where can participants register for the December 9th Webinar that was noted in the FOA?
Answer 4:

The Webinar mentioned in the FOA will be held on December 9^th from 4:30pm to 5:30pm Eastern Standard Time. Those interested in participating in the webinar should note the following.

· Please check this website to make sure you have the appropriate system requirements needed to join the webinar: http://www.gotomeeting.com/fec/webinar/webinar_support.

· Register at: https://www1.gotomeeting.com/register/335894520. Once submitted, the participant will receive an automated email with the webinar address.

· Audio is available through the Internet (headset/speakers) and over the phone. You will be able to access audio through the Webinar pop up. Clicking on Telephone will display the call-in number, which is also found in the registration confirmation email.

Question 5: Is this program for those who own or are thinking of purchasing a solar array to request funding?
Answer 5: No. This funding opportunity is specifically meant to lower the non-hardware cost of solar installations up to the completion of the installation. Once a system is installed and producing power, it is outside the scope of this funding opportunity. Upgrading an existing installation is also outside the scope of this funding opportunity.

Question 6: I represent a nonprofit 501(c)(3) which owns a wholly-owned for-profit subsidiary, and which also in turn owns project specific LLCs. As a nonprofit small business, are we still eligible to apply for an award under this FOA?
Answer 6: Based on the information provided, the for-profit subsidiary is eligible to apply as a Prime Recipient if it is a small business with less than 500 employees, and the nonprofit 501(c)(3) is eligible to apply as a Project Team member.

Question 7: Can I attend the Q&A Webinar on December 9th if I am not currently an applicant / haven't submitted a Notice of Intent to Apply?
Answer 7: Yes. Please see Question 4 for Webinar registration information.

Question 8: Should projects target to reduce all types of soft costs or specific parts of the soft costs?
Answer 8: Applicants are not required to address every potential type of soft cost. Please refer to Sections I.C and I.D of the FOA for “Areas of Programmatic Interest” and “Areas Specifically Not of Interest” for more information.

Question 9: Would a project to develop a standard PPA and finance structure for a range of sites be appropriate under SunShot?
Answer 9: Section I.C of the FOA states that one of the areas of programmatic interest is “tools to address customer acquisition and installer overhead, financing or contracting, permitting/inspection, interconnection, or installation through…financial innovations.” Please refer to Sections I.C and I.D of the FOA for “Areas of Programmatic Interest” and “Areas Specifically Not of Interest” for more information.

Question 10: Is SunShot really focused on software or database? There appears to be a solid foundation in this area (ie the Solar Advisor Model). What types of innovation are you looking for?
Answer 10: The SunShot Program is focused on reducing the installed price of solar energy to $0.05-0.06/kWh by the end of the decade. Non-hardware cost or ‘soft’ costs account for a large portion of the current cost structure. It is these “soft” costs which the SunShot Incubator FOA is seeking to address. Please refer to Sections I.C and I.D of the FOA for “Areas of Programmatic Interest” and “Areas Specifically Not of Interest” for more information.

Question 11: Is there any benefit from an Incubator application that proposes solutions to solar AND other renewable technologies?
Answer 11: The purpose of this funding opportunity is to target soft costs related to solar energy. Therefore, applications will not receive a higher score for also targeting other renewable energy technologies.

Question 12: How do we know if our "Notice of Intent to File" messages have been received? Does it matter?
Answer 12: Applicants do not receive a "receipt" upon submission of a Notice of Intent. However, if it was sent to SunShot.Incubator@ee.doe.gov, it has been received. Though we would like NOIs to be submitted for purposes of planning the application review process, it is completely optional and we will not provide comments on specific NOIs. We will provide comments on Concept Papers which must be received by 5 PM ET, January 16, 2012.

Question 13: Is there going to be an online forum for discussions?
Answer 13: No. The FAQ page is the primary mechanism for communicating with Applicants.

Question 14: If development has started but release 1.0 is scheduled for after award date, does this project still qualify or can the development only start after the award is made?
Answer 14: This award will only provide funds for work performed during the project period; any work done prior to the start date of an award is not eligible for funding. However, the Contracting Officer may approve allowable pre-award costs incurred after the date of selection.

Question 15: Can you cover the cost share and how that works? If 500K is awarded, what does recipient need to contribute and what is the form of money? Existing operating cost? Salary? Etc?
Answer 15: Please refer to Section III.B of the FOA for information on cost share requirements.

Question 16: Does applying for a Tier 1 award obligate me to apply for a Tier 2 award, or can I apply for a Tier 1 award without a plan to submit a Tier 2 proposal?
Answer 16: If you receive a Tier 1 award, you are not required to apply for a Tier 2 award.

Question 17: Please address the differences between this program and the Rooftop Solar Challenge.
Answer 17: The SunShot Incubator Program will fund innovative startups and small businesses to develop an idea to reduce soft costs. The Incubator Program jumpstarts companies which are intended to remain stand-alone, private entities after "graduating" from Incubator. The Rooftop Solar Challenge, on the other hand, invited local and regional teams that may include cities, universities, businesses, counties, states, and others to streamline municipal and state-level processes like permitting and net metering, to facilitate more solar-friendly planning and zoning, and to expand solar financing options. While the Rooftop Challenge and Incubator both aim to reduce soft costs, the teams funded by the Challenge are not standalone startups or small companies

Question 18: If an international company owns 100% of a US company, does 100% of the funds awarded to them under the Incubator Program have to be spent in the US subsidiary? Is it possible for the US subsidiary to contract some of the project deliverables to the international company?
Answer 18: At least 60% of the award funds, including cost share, must be spent by the Prime Recipient. The remaining 40% can be spent by the Prime Recipient or a Subrecipient. DOE requires all work to be performed in the United States – i.e., Prime Recipients and Subrecipients must expend 100% of the Total Project Cost, including cost share, in the United States. However, Applicants may request a waiver of this requirement where their project would materially benefit from, or otherwise requires, certain work to be performed overseas. Please refer to Section IV.H.5, “Performance of Work in the United States,” of the FOA for more information.

Question 19: Is there a rule regarding the level of work that can be subcontracted?
Answer 19: At least 60% of the award funds, including cost share, must be spent by the Prime Recipient. The remaining 40% can be spent by the Prime Recipient or a Subrecipient.

Question 20: I work for an international company. Can my foreign colleagues work on this?
Answer 20: At least 60% of the award funds, including cost share, must be spent by the Prime Recipient. The remaining 40% can be spent by the Prime Recipient or a Subrecipient. DOE requires all work to be performed in the United States – i.e., Prime Recipients and Subrecipients must expend 100% of the Total Project Cost, including cost share, in the United States. However, Applicants may request a waiver of this requirement where their project would materially benefit from, or otherwise requires, certain work to be performed overseas. Please refer to Section IV.H.5, “Performance of Work in the United States,” of the FOA for more information.

Question 21: Would a soft cost solution that requires minimal hardware (example: monitoring hardware) be eligible?
Answer 21: Applicants may propose soft cost solutions that require minimal hardware, incidental to the soft cost reduction. Efforts which develop a piece of hardware or a component of a piece of hardware will be considered non-compliant. Please refer to Sections I.C and I.D of the FOA for “Areas of Programmatic Interest” and “Areas Specifically Not of Interest” for more information.

Question 22: Are there examples of successful concept papers from other SunShot programs that we could refer to when preparing our own papers?
Answer 22: No. Applicants should use the guidance in the FOA and structure their Concept Paper in the way that best exemplifies their project.

Question 23: Can an applicant opt to provide more than the minimum cost share required?
Answer 23: Yes.

Question 24: Are applicants that are in a pre-revenue phase still allowed to apply?
Answer 24: Yes.

Question 25: Will there be another round of funding for soft costs? For example, if we bid for Tier 1 and win, will there be a future opportunity (within the next year) for Tier 2 funding?
Answer 25: No decision has been made at this time on future FOAs for soft cost reductions.

Question 26: Would developing a new financing channel that makes funding for rooftop solar projects fit into the type of business that would be funded under a Tier 1 grant?
Answer 26: Section I.C of the FOA states that one of the areas of programmatic interest is “tools to address customer acquisition and installer overhead, financing or contracting, permitting/inspection, interconnection, or installation through…financial innovations.” Please refer to Sections I.C and I.D of the FOA for “Areas of Programmatic Interest” and “Areas Specifically Not of Interest” for more information.

Question 27: Can you better articulate the difference between existing product upgrades and new products?
Answer 27: An area that is specifically not of interest for this FOA is “incremental improvements to existing technologies/products/solutions.” DOE understands that incremental improvements to existing technologies/products/solutions can be extremely compelling and offer significant advantages; however, DOE is not seeking applications of this type and they will be considered non-responsive. An incremental improvement is one that is intended to replace or improve the current product. This funding opportunity is meant to accelerate the creation of new and innovative solutions to reduce soft costs (Tier 1) and accelerate the deployment of innovative solutions to reduce soft cost (Tier 2). It is not meant to fund business as usual activities in an existing product. It is left to the applicant to show the value of the proposed work that would be funded with this opportunity. Please refer to Sections I.C and I.D of the FOA for “Areas of Programmatic Interest” and “Areas Specifically Not of Interest” for more information.

Question 28: How many Tier 1 and 2 proposals will be accepted?
Answer 28: We regret that we cannot answer your question as it relates to procurement-sensitive information.

Question 29: How many LOI's did you receive so far?
Answer 29: We regret that we cannot answer your question as it relates to procurement-sensitive information.

Question 30: FOA says: proposals for hardware-related solutions will not be accepted. What if such a hardware solution helps to reduce software costs? Can you give an example of a project that would be considered for funding?
Answer 30: Applicants may propose soft cost solutions that require minimal hardware, incidental to the soft cost reduction. Efforts which develop a piece of hardware or a component of a piece of hardware will be considered non-compliant. Please refer to Sections I.C and I.D of the FOA for “Areas of Programmatic Interest” and “Areas Specifically Not of Interest” for more information.

Question 31: Can foreign companies participate in this funding directly or must it be through a US based partner?
Answer 31: At least 60% of the award funds, including cost share, must be spent by the Prime Recipient. The remaining 40% can be spent by the Prime Recipient or a Subrecipient. DOE requires all work to be performed in the United States – i.e., Prime Recipients and Subrecipients must expend 100% of the Total Project Cost, including cost share, in the United States. However, Applicants may request a waiver of this requirement where their project would materially benefit from, or otherwise requires, certain work to be performed overseas. Please refer to Section IV.H.5, “Performance of Work in the United States,” of the FOA for more information.

Question 32: Who is going to verify the deliverables at DOE?
Answer 32: A DOE project officer will coordinate the deliverable verification method and schedule with the awardee.

Question 33: If the award is cancelled after 50% of project progress, how much of the money does the recipient need to return?
Answer 33: None. Funds are distributed upon deliverable verification. Once a deliverable is achieved and verified, funds are paid out. If a deliverable is not met or is not verifiable, no funds are paid out.

Question 34: Can the 20% share cost be 10% of salaries (in kind) and the other 10% of cash?
Answer 34: Yes. Cost share can be met through a combination of cash and in-kind contributions. There is a $200,000 in-kind salary cap. The proposed in-kind salary will be closely scrutinized and audited. An individual cannot provide in-kind hours which (s)he is being paid by another entity (i.e. 40 hours a week cannot be contributed in kind if those same 40 hours were spent at another job). Only hours working directly on the award can be donated in-kind. See Section III.A of the FOA for more information on cost share requirements.

Question 35: Would a new feature set to an existing commercial product be eligible?
Answer 35: An area that is specifically not of interest for this FOA is “incremental improvements to existing technologies/products/solutions.” DOE understands that incremental improvements to existing technologies/products/solutions can be extremely compelling and offer significant advantages; however, DOE is not seeking applications of this type and they will be considered non-responsive. An incremental improvement is one that is intended to replace or improve the current product. This funding opportunity is meant to accelerate the creation of new and innovative solutions to reduce soft costs (Tier 1) and accelerate the deployment of innovative solutions to reduce soft cost (Tier 2). It is not meant to fund business as usual activities in an existing product. It is left to the applicant to show the value of the proposed work that would be funded with this opportunity. Please refer to Sections I.C and I.D of the FOA for “Areas of Programmatic Interest” and “Areas Specifically Not of Interest” for more information.

Question 36: What is the difference between sub-contractor and vendor?
Answer 36: A sub-contractor typically receives a portion of the award money from the Prime Recipient in order to complete project work and meet deliverables. A vendor is an entity from which the awardee purchases equipment or other materials needed to complete the project.

Question 37: In the cost sharing, please walk through 80/20 and 50/50. I'm assuming that 80% is covered by DOE grant, 20% has to be funded by recipient company. Does the cost-share have to be reserved money or counted from operating cash flows?
Answer 37: Please see the FOA, which describes allowable and unallowable sources of cost share. The cost share must be paid either up front or incrementally over the life of the project.

Question 38: What does the scale look like from companies that indicated intention to file? What number of applications are expected?
Answer 38: That is procurement-sensitive information that we cannot disclose at this time, but we expect to receive a substantial number of applications.

Question 39: Are there external considerations that may force cancellation of this allocation? Is it already pre-approved budget or requires some congressional approval
Answer 39: There is a fixed, approved budget allocation for this FOA. It will not be canceled.

Question 40: Can you confirm that any awardee retains all proprietary rights to any business concept or derivatives of that concept funded through this program? In certain DOE awards, there was a requirement to keep the project open-source or free to all. We would like to make sure that the federal government or any private sector entity can’t lay claim to any project funded because of the conditions of the award.
Answer 40: There is no open source requirement for this FOA. Recipients may elect title to IP developed under the award. See the FOA for more details.

Question 41: When does the DOE anticipate announcing the final awards? Will all proposed projects and the organizations proposing these projects be kept confidential prior to this announcement?
Answer 41: See the FOA for expected selection announcement. Awardees will not be disclosed prior to the announcement. The identity of non-selected applicants will not be announced.

Question 42: What will the DOE do with proposals that do not receive awards? Will they be destroyed? Or are their safeguards to protect the confidentiality of the proposal and the corresponding organization?
Answer 42: Non-selected applications are retained and later destroyed in accordance with National Archive record retention requirements. They are maintained as confidential.

Question 43: Should a proposal that cuts across two focus areas (e.g. customer acquisition AND financing) be discussed in the same concept paper?
Answer 43: Yes, please discuss both in the same Concept Paper

Question 44: What were some of the assumptions in the NREL BoS soft cost estimates (pg. 17 of the SunShot Overview document)? Where can we find more detailed breakdowns of these cost estimates?
Answer 44: "NREL's BoS soft cost estimates will be adjusted based on 2011 data collection effort, in process. The preliminary figures are based on three primary sources: 1) the Sun Run local permitting report (http://www.sunrunhome.com/solar-lease/cost-of-solar/local-permitting); 2) information gathered by NREL's Solar PV Manufacturing Technologies team. The manufacturing team currently has a summary presentation of their methodology available at:http://www.nrel.gov/docs/fy11osti/50955.pdf, and will be releasing a further detailed paper on the subject later this month. 3) Conversations with industry regarding typical costs associated with financing systems via a third-party or on-balance sheet."

Question 45: Beyond the periodic review of deliverables, what kind of oversight does DOE have on the project?
Answer 45: Please refer to Section II.C, “Statement of Substantial Involvement,” in the FOA.

Question 46: What other support would DOE provide?
Answer 46: Support consists of Federal funding and technical or other guidance or assistance by DOE personnel.

Question 47: Is the intention to target Residential or Commercial (or both) solar energy?
Answer 47: This program is open to solutions targeting the soft costs of any and all areas of the solar industry. This solicitation is not for solar hot water or heating applications.

Question 48: Is the intention to target Photovoltaic (PV), Residential Solar Thermal, or Concentrated Solar Power (or any/all)?
Answer 48: This funding opportunity is for all methods and solutions that reduce non-hardware solar costs. This includes techniques that apply to concentrating (sunlight to heat to electricity) and photovoltaic (sunlight to electricity) solar power for residential, commercial, and utility scale solar installations. Note: This solicitation is not for non-hardware solutions which improve hardware performance (ie improved tracking software). This solicitation is not for solar hot water or heating applications.

Question 49: Can an applicant in the process of incorporating in the USA, with that process completed before the application deadline, be allowed to apply?
Answer 49: Yes, but the date of incorporation must be explicitly stated in the application.

Question 50: What is the method / timing for movement from Tier 1 into Tier 2? We are trying to evaluate the appropriate Tier to apply for, and on page 15 of the FOA it states: "This development effort [Tier 1] will quickly move companies into a position to be competitive for a Tier 2 award under the SunShot Incubator Program." How can one apply for both Tiers or be able to move from Tier 1 into Tier 2 given that the deadline dates are the same?
Answer 50: An Applicant may submit a single application for a Tier 1 award and a single, separate application for a Tier 2 award. Each application must have a different Principal Investigator (PI) and be for a completely different project/solution. Applicants may submit an application for a Tier 2 award even if they did not receive a Tier 1 award previously. If an applicant receives a Tier 1 award they are not automatically given a Tier 2 award at a later date. In order to receive a Tier 2 award the applicant would need to submit an application to a later Incubator program and be selected through a competitive process. A successful Tier 1 project would likely be a strong candidate to be awarded under Tier 2 upon completion of the Tier 1 project.

Question 51: Is a prior Tier 2 Incubator award winner eligible to apply for either a Tier 1 or Tier 2 award under this solicitation as long as the proposed technology/product/solution is a completely different platform and product family from the company's current technology/production and prior award? This would appear to be in accordance with the intent of the FOA.
Answer 51: This restriction was eliminated in a FOA modification dated December 19, 2011.

Question 52: Is there data available for Figure 4 (Solar Installation Soft Costs)? I am looking for some of the specifics behind this chart.
Answer 52: "NREL's BoS soft cost estimates will be adjusted based on 2011 data collection effort, in process. The preliminary figures are based on three primary sources: 1) the Sun Run local permitting report (http://www.sunrunhome.com/solar-lease/cost-of-solar/local-permitting); 2) information gathered by NREL's Solar PV Manufacturing Technologies team. The manufacturing team currently has a summary presentation of their methodology available at:http://www.nrel.gov/docs/fy11osti/50955.pdf, and will be releasing a further detailed paper on the subject later this month. 3) Conversations with industry regarding typical costs associated with financing systems via a third-party or on-balance sheet."

Question 53: Are the slides from the webinar going to be available?
Answer 53:

The slides from the December 9th Webinar will NOT be posted online. However, below you will find a summary of the presentation.

Incubator Webinar Summary

- The goal of the SunShot Initiative is a 75% reduction in the cost of solar energy by the end of the decade. This is equivalent to a levelized cost of energy of approximately $0.05-$0.06 / kWh at utility scale.

- The SunShot Initiative seeks to reduce the cost of solar energy by addressing a broad range of Technology Readiness Levels, including projects that target research, development, demonstration, and deployment.

- The SunShot Incubator program aims to foster new innovative ideas in the development phase of this process.

- While great progress is being made in reducing the cost of the hardware components, it is important to note that the “soft costs” associated with solar still account for a large percentage of the overall price. The goal of this round of the SunShot Incubator program is to support new ideas to reduce those soft costs.

- Some areas where soft costs are found include:

o Customer Acquisition

o Financing and Contracting

o Permitting, Inspection, and Interconnection

o Installation and Performance

- The SunShot Incubator program is broken into two Tiers:

o Tier 1: Accelerate the development of innovative solar and BOS technologies to the prototype or alpha product stage

§ 12 month duration

§ Cost Share ≥ 20% of the Total Project Cost

§ Maximum award of $500K

o Tier 2: Transition innovative solutions in to the pilot or beta release and eventually into full-scale deployment

§ 18 month duration

§ Cost Share ≥ 50% of the Total Project Cost

§ Maximum award of $5M (typical award of $1-2M)

- Key Deadlines

o Concept Papers Submission: 5 PM ET, January 16, 2012

o Technical support e-mail: EERE-ExchangeSupport@ee.doe.gov

o Expected Date of Concept Paper Notification: 5 PM ET, February 6, 2012

o Submission Deadline for Full Applications: 5 PM ET, March 5, 2012

- Cost Share: See III.B in FOA

o Tier 1 ≥ 20% of Total Project Cost

o Tier 2 ≥ 50% of Total Project Cost

o

o Cash or in-kind contributions

o Cost share shall be incurred in equal installments over the life of the award

o All expenditures must be allowable, allocable, and reasonable in accordance with the applicable Federal cost principles

- FAQ – “allocable” FAR 31.301-4

o A cost is allocable if it is assignable or chargeable to one or more cost objectives on the basis of relative benefits received or other equitable relationship. Subject to the foregoing, a cost is allocable to a Government contract if it:

o (a) Is incurred specifically for the contract;

o (b) Benefits both the contract and other work, and can be distributed to them in reasonable proportion to the benefits received; or

o (c) Is necessary to the overall operation of the business, although a direct relationship to any particular cost objective cannot be shown.

- Cost Share: May NOT use the following sources to meet cost share obligations (See III.B in FOA):

o Revenues or royalties from the prospective operation of an activity beyond the project period

o Proceeds from the prospective sale of an asset of an activity

o Federal funding or property (e.g., Federal grants, equipment owned by the Federal Government)

o Expenditures that were reimbursed under a separate Federal program.

o Project Teams may not use the same cash or in-kind contributions to meet cost share requirements for more than one project or program.

- FAQ – “small business”

o The term “small business” is defined as a for-profit entity with less than 500 employees. For questions about small business size standards, please refer to the Small Business Administration’s “Guide to SBA’s Definitions of Small Business”

o Nonprofit organizations described in section 501©(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995 are not eligible to apply for funding as a Prime Recipient or Subrecipient. 501©(3) are eligible to be subrecipients but not prime.

- FAQ – other

o Prime Recipients must incur at least 60% of award funds and supply corresponding cost share

o Prime Recipients must expend 100% of the Total Project Cost in the United States. However, Applicants may request a waiver of this requirement where their project would materially benefit from, or otherwise requires, certain work to be performed overseas.

o Please see online FAQ link at EERE Exchange for other FAQs

o Submit further questions to Sunshot.Incubator@ee.doe.gov

Question 54: Does my idea qualify for this grant?
Answer 54: This funding announcement is for solutions that reduce the non-hardware costs of solar energy such as customer acquisition, installer overhead, financing, contracting, permitting, inspection, interconnection, and installation. You can refer to Sections I.C and I.D of the FOA for "Area of Programmatic Interest" and "Areas Specifically Not of Interest" for more information.

Question 55: Do hardware innovations qualify for this grant?
Answer 55: This funding announcement is for solutions that reduce the non-hardware costs of solar energy such as customer acquisition, installer overhead, financing, contracting, permitting, inspection, interconnection, and installation. The DOE recognizes the merits of funding hardware-related cost reduction efforts as demonstrated by the majority of funding going to such solutions. However, this FOA is specifically for non-hardware related projects/solutions. Efforts which develop a piece of hardware or a component of a piece of hardware will be considered non-compliant. Please refer to Sections I.C and I.D of the FOA for “Areas of Programmatic Interest” and “Areas Specifically Not of Interest” for more information.

Question 56: Where can I find information about other DOE funding opportunities for solar energy technologies?"
Answer 56: You can find a list of the current DOE EERE funding opportunities at https://eere-exchange.energy.gov/. Also, http://www.grants.gov/ is a central storehouse for federal grants.

Question 57: On the EERE-Exchange Concept Submission Form, there is a tab labeled “TRL”. What does TRL stand for?
Answer 57: The “Technology Readiness Level” (TRL) ranges from 1 to 9 and is an approximation on when a technology will reach full-scale commercial deployment. The specific meanings of each level are as follows:

1) Basic principles observed and reported

2) Technology concept and/or application formulated

3) Analytical and experimental critical function and/or characteristic proof of concept

4) Component and/or breadboard validation in laboratory environment

5) Component and/or breadboard validation in relevant environment

6) System/subsystem model or prototype demonstration in a relevant environment

7) System prototype demonstration in a operational environment

8) Actual system completed and qualified through test and demonstration

9) Actual system proven through successful mission operations

Question 58: Do we have to include forms such as the SF-LLL, or the SF-424 when submitting Concept Papers?
Answer 58: Please see Section IV. C of the FOA for the required content and form of the Concept Papers. Title pages are not requested or expected for the Concept Papers. The Concept Paper has a section for an Abstract, Project Description, Qualifications and Resources, Business Plan/Commercialization Strategy, and a Summary Slide.

Question 59: Will DOE provide a template document for the Concept Paper format?
Answer 59: DOE will not provide a template for the Concept Papers. Please construct concept papers using the guidelines in the FOA.

Question 60: Can you clarify the meaning of “A very brief discussion of the impact on the SunShot Initiative in reference to the proposed cost benefits of the technology and its impact on cost in 2015 and 2020 with a detailed list of any assumptions made.” as it pertains to the Business Plan/Commercialization Strategy section of the Concept Paper (Section IV.C of the FOA)?
Answer 60: This entry in the FOA is asking the applicant to describe how the proposed solution will aid in the achievement of the SunShot Initiative which is outlined in section I.A of the FOA. Specifically, please explain how your concept will reduce the cost of solar energy installations.

Question 61: We are submitting a Full Application but our team has changed. Would it be appropriate to submit the proposal under a new entity instead of through the company that submitted the Concept Paper?
Answer 61: If your team has changed, you must edit your existing application though the EERE Exchange website. Use your existing application control number and edit the necessary fields before you submit your Full Application.

Question 62: For cost sharing purposes, we intend only to include the salaries of employees directly working on this project and no overhead rates, equipment, or any other costs. We intend to have people on the project keep logs of their direct hours. Do all employees in the company have to record hours?
Answer 62: Only include the hours and rates of personnel that will be involved in the project in determining the total project cost. Final funding levels will be negotiated during the award negotiation phase and reporting requirements will be described in detail once an applicant enters the award negotiation phase.

Question 63: Will the second webinar be held on February 20th or has it been changed to another date?
Answer 63: The webinar has been moved to Tuesday, February 21st, 2012. Please see the FOA posting for registration information.

Question 64: I received a confirmation that my concept paper was submitted. Am I able to submit a full application? Is the email confirmation sufficient to prove submission or is there some other requirement?
Answer 64: All groups that submitted a responsive Concept Paper (Encouraged or Discouraged) are allowed to submit a Full Application. Please log into EERE Exchange to see the status of your Concept Paper.

Question 65: The FOA contains the following language: “The U.S. Government retains a nonexclusive, nontransferrable, 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.” Through negotiations, can reasonable limits be placed on this right? For example, can the government have this right only if applicant fails to license its concept?
Answer 65: This language is statutory for subject inventions (i.e. inventions conceived or first actually reduced to practice under an award) and only applies for work by or on behalf of the Government. It does not apply to third party commercial uses that are not by or on behalf of the Government.

Question 66: In reading the requirements for a Full Application, the links for the Environmental Impacts Questionnaire, SF-424A, and SF-424 forms do not seem to be correct.
Answer 66: The required documents can all be found in the “Required Applications Documents” section of the FOA at:
https://eere-exchange.energy.gov/Default.aspx#9b0fa116-6f34-4078-9891-a3421679962e.

Question 67: How many Concept Papers were submitted? How many concepts were “Encouraged”? What was the percent of the responses by category of response? How many concepts dealt with a given technology area?
Answer 67: This information cannot be provided. There was significant interest in this funding opportunity.

Question 68: What were the categories of DOE’s responses in addition to “Encouraged”?
Answer 68: Encourage, Discourage, Non-responsive, Not submitted

Question 69: Will DOE consider extending the deadline for the Full Application?
Answer 69: Not at this time.

Question 70: Will DOE change or reduce the funds requested?
Answer 70: The DOE, at its discretion, can fund all, or part of a selected award. After a selection is made, a period of award negotiation is entered where both parties must agree to the work that will be accomplished.

Question 71: Section III.A.1 states that "only small businesses incorporated in the United States are eligible to apply for funding as Standalone Applicants." For new start-up companies that are applying for Tier 1 funding under this solicitation, must they be incorporated when the Full Application is submitted or can they wait until funding is secured before incorporating?
Answer 71: To be considered an eligible entity to receive an award, project teams must be led by a small business incorporated within the U.S. at the time when the full application is submitted. For other eligibility criteria, see section III of the FOA.

Question 72: Another SunShot Incubator FOA (DE-FOA-00000651) was released on February 9. If someone is applying for Tier 1 funding under this Soft Costs FOA, can they also apply for funding under the most recently announced FOA?
Answer 72: The latest SunShot Incubator FOA (DE-FOA-00000651) is open to solar solutions that could dramatically reduce hardware and/or soft costs. As stated in DE-FOA-00000651, "DOE will accept only new applications under this FOA. Applicants may not seek renewal or supplementation of their existing awards." Applicants who receive funding under the SunShot Incubator for Soft Cost Reduction FOA for a Tier 1 project would most likely not be ready to apply to a Tier 2 award under the latest FOA as the alpha product to be developed under Tier 1 of the Soft Cost FOA (DE-FOA-00000607) would not yet be complete at time of application for a new Tier 2 award. However, a completely new solution could be acceptable.

Question 73: May the applicant use the real estate rental value of its office space as in-kind cost share contribution or do real estate in-kind contributions have to house or support a solar array project?
Answer 73: In-kind contributions may include the rental value of the office space that is necessary to achieve the project objectives. Unless the rental space is being used 100% for the project, only a portion of the rent directly attributed to project work in the approved budget is allowable. All expenditures must be allowable, allocable, and reasonable in accordance with the applicable Federal cost principles.

Question 74: What is expected for the first deliverable of an award?
Answer 74: The first deliverable is the “baseline deliverable” that must demonstrate the current capabilities of the applicant. The baseline deliverable must represent the current status of your project before receiving funding under the Incubator Program. The baseline deliverable may contain several figures of merit and represent multiple capabilities related to future project deliverables.

Question 75: Should the Business Plan section of the Full Application include a detailed analysis on estimated cost saving ($/W) for individual installers and the overall market?
Answer 75: Please see the “Content and Form of Full Applications” section of the FOA (section IV.D) and related evaluation criteria (Section V.A) for a description of how each application section should be constructed. The ability of your project to aid in the realization of SunShot goals is a merit criteria described in section V.A of the FOA.

Question 76: If none of the ineligibility criteria exist, should we submit a “Disclosures for Eligibility Determination” form?
Answer 76: No, You are only required to submit this disclosure if any of the conditions specified in Disclosures for Eligibility Determination section of the FOA exist.

Question 77: How important is it that the proposed solution supports the thousands of smaller companies (especially installers) versus larger and well capitalized players?
Answer 77: The Incubator program is designed to help small businesses bring innovative solutions to the market. Therefore, an applicant may have a customer base that is comprised of small or large companies. Whether your solution is marketed to small or big entities and any assumptions you make about the market should be discussed in the “Business Plan” section of the Full Application. Note that impact is judged based on a solution’s impact on the solar market as a whole in terms of installed price reduction.

Question 78: Do you have any recommendations or preference on how we model overall market projections for the next 5-10 years. Should we make any assumptions about how the market might evolve?
Answer 78: Please justify and describe any assumptions that are used to make market projections.

Question 79: How much help in the form of advice, referrals, or feedback can we get from the DOE during the award?
Answer 79: DOE will try to support your project by providing advice, referrals, and feedback to the best of our capability if you are granted an award. Please bear in mind that the ability of the applicant team to accomplish the proposed project is an evaluation criterion for the Full Application as stated in section V.A of the FOA.

Question 80: What interaction or introductions can we expect from other SunShot awardees?
Answer 80: The Solar Energy Technologies Program tries to foster connections between our awardees to the best of our capabilities. Currently, there is not a formal mechanism to introduce the Incubator Awardees but SETP is exploring options to increase such interactions.

Question 81: For partners or alpha users, do we need a defined list with names?
Answer 81: Please describe your current capabilities in the Full Application. DOE understands that applicants will be at different stages of development.

Question 82: Regarding continued funding post project period, what is process for awarding Tier 2 awards?
Answer 82: Upon the successful completion of a Tier 1 award, the award recipient may apply for a Tier 2 award announced in subsequent Incubator Program FOAs. Tier 1 award recipients are subject to the evaluation procedure described in the subsequent FOA to which they apply.

Question 83: Were overall ratings provided on Concept Papers? How should we know whether the feedback received in the Concept Paper will be the same opinions in viewing the Full Application?
Answer 83: Overall ratings were not displayed as part of the Concept Paper feedback. Please note that the review panel will not be the same between the Concept Paper and Full Application stages. The evaluation criteria for the Full Application are stated in section V.A of FOA.

Question 84: Is there a way to mark the whole application confidential?
Answer 84: Please use the marking requirements that are described in the FOA. The marking requirements are designed to protect proprietary information in the event of a Freedom of Information (FOI) request.

Question 85: Do you allow financing costs as an eligible expense in calculating the total project cost?
Answer 85: Financing costs are not eligible project costs. Please see the “Allowable Costs” section in the FOA for further information (section IV.H.1).

Question 86: To the extent that we have industry groups and partner support, can we include letters of support from these parties?
Answer 86: Please only submit the required documentation for the Full Application and adhere to the page limits. You can mention that you have letters of support in your application, which DOE may request at a later time.

Question 87: If our concept paper stated we were bidding for Tier 1, can we switch to Tier 2 for the full application if we feel that is more appropriate?
Answer 87: Unfortunately you cannot switch the Tier 2 level if you submitted a Tier 1 concept paper. A Concept Paper that was written for a Tier 1 award would have likely been non-compliant as a result of an inadequate cost share for a Tier 2 award, and therefore, you cannot switch to the Tier 2 level after your Concept Paper was submitted.

Question 88: Can you clarify the "other Sources of Funding Disclosure"? What sources of funding qualify as "financial assistance"?
Answer 88: Please see section IV.D.9 of the FOA for sources of funding that must be disclosed. “Financial assistance” refers to funds received through a grant or cooperative agreement.

Question 89: With respect to the question of US jobs created by the project, is that a request for direct or indirect jobs required?
Answer 89: Please estimate direct jobs created and separately estimate the indirect jobs created. Be sure to justify you estimations and clearly describe any assumptions.

Question 90: Does the full application have to be for the same idea proposed for the Concept Paper or is it possible to take our idea in a different direction?
Answer 90: 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. Submitting a Full Application based on a different concept than was described in the submitted Concept paper is strongly discouraged. Only Applicants that submitted a compliant and responsive Concept Paper are eligible to submit a Full Application.

Question 91: In Section IV.D.2. of the FOA it is written that there is no page limit for the Milestones Table but there is a page limit for the Milestones Schedule which is part of the Work Plan portion of the Full Application. Can you elaborate?
Answer 91: The Milestones Schedule is a tabulated list and description of the tasks and subtasks that are necessary to achieve the project objectives, which is included in the Work Plan Portion of the Full Application. The Work Plan section of the Full Application contains the Milestones Schedule is limited to 12 pages. In contrast, the Milestones Table is an Excel sheet that shows a brief description of the tasks and subtasks along a timeline and is used to view the project as a whole. There is no page limit for the Milestones Table Excel document and it should track the work flow outlined in the Milestones Schedule.

Question 92: Are applicants that provide more than 20% cost share for a Tier 1 award given an advantage in the application process?
Answer 92: A 20% cost-share is the minimum amount for a Tier 1 application. The apparent ability of the DOE to leverage its resources is a Project Policy Factor that will be considered in determining award recipients.

Question 93: What file format should be used for the summary slide?
Answer 93: DOE would prefer summary slides in Microsoft PowerPoint (.ppt or .pptx) format. For convenience, we will accept summary slides in Adobe PDF (.pdf) or Microsoft PowerPoint (.ppt/.pptx) formats.

Question 94: Can we conduct a survey to demonstrate the need for what we are proposing as our Baseline Deliverable?
Answer 94: A survey demonstrating need would not describe the applicant’s current capabilities as is required by the Baseline Deliverable. For that reason, it would be better to complete such a survey before submitting the Full Application.

Question 95: Since the goal of SunShot is reach a certain cost per Watt by 2020 (which is beyond the award period) should we show the trajectory of our solution in reaching that goal by 2020 or simply discuss the cost reduction by the end of the award period?
Answer 95: Please describe the cost savings that your project will achieve throughout the development cycle, i.e. before project, after project, during scale up, at full scale, and how this will work towards achieving the SunShot target cost in 2020.

Question 96: Can we change our budget allocation for the project after award?
Answer 96: Up to 10% of the total project costs can be reallocated after the award between direct cost categories without pre-approval by the Contracting Officer. Reallocating funds between direct and indirect costs would require approval by the Contracting Officer. It is vastly preferable to accurately assess the budgetary requirements during full application drafting and award negotiation (if awarded).

Question 97: Could you please describe what is required for a full application?
Answer 97: Please see the FOA for the content and form of the Concept Papers and Full Applications.

Question 98: Is there a minimum team size that is prescribed?
Answer 98: There is no minimum team size.

Question 99: Can some team members be part-time?
Answer 99: There is no prohibition to proposing part-time work on the project.

Question 100: While a national market may be the final goal for a new and innovative solution, can applicants focus on a specific region for a Tier 1 application? Is a national or state-wide solution more realistic for a Tier 1 effort?
Answer 100: A National or State market is not required, but applications will be evaluated, in part, by how it helps DOE meet the final goals of the Sunshot Initiative. Please describe the target market for your concept and carefully consider the evaluation criteria in Section V.A of the FOA.

Question 101: For a Tier 1 award where we are developing a prototype, how much discussion must there be on the commercialization strategy?
Answer 101: Please see section V.A of the FOA for the evaluation criteria.

Question 102: Is there a advantage if a working proof of concept has already been released in the market? Suppose we have a small application already out in a test market to test the proposed innovation, would this support our Full Application?
Answer 102: Demonstrating your baseline capabilities is a valuable aspect in an application. Please see section V.A of the FOA for the evaluation criteria.

Question 103: Do all the team members have to be currently employed by the small business or could they be hired contingent on receiving funding?
Answer 103: Hiring contingent on receiving funding is acceptable. Please identify your core team to the best of your capability. The ability of your team to accomplish the proposed tasks will be evaluated as described in section V.A of the FOA.

Question 104: Can the applicant include assumptions about future subsidies of solar in the Full Application?
Answer 104: The SunShot price targets do not consider subsidies. Describe how your concept will decrease the price of installed solar.

Question 105: Is data collection or the data itself an acceptable deliverable?
Answer 105: Please see section IV.D.3 of the FOA for the Deliverables explanation and section V.A of the FOA for the evaluation criteria.

Question 106: If we have several proposed deliverables based on coding, can we describe the functional aspects of the coding for each deliverable or must we provide the code?
Answer 106: Deliverables must be delivered and verified. The code itself as well as the functional aspects will be verified by DOE or a third party.

Question 107: Could you please provide an example of a milestone and how it is different than a deliverable?
Answer 107: Milestones are specific intermediary steps that demonstrate the work that must be accomplished between Deliverables. Milestones show the quality of your plan to achieve your deliverables and final project goal. Deliverables are delivered and verified before payment is made. For an analogy, if your goal is to walk up 10 flights of stairs, reaching each floor is a deliverable (with reaching the 10th floor being the final deliverable) and each step is a milestone. Achieving a single step shows clear progress to achieving the deliverables, achieving a deliverable shows clear progress to achieving the final goal.

Question 108: Can interim deliverables be reports and how many reports will you need?
Answer 108: Research progress reports must be provided quarterly and are not associated with Deliverables that are verified before funds are released to the Awardee. Please see section VI.C for reporting requirements. Reports that summarize work that has been conducted cannot be Deliverables. Deliverables must be verifiable and demonstrate that the work described in the report was conducted.

Question 109: Is it possible to ask a question over the phone to a DOE official?
Answer 109: No. You can submit questions to SunshotIncubator@ee.doe.gov

Question 110: The solar vision study report seems to be postponed. Any alternative data sources that you can recommend? Could you point to a study with latest utility scale PV solar costs and other relevant costs?
Answer 110: It is the applicant’s responsibility to research, understand and articulate the need for and impact of their proposed project. Citations should be used and assumptions should be listed wherever applicable. The lack of sources for assumptions is likely to significantly weaken the case an applicant tries to make.

Question 111: The SF-424 does not allow me to save the completed fields. Can I convert this document to an editable pdf?
Answer 111: You can convert this form as necessary to edit and save the editable fields but be sure to submit the final document in .pdf format.

Question 112: Do we need to include a Letter of Authorization from our partner for the FOA?
Answer 112: The Prime Recipient is required to provide cost share commitment letters from Subrecipients or third parties that are providing cost share, whether cash or in-kind.

Question 113: The SF-424A is for non-construction programs and since we are working on “soft” cost reduction (no construction), is this the only required budget form or will we still need to fill out the PMC123.1 budget form.
Answer 113: Please fill out both the SF-424A and the PMC 123.1 forms as stated in the FOA. These forms capture different data and they are both necessary. DOE shares your sentiment and we are in the process of streamlining the required documentation.

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