EERE eXCHANGE: FAQs

Question 1: In the review criteria, under the Market Transformation section, the criteria states: Comprehensiveness of sustainability plan including but not limited to product development and/or service plan, financing, product marketing, legal/regulatory considerations including intellectual property, infrastructure requirements, data dissemination, and product distribution. What is the definition of a sustainability plan under this criteria?
Answer 1: The “sustainability plan” referred to in the review criteria refers to an applicant’s plan for continuing their funded efforts beyond the period of performance for the award. DOE does not anticipate providing additional funding to NIICE awardees beyond the three year award period, and thus applicants will be evaluated on their plan to continue operations and demonstrate the goals of the project continue to be met through activities that are, at a minimum, consistent with the performance metrics of the award.

Question 2: For Topic 2, assuming the applicant commits the appropriate cost share, an applicant may request $400k-$765k for a 36-month project (e.g. not $400k-$765k annually for 3 years). Is that correct?
Answer 2: The total government award for the 36-month projects will be $400k-765k per incubator under Topic 2.

Question 3: While attempting to download the FOA, I keep getting a "network error." Please advise.
Answer 3:

Please try downloading the Funding Opportunity Announcement again. If you still have a problem, please contact the helpdesk for EERE’s Funding Opportunity eXCHANGE at EERE-ExchangeSupport@hq.doe.gov.

Question 4: Can you provide me the URL for the first informational webinar for the National Incubator Initiative for Clean Energy on 1/21/14? I couldn’t find it in the FOA, but feel free to point it out to me if I missed it.
Answer 4: Registration for the Pre-Concept Paper Webinar can be accessed by following this link: https://www1.gotomeeting.com/register/587911776 The registration information has been updated on the eXCHANGE FOA site.

Question 5: In your post you said, "national organization to serve as a coordinating body for clean energy incubators and a central source of information for clean energy stakeholders". I have a need for this kind of service. Please let me know how to contact the recipient of this award. Thank you.
Answer 5: The DOE anticipates announcing the NIICE awards in fiscal year 2014. In order to receive information on this and other DOE programs, please subscribe to EERE news updates at http://energy.gov/eere/about-us/eere-news-and-blog/subscribe-news-updates.

Question 6: WE ARE A 501C3 REGIONAL ECONOMIC DEVELOPMENT AGENCY THAT SERVES THE [Our Region]. THE [Regional Partnership] WAS FOUNDED IN 1994, AND WE HAVE AN ACTIVE BOARD OF 45-PLUS MEMBERS FROM THE PUBLIC-PRIVATE SECTORS IN THE REGION. OUR ANNUAL BUDGET IS CURRENTLY $5.5 MILLION. A MAJORITY OF THE 9 INCORPORATED CITIES IN THE REGION “INVEST” IN [Regional Partnership] AND/OR THE [Regional Partnership] IHUB PROGRAM ON AN ANNUAL BASIS. [Regional Partnership] HAS NATIONAL BEST-PRACTICE PROGRAMS THAT BROADLY FOCUS ON DEVELOPING/MAINTAINING JOBS IN THE REGION AND WORKFORCE DEVELOPMENT –TO ENSURE THE REGION IS ABLE TO PROVIDE AN EDUCATED WORKFORCE FOR THOSE JOBS. WE HAVE A HIGH DEGREE OF COLLABORATION FROM ALL THREE SCHOOL DISTRICTS, A MAJOR COMMUNITY COLLEGE, THREE MAJOR UNIVERSITIES, LOCAL CITY COUNCILS, AND RIVERSIDE COUNTY –AS WELL AS THE PRIVATE SECTOR. [Regional Partnership] HAS BOTH AN INCUBATOR AND ACCELERATOR PROGRAM –UNDER ITS IHUB UMBRELLA, AND IS RECOGNIZED AS A BEST-PRACTICE IHUB PROGRAM BY THE STATE OF [redacted]. OUR FOCUS IS ON CLEAN TECH/ENERGY START-UP COMPANIES. OUR MAIN OFFICE PROVIDES MORE THAN 10,000 SQUARE FEET OF OFFICE SPACE FOR INCUBATOR CLIENTS, AND PROVIDES EXTENSIVE WRAP-AROUND SUPPORT SERVICES SUCH AS ACCESS TO CAPITAL, DEVELOPMENT OF BUSINESS PLANS, MENTORING, ACCESS TO OUR SMALL BUSINESS DEVELOPMENT CENTER, ETC. AFTER THE CLIENTS ARE READY TO GRADUATE INTO MANUFACTURING/RESEARCH/IMPLEMENTATION STAGE, WE SEND THEM TO OUR ACCELERATOR PROGRAM, WHICH PROVIDES MORE THAN 42,000 SQUARE FEET OF BELOW-MARKET SPACE FOR THESE COMPANIES. THEY ARE GENERALLY ALLOWED TO STAY IN THE ACCELERATOR PROGRAM FOR TWO-YEARS –SOME LONGER….WITH THE GOAL OF THEM EVENTUALLY TAKING UP RESIDENCE WITHIN THE REGION AT FULL MARKET RATES. LOOKING OVER THE FOA GUIDANCE FOR THE NATIONAL INCUBATOR INITIATIVE FOR CLEAN ENERGY, TOPIC 2, IT APPEARS WE WOULD BE A PERFECT FIT FOR THIS PROGRAM. CAN YOU LET ME KNOW IF THERE ARE ANY LIMITATIONS TO A 501C3 –LIKE US –APPLYING FOR THIS PROGRAM? FOR INSTANCE –IS OUR LESS THAN $6 MILLION OPERATING BUDGET A LIMITING FACTOR? WE HAVE TWO FEDERAL GRANTS [redacted] AND [redacted]. WE ALSO RECEIVE MORE THAN $1.5 ANNUALLY FROM MAJOR FOUNDATIONS, SUCH AS [redacted] –THAT LARGELY GO TO OUR WORKFORCE DEVELOPMENT PROGRAMS. WE ALSO RECEIVE ANOTHER $500K FROM [redacted] TO DEVELOP A NEW HEALTH/MEDICAL INNOVATION CENTER AND ATTRACT NEW MEDICAL DEVICE START-UP COMPANIES TO THE REGION. THERE IS ANOTHER $1 MILLION THAT WAS RECENTLY COMMITTED BY [redacted] TO TENANT IMPROVEMENTS AT OUR ACCELERATOR CAMPUS FACILITIES, AND ANOTHER $100K FROM [redacted] FOR THE SAME PROJECT. WHAT ARE YOUR THOUGHTS? SHOULD WE APPLY –OR IS THERE ANY LIMITATIONS I AM NOT CONSIDERING? HOW DO WE GET REGISTERED FOR THE INFORMATIONAL WEBINAR ON JANUARY 21ST? THANKS.
Answer 6: Because this is a competitive announcement, DOE must provide equitable guidance to all potential applicants so that it does not unjustly encourage or discourage anyone. DOE can answer general questions about the program, eligibility, and application requirements. However, DOE is not the position to provide advice about how to best present your project or to comment on the merits of a prospective application. Applicants must make those determinations themselves when preparing their applications. Please be sure to carefully review the Funding Opportunity Announcement, which is posted on EERE’s Funding Opportunity eXCHANGE website (https://eere-xchange.energy.gov) to ensure you provide the necessary information in your application. Registration for the Pre-Concept Paper Webinar can accessed by following this link: https://www1.gotomeeting.com/register/587911776 The registration information has been updated on the eXCHANGE FOA site.

Question 7: My organization is an excellent candidate for funding under the NIICE initiative. What are your thoughts about how to best convey our strengths and capabilities?
Answer 7: Because this is a competitive announcement, DOE must provide equitable guidance to all potential applicants so that it does not unjustly encourage or discourage anyone. DOE can answer general questions about the program, eligibility, and application requirements. However, DOE is not the position to provide advice about how to best present your project or to comment on the merits of a prospective application. Applicants must make those determinations themselves when preparing their applications. Please be sure to carefully review the Funding Opportunity Announcement, which is posted on EERE’s Funding Opportunity eXCHANGE website (https://eere-xchange.energy.gov) to ensure you provide the necessary information in your application.

Question 8: What entities are eligible to apply to the NIICE FOA?
Answer 8: Information regarding eligible applicants can be found in Section III.A of the FOA.

Question 9: I've seen this Grant and as I worked in a small cleantech incubator, I though there is a high potential for this in Brasil. Here is the link: [REDACTED] I just wanted to know if this Grant is eligible to other countries (I understood that not) and if there is any international grant for cleantech.
Answer 9: For full eligibilty information for foreign entities, please refer to Section III.A.3 of the FOA. To find other funding opportunities you may be interested in applying for, please go to http://www.grants.gov.

Question 10: Greetings EERE commercialization team! I hope everyone is doing well over there. I'm encouraged to see this most recent announcement. This is very exciting stuff. Congrats! I have a few questions to formally submit regarding the FOA. 1) Will EERE limit funding to either of the two topic areas? In other words, is it possible for an organization to be funded to run both the national organization, and also receive funding to run incubator programs under topic area 2? 2) Will EERE share the list of incubators/accelerators that are referred to Your prompt response would be most appreciated. Otherwise, I will look forward to participating in the info session. Thanks!
Answer 10:

1) Pursuant to Section III.F of the FOA, any applicant is eligible to apply to both topic areas. Applicants must submit one Full Application for each topic area of this FOA.

2) The list referred to was compiled by searching publicly available sites. At this time, EERE will not be releasing the identified incubators and accelerators, as it is a potentially incomplete list that was compiled for study purposes.

Question 11: I am having difficulty accessing the full announcement. Would you please send it or a link to it to me? Thank you very much.
Answer 11: Please try downloading the Funding Opportunity Announcement again. If you still have a problem, please contact the helpdesk for EERE’s Funding Opportunity eXCHANGE at EERE-ExchangeSupport@hq.doe.gov.

Question 12: The FOA states that " Incorporated consortia, which may include domestic and/or foreign entities, are eligible to apply for funding as a Prime Recipient or Subrecipient". Are such consortia eligible to apply in both Category 1 (National Organization) and Category 2 (Individual Incubators)?
Answer 12: Yes, pursuant to the Executive Summary table on page 1 and the Eligibility Information starting on page 11 of the FOA, eligible applicants (including incorporated consortia) can apply to both Topic 1 and Topic 2.

Question 13: In the FOA, the period of performance for the program is described as 36 months. Do budget justifications have to be evenly distributed over the course of 36 months, or can applicants craft a budget that utilizes government and cost share that is front loaded for the first 12-24 months?
Answer 13: Applicants may develop their project budgets as appropriate to support the proposed work. The budgets do not have to be evenly distributed across the 36 months. Should an applicant seek to utilize more funds earlier in the award, they may do so. All proposed budgets must be justified and cost share demonstrated for every budget period. The period of performance for the award and all associated reporting requirements will be 36 months regardless of how the funds are utilized.

Question 14: Good Afternoon, As I review the FOA I am having trouble telling if you want this to be BRAND NEW incubator applications, or EXISTING incubators who already have all the necessary data to submit? Could you please clarify?
Answer 14: New and existing incubators are eligible to apply. Information regarding eligible applicants can be found in Section III.A of the FOA.

Question 15: Given that the federal government (Washington, D.C.) is closed due to inclement weather, will the webinar still take place today January 21, 2014 at 2:00 PM ET?
Answer 15: Yes, the webinar will still take place today at 2:00 PM ET. Please reserve your Webinar seat now at: https://www1.gotomeeting.com/register/587911776

Question 16: Will questions be answered in real time during the webinar?
Answer 16: No, all questions and answers asked during the webinar will be posted on the eXCHANGE FAQ site for the FOA, which can be found here: https://eere-exchange.energy.gov/FAQ.aspx?FoaId=a593b39f-3077-4082-a7e0-c17615bef710.

Question 17: Good morning, I am emailing in regards to the NATIONAL INCUBATOR INITIATIVE FOR CLEAN ENERGY (NIICE) grant. Our 501-C3 non-profit incubator focuses primarily on the development of startups in clean energy and water technology. We do not, however, claim to be a “clean energy incubator”. I do find that “new” clean energy business incubators are encouraged to apply on page 2 of the Funding Opportunity description: Improve the performance of existing and new clean energy business incubators across the country by setting high performance standards, fostering best practices, and improving coordination among the incubator community; Just to clarify, can an established incubator who does not claim to solely focused on clean every apply for this grant?
Answer 17: All entities eligible as described under Section III.A of the FOA may apply. For further information regarding individual incubators, please refer to the Individual Incubators Section in the Background of the FOA (Section I.A) for the identified characteristics of and services provided by incubators, which have been set as a guideline for potential applicants. However, it is not required that potential applicants possess all of these characteristics and services at the time of submission. Incubators that focus on a single clean energy technology are included in this categorization.

Question 18: In the FOA executive summary section, the first goal is to improve the performance of existing and new clean energy business incubators across the country by settingg a high performance sttandard, fostering best practices, and improving coordination of the incubator community. This seems to us to call for an asessment of the ecosystem for clean energy innovation and incubation, resources and suppport. This would be in order to dettermine if and where best practices are being achieved and for recommendations within the ecosystem of initiatives that should be conducted to achieve bestt practice. Is that the expectation of the DoE to meet this first goal?
Answer 18: As described in Section I.A Targets and Metrics Section on Page 11, the FOA states "EERE considers the tracking of performance metrics of the incubators supported by this initiative, and the broader national organization, to be of critical importance... [t]he National Organization will play a critical role in analysis and dissemination of metrics from the NIICE-supported incubators, and will also establish relationships with incubators across the United States to collect information about their programs. This metrics collection will be used to inform analyses, such as best practices for incubators..."

Question 19: For the incubator awards, may a single application represent a partnership between clean energy incubators in a state/US region?
Answer 19: Pursuant to Section III.A of the FOA, consortium are elligible to apply.

Question 20: How many encouragement notifications do you anticipate sending to individual incubator applicants? Thank you.
Answer 20: There is no pre-determined number of encouragement notifications.

Question 21: Are you looking to fund existing programs as they are, or new concepts that will be executed under this program?
Answer 21: Both existing and new programs are encouraged to apply and will be evaluated with respect to the program requirements outlined in the FOA.

Question 22: can we get a list of all attendees?
Answer 22: DOE will not be releasing a participant list for the Pre-Concept Paper webinar.

Question 23: $765 seems like an odd number. what is the thought behind that number?
Answer 23: The estimated funding amounts are approximate values and represent a range based on potential selected applicants and available funds.

Question 24: Under topic 2 awards, do you expect awardees to be already up and running? Or will a start-up incubator be considered?
Answer 24: Both existing and new incubators are enoucraged to apply.

Question 25: Can we propose less than 36 months timeframe for the performance of the work? If so, is there any detriment to doing so?
Answer 25: Applicants can propose a shorter time period, up to 36 months, so long as applicants can demonstrate how they will accomplish their goals and be sustainable beyond the period of performance.

Question 26: As a government entity, is a State Office of Energy eligible?
Answer 26: Pursuant to Section III.A.2, state, local, and tribal government entities are eligible to apply for funding as a Prime Recipient or Subrecipient.

Question 27: Will a list of those who submit concept papers and full applications be made available to webinar registrants/participants? This would assist with those interested in teaming.
Answer 27: DOE will not release information on applicants who submit either concept papers or full applications.

Question 28: “The current state-of-the-art in the relevant field and application, including key shortcomings, limitations, and challenges;“ Is this a request to opine on the state of the field or discuss how an applicant believes it is state of art? Can you share an example of what is expected here?
Answer 28: As stated in the FOA, the review of an application will include how an applicant identifies and addresses (through their application) key shortcomings, limitations and challenges of the current state of the sector.

Question 29: Re allowable cost share, if we are getting greatly reduced real estate costs - 1/2 of market rates - does that count as allowable cost share?
Answer 29:

The rules associated with what is allowable as cost share are specific to the type of organization that is receiving funds under the grant or cooperative agreement, though are generally the same for all types of entities. The specific rules applicable to:

• Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations are found at 10 CFR 600.123;
• State and Local Governments are found at 10 CFR 600.224;
• For-profit Organizations are found at 10 CFR 600.313.

More information on cost share can be found in Section III.B and Appendix B of the FOA.

Question 30: Is there always a need for cost share from the recipient? Does the funding provided ever cover the entire costs of the projects?
Answer 30: Cost share is determined by legal rules outlined in the Code of Federal Regulations. Decisions on total cost share requirements above the minimum are made by the federal funding agency for each individual FOA.

Question 31: Can you review eligable entities? Sorry if i missed it.
Answer 31: A full description of eligible entities can be found in Section III.A of the FOA.

Question 32: It would be helpful on webinars if the FOA page numbers were referenced on tbe webinar slides (e.g., Program Policy Factors, FOA pp. 38-40). Thank you!
Answer 32: Thank you for your suggestion; it will be taken under advisement.

Question 33: The 2 parts of Criterion, for the concept paper is that in the manual online?
Answer 33: The review criteria for the Concept Papers can be found in Section V.A.1 of the FOA.

Question 34: Are encourage/discourage notices sent on a rolling basis? If we submit a concept paper early (before the 21st of Feb), will we get an earlier response?
Answer 34: All Concept Papers will be reviewed during the same review period; submissions will not be reviewed on a rolling basis.

Question 35: Where will pre-selection interviews be conducted?
Answer 35: The format for pre-selection interviews has not been determined. However, the format will be the same for every interview, if they are deemed necessary by the Selection Official.

Question 36: Topic 2 refers to "clean energy-focused incubators", does this refer to energy production technologies (as opposed to sw solutions for grid management, grid security, demand management, demand projections, etc.)?
Answer 36: DOE does not define clean energy when describing the incubators. However, in Section I.A. in the Individual Incubators Section, when citing the definition of "clean energy focus," the FOA refers to EERE's description of the technology portfolio. The portfolio can be found by visiting http://energy.gov/eere/office-energy-efficiency-renewable-energy.

Question 37: Are concept papers considered to be public documents available to all submitters or are they for DOE-use only?
Answer 37: Concept papers are not for public review or distribution.

Question 38: Are you looking for regional projects in the second category and how do you define regional?
Answer 38: For the purposes of this FOA, there is no definition of "regional" used as a crtieria for selection. Information on eligible entities can be found in Section III.A of the FOA.

Question 39: Can you elaborate on what a single concept or technology means, in the context of the sentence below? Each Concept Paper must be limited to a single concept or technology. Unrelated concepts and technologies should not be consolidated into a single Concept Paper. Are we to develop a concept paper for a specific technology within the clean energy technology field?
Answer 39: No, each concept paper should address a single program concept for one or both of the Topic Areas outlined in the FOA.

Question 40: Thank you for the NIICE webinar. Q: Am I correct that the definition of "incubator" is a center that has access to the energy, financial, and legal experts to support start-up companies and entrepreneurs, and expansion projects of existing companies, with advice, networking, and breaking through barriers? A team or several teams who can facilitate and guide companies and individuals through the daunting federal, state, and local maze to bring a concept from idea to working reality? Please define the term/concept if I am incorrect.
Answer 40: Please refer to the Individual Incubators section found on pages 5-7 in the Background Section I.A. of the FOA for a set of characteristics and services that serve as guidelines for incubators.

Question 41: RE: Cost share. The FOA refers to "rental value of buildings or equipment" We earn rent revenue from our start-up company tenants, can we use this as cost-share?
Answer 41:

The rules associated with what is allowable as cost share are specific to the type of organization that is receiving funds under the grant or cooperative agreement, though are generally the same for all types of entities. The specific rules applicable to:

• Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations are found at 10 CFR 600.123;
• State and Local Governments are found at 10 CFR 600.224;
• For-profit Organizations are found at 10 CFR 600.313.

More information on cost share can be found in Section III.B and Appendix B of the FOA.

Question 42: Will you be engaging external reviewers for either the concept papers or full apps?
Answer 42: Selection and identification of reviewers is an internal DOE process and will not be disclosed.

Question 43: Will all reviewers be federal employees?
Answer 43: Selection and identification of reviewers is an internal DOE process and will not be disclosed.

Question 44: Can you explain 'techno economic analysis' and expectations? This seems to suggest that the incubator provide due diligence on markets and competition et al for its companies. What if an incubator supports many companies in different markets with no expectation that it is an expert or knows more than the founding teams of each companies?
Answer 44: For purposes of this funding opportunity, the characteristics and services cited in Section I.A Individual Incubators should be viewed as guidelines; it is not required that potential applicants possess all of these characteristics and services at the time of submission.

Question 45: Would private monies directly invested into incubator participants count toward cost share requirements.
Answer 45:

The rules associated with what is allowable as cost share are specific to the type of organization that is receiving funds under the grant or cooperative agreement, though are generally the same for all types of entities. The specific rules applicable to:

• Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations are found at 10 CFR 600.123;
• State and Local Governments are found at 10 CFR 600.224;
• For-profit Organizations are found at 10 CFR 600.313.

More information on cost share can be found in Section III.B and Appendix B of the FOA.

Question 46: As an clean energy angel investment group that puts $4M+ into clean startups each year, we are very interested in being an applicant to this FOA. Can you tell me if our cash investments into incubated companies would count toward the co-funding requirements?
Answer 46:

The rules associated with what is allowable as cost share are specific to the type of organization that is receiving funds under the grant or cooperative agreement, though are generally the same for all types of entities. The specific rules applicable to:

• Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations are found at 10 CFR 600.123;
• State and Local Governments are found at 10 CFR 600.224;
• For-profit Organizations are found at 10 CFR 600.313.

More information on cost share can be found in Section III.B and Appendix B of the FOA.

Question 47: Need clarification re Eligibility Croteria for foreign applicants (i.e. from Canada) If selected for an award does all mentorship activities have to be carreied out within the US or can there be a mix of in country and outside?
Answer 47: Pursuant to Section IV.D.11.ii of the FOA, "[a]ll work under EERE funding agreements must be performed in the United States."

Question 48: Are awards listed for the total of 3 year or each of the 3 years?
Answer 48: The award amounts are the full government share for up to 36-month performance period. Applicants may develop their project budgets as appropriate to support the proposed work. The budgets do not have to be evenly distributed across the 36 months. Should an applicant seek to utilize more funds earlier in the award, they may do so. All proposed budgets must be justified and cost share demonstrated for every budget period.

Question 49: Could you please distribute the list of applicants for the national projects versus the regional projects?
Answer 49: DOE will not release information about applicants to competitive solicitations.

Question 50: Can the funds be used for bricks and mortar?
Answer 50: The DOE funds can only be used for purposes outlined in the FOA, which do not include brick and mortar building projects.

Question 51: You stated you must be registered at the following sites grants.gov, Duns, Sam.gov and Fedconnect.gov but it shows Fedconnect.net which one is it? This is the only one I am currently not registered at?
Answer 51: The correct registration site is https://www.fedconnect.net/FedConnect/Default.htm.

Question 52: Do we have to worry about Negotiated indirect cost rate, standard government contractor accounting/audit stuff?
Answer 52: Please refer to Section IV.D.4 of the FOA for all information regarding the Budget Justification preparation for more information regarding audits and other costs. In addition, see section VI.C for Administrative Requirements that will be applicable to the award.

Question 53: Will the slides from the Pre-Concept Paper webinar be made available?
Answer 53: DOE hosted its Pre-Concept Paper informational webinar on the National Incubator Initiative for Clean Energy (NIICE) FOA on January 21, 2014. Follow this link to view a recording of the webinar: https://www1.gotomeeting.com/register/587911776. You will be required to register for the webinar in order to view the recording. The slide presentation is available in the FOA Documents section of this announcement.

Question 54: I was wondering if you could provide me with additional information on the “U.S. Manufacturing Plans” portion of the full application. Specifically I was wondering if this is just a form to fill in or if this is a section of the proposal like the technical volume which has a page limits and suggested requirements for the content? Your assistance with this is much appreciated.
Answer 54: Per Section IV.D.1. of the FOA, a U.S. Manufacturing Plan is a submission requirement for Full Applications. The U.S. Manufacturing Plan is a description, not a form. The U.S. Manufacturing Plan is uploaded as a separate file along with the other required components of a Full Application under this FOA. In addition, as stated in Section IV.D.2. of the FOA, a Full Application’s Technical Volume should include a U.S. Manufacturing Plan in the Workplan section under Market Transformation/Commercialization Plan.

Question 55: I would like to ask if I would be able to get more information regarding the application (i.e. instructions on application process) and who would be eligible to apply. I would also like to ask if this initiative is intended to establish a specific prototype of a device or anything the applicant already has in place and would like to study it in depth? I apologize for any inconvenience this email may cause and I look forward to any information you may be able to give me. Thank you in advance.
Answer 55:

For information about the application process, please refer to the slides that were delivered during the Pre-Concept Paper Informational Webinar on January 21, 2014. They are in the FOA Documents section of this announcement. For a recording of the webinar, please follow this link:
https://www1.gotomeeting.com/register/587911776)

For eligibility information, please see Section III of the FOA itself.

Rather than intending to establish a specific prototype or device, this two-topic FOA seeks to:
●Improve the performance of existing and new clean energy business incubators across the country by setting a high performance standard, fostering best practices, and improving coordination of the incubator community;
●Strengthen support for early-stage companies developing high-risk technologies and scaling from prototype to domestically-based production; and
●Catalyze investment in early-stage clean energy businesses by improving information regarding capital access for incubators, including disseminating analysis and materials on philanthropic funds, corporate venture, and other innovative financing mechanisms.

Question 56: Hello, 1) The NIICE FOA states, “In a preliminary analysis, EERE identified more than 40 clean energy-focused incubators.” Is this list of existing energy-focused incubators publicly available? If not can you provide the list? 2) Can the Concept paper include hyperlinks? Will any of the reviewers check the content in the hyperlinks?
Answer 56:

1) The list referred to was compiled by searching publicly available sites. At this time, EERE will not be releasing the identified incubators and accelerators, as it is a potentially incomplete list that was compiled for study purposes.

2) Hyperlinks should not be included in application materials. Except as otherwise noted herein, the page guidelines previously set forth constitute a limitation on the total amount of material that may be submitted for review. No material may be incorporated in any application by reference as a means to circumvent the page limitation.

Question 57: Hi, Question regarding individual incubators, topic 2, The FOA describes “NIICE seeks to advance three goals: • Improve the performance of existing and new clean energy business incubators across the country by setting a high performance standard, fostering best practices, and improving coordination of the incubator community; • Etc, etc.” And then on page 4 “Individual Incubators: NIICE will fund three to five incubators to identify, develop and implement the best practices of top-performing, clean energy-focused incubators. NIICE will also guide incubators in supporting early-stage companies as they scale to production and enhance our clean energy manufacturing competitiveness. The individual incubators will provide data to and work directly with the national organization.” With further reading it isn’t at all clear exactly what kind of program structure you seek. On the one hand this can be interpreted as infrastructure refinement support and documentation of metrics and best practices assistance request. But government grant programs typically want a project with specific deliverables, such as a proof of concept bringing a new technology to market. Could you provide more clarity on the kind of program proposal structure you seek: more infrastructure development and metrics in concert with the national coordinator, or more project based with the national coordinator monitoring?
Answer 57:

The description of NIICE is intended to be a summary of the goals EERE seeks to advance with the program; it is not broken down by Topic Area.

The program for Topic 2 is direct support for incubator programs. Funds will be used to support innovative incubators to develop and enhance programs that set a benchmark for top-performance in the sector. These incubators will submit metrics for analysis to the National Organization. The National Organization will play a critical role in analysis and dissemination of metrics from the NIICE-supported incubators, and conduct analysis, such as identification of broader best practices for incubators.

Question 58: Hi, 1. Could we propose a virtual individual incubator with physical space made available to the entrepreneurs through University partnerships or local SMEs where required based on a case-by case basis? We plan to provide the entrepreneurs business services and IP protection through our enterprise innovation software. 2. Can we as a renewable energy company be hosted in the incubator (for demonstration of our products) or should it only be external customers? Look forward to your guidance before we apply.
Answer 58:

1) All eligible entities as described under Section III.A of the FOA may apply. For further information regarding individual incubators, including identified characteristics, please refer to the Individual Incubators Section in the Background of the FOA (Section I.A).

2) Eligibility for companies to be accepted into an incubator is determined by the incubator, not by EERE.

Question 59: Please send me the application for the grant opportunity. Document Type: Grants Notice Funding Opportunity Number: DE-FOA-0001042 Funding Opportunity Title: National Incubator Initiative for Clean Energy (NIICE) Opportunity Category: Discretionary Funding Instrument Type: Cooperative Agreement Category of Funding Activity: Energy Category Explanation: Expected Number of Awards: 6 CFDA Number(s): 81.117 -- Energy Efficiency and Renewable Energy Information Dissemination, Outreach, Training and Technical Analysis/Assistance Cost Sharing or Matching Requirement: Yes Posted Date: Jan 6, 2014 Creation Date: Jan 6, 2014 Original Closing Date for Applications: Mar 21, 2014 Current Closing Date for Applications: Mar 21, 2014 Archive Date: Mar 21, 2015 Estimated Total Program Funding: $3,000,000 Award Ceiling: $1,000,000 Award Floor: $400,000 Eligibility Eligible Applicants: Unrestricted (i.e., open to any type of entity above), subject to any clarification in text field entitled "Additional Information on Eligibility" Additional Information on Eligibility:
Answer 59: Section IV. of the FOA provides details about the application and submission information. Applicants must submit materials and apply through EERE eXCHANGE.

Question 60: Under FOA Number: DE-FOA-0001042, it states that applicants will have approximately 30 days from receipt of the Concept Paper Encourage/Discourage notification to prepare and submit a Full Application. However the date for the Full Application is due on 3/21/14, which is already 30 days past when the concept paper is due. Will these dates be adjusted or when can we expect to receive the encourage/discourage notification after submittal of the concept paper.
Answer 60: These dates will not be changed. Applicants will receive enourage/discourage notifications on 2/28/2014.

Question 61: Hi NIICE Team, Are all the Characteristics intended to be applied to applicants both Topics 1 and 2?
Answer 61: The Characteristics are intended to be applied for Topic 2 of the FOA.

Question 62: Hi NIICE Team, Are all the “Services Provided” intended to be applied to applicants both Topics 1 and 2? For instance, do Topic 1 applicants need access to demo facilities and be able to provide entrepreneurial training?
Answer 62: The Services Provided are intended to be guidelines for Topic 2 of the FOA.

Question 63: Hi, Is there a limit on the number of concept papers an applicant may submit? This is unclear to me since the FOA summary states: "Applicants may submit one application to each topic area of this FOA.", but further down in the FOA it says " Applicants may only submit one Full Application for each topic area of this FOA." Could you please clarify if the same limit already applies at the concept paper stage?
Answer 63: Pursuant to Section III.F of the FOA, applicants may submit one concept paper and one full application to each topic area of the FOA as a prime applicant.

Question 64: Can a Prime Recipient subcontract to an overseas entity?
Answer 64: As stated in the FOA, a foreign entity may receive funding as a Subrecipient. However, pursuant to Section IV.D.11.ii of the FOA, all work under EERE funding agreements must be performed in the United States unless a recipient is granted a waiver from this requirement. For additional information on how a Foreign Entity may receive funding under this FOA, please see Section III.A.3, which contains details on applying for a waiver.

Question 65: Hello, Page 9 of the FOA, Section II.A.3 states: “EERE will accept only new applications under this FOA. EERE will not consider applications for renewals of existing EERE-funded awards through this FOA.” Can you please clarify – if an incubator is currently receiving funding to provide incubator services as a sub-recipient, not a prime, from non-programmatic EERE funding (congressionally directed funds), it is still eligible to apply to this program?
Answer 65: New and existing incubators are eligible to apply. All of the awards issued under this FOA will be new awards. Information regarding eligible applicants can be found in Section III.A of the FOA. In addition, please pay special attention to the Cost Sharing Requirements in Section III.B.

Question 66: Good Morning, Can you respond to the question “Is an indirect rate of 50% approved for this project?” Again, I could not find this question specifically addressed in the full announcement or on the website provided below.
Answer 66: As stated in the PMC 123.1 Budget Justification File (Indirect Costs tab), on the EERE eXCHANGE website (https://eere-exchange.energy.gov) under Required Application Documents, a federally approved indirect rate agreement, or rate proposed (supported and agreed upon by DOE for estimating purposes) is required if reimbursement of indirect costs is requested.

Question 67: Regarding the below excerpt from the FOA, does the Board of Advisors need to be committed by the time we submit the concept paper or the full proposal? (Page 5) • Strong and Committed Board of Advisors A Board of Advisors must be established, rather than proposed
Answer 67: For purposes of this funding opportunity, the characteristics and services cited in Section I.A Individual Incubators should be viewed as guidelines; it is not required that potential applicants possess all of these characteristics and services at the time of submission.

Question 68: Does DOE give preferential treatment to an application whose PI (Principal Investigator) has a PhD? Is having a PhD a requirement?
Answer 68: Pursuant to the language in the review criteria for Concept Papers in Section IV.C.1 applicants should describe "whether the Principal Investigator (PI) and Project Team have the skill and expertise needed to successfully execute the project plan." Additionally, as stated in Section IV.D.2, in the Full Application Technical Volume, applicants should "describe the Project Team’s unique qualifications and expertise, including those of key subrecipients."

Question 69: My impression is that the Concept Paper should focus on program narrative and is not required to provide budget / cost information. Is this correct? Even if budget / cost information (including match source) is not required, is it advisable / preferred / useful that such information be included?
Answer 69: Applicants should follow the guidelines for content of the Concept Papers in Section IV.C.1 of the FOA. The technical review criteria for the Concept Papers can be found in Section V.1.A.

Question 70: Hello, I am hoping you can clarify something for us. Regarding limitation, the RFP states: F. LIMITATION ON NUMBER OF CONCEPT PAPERS AND FULL APPLICATIONS ELIGIBLE FOR REVIEW Applicants may only submit one Full Application for each topic area of this FOA. If an applicant submits more than one Full Application to the same topic area, EERE will only consider the last timely submission for evaluation. Any other submissions received listing the same applicant for the same topic area will be considered noncompliant and not eligible for further consideration. This limitation does not prohibit an applicant from collaborating on other applications (e.g., as a potential Subrecipient or partner) so long as the entity is only listed as the Prime Applicant on one Full Application submitted under this FOA. (page 18) My question is… what is the definition of an applicant. Is it an individual PI, a University, or a college/school? If you could help me with this, it would be greatly appreciated.
Answer 70: As stated in Appendix A, "Applicant" means the legal entity or individual signing the Application. This entity or individual may be one organization or a single entity representing a group of organizations (such as a Consortium) that has chosen to submit a single Application in response to a FOA.

Question 71: My startup accelerator/incubator is in the middle of incorporation, and we are going to apply to the NIICE grant. I am wondering - if we are not done with our incorporation paperwork before the concept paper time, should we submit as an un-incorporated consortia and explain how we intend to incorporate? Further, It appears that I need to have a company legally registered in order to apply for the DUNS number - is this true?
Answer 71:

As stated in the FOA on page 42, the EERE Exchange registration does not have a delay; however, the remaining registration requirements below could take several weeks to process and are necessary for a potential applicant to receive an award under this FOA. Therefore, although not required in order to submit an Application through the EERE Exchange site, all potential applicants lacking a DUNS number, or not yet registered with SAM or FedConnect should complete those registrations as soon as possible.

In short, the applicant does not need a DUNS number to apply to a FOA but it is required for award.

If the business entity has not been incorporated, please submit the Concept Paper as an Individual and explain how you intend to incorporate. The Full Application must then reflect the business that was presented in the Concept Paper in order to pass the Full Application Compliance Review.

Question 72: Can you please tell me if the program delivery partners (sub-contractors/sub-awardees) identified in the Concept Paper may be modified or expanded in the Full Application?
Answer 72:

Applicants may provide modified or expanded information in the Full Application about the “project team” (Prime Recipient, Subrecipients, and others performing or otherwise supporting work) that was identified in the Concept Paper.

Question 73: I am interested in the process of being granted the “National Incubator Initiative for Clean Energy" for my company that currently operates in the Rocky Mountain area. I am interested in a converting a long/short haul trucking company to an alternative energy source. Most likely Natural Gas, but I am inquiring about the process and who is the best person to talk to about this and if I can set up a phone call with you in order to discuss more in detail. Can you please answer a few of the below questions: Amount of grant money awarded in 2013 Amount of grant money available Avg time it takes to receive grant money Date of last awarded contract Are there certain companies or industries that the grant is typically awarded to?
Answer 73:

Because this is a competitive announcement, DOE must provide equitable guidance to all potential applicants so that it does not unjustly encourage or discourage anyone. DOE can answer general questions about the program, eligibility, and application requirements. However, DOE is not the position to provide advice about how to best present your project or to comment on the merits of a prospective application. Applicants must make those determinations themselves when preparing their applications. Please be sure to carefully review the Funding Opportunity Announcement, which is posted on EERE’s Funding Opportunity eXCHANGE website (https://eere-xchange.energy.gov) to ensure you provide the necessary information in your application.

Information about EERE’s past solicitations and awards is available here: http://www1.eere.energy.gov/financing/past_eere_solicitations.html

EERE expects to make approximately $3 million of Federal funding available for new awards under this FOA subject to the availability of appropriated funds. EERE anticipates making approximately 4-6 awards under this FOA. EERE may issue one, multiple, or no awards. Individual awards may vary between $400,000 and $1,000,000

Per the FOA summary, EERE anticipates conducting award negotiations in July 2014.

Question 74: According to the FOA all application documents must include the assigned Control Number. However, on page 22 it clearly states that the Applicant will receive a Control Number upon submission of the Concept Paper. Based on these guidelines it seems that the Concept Paper is the exception that does not require the Control Number to be referenced. Is this correct?
Answer 74:

No. As stated in Section IV A., "a control number will be issued when an Applicant begins the Exchange application process. This control number must be included with all Application documents. …” The reference you cite is specific to the Full Application process, and is meant to convey the fact that a Full Application cannot be submitted without completing the process required to file a compliant Concept Paper.

Question 75: Please let me know where I can find the webinar Q&A that was held on 1/21st, 2:00 p.m., re: National Incubator Initiative for Clean Energy (DE-FOA-0001042)?
Answer 75:

These FAQs include the questions and answers from the informational webinar on January 21.

The recording is also available at: https://www1.gotomeeting.com/register/587911776.

You will be required to register for the webinar in order to view the recording. The slide presentation is available in the FOA Documents section of this announcement.

Question 76: Does the one page abstract have to be submitted by tomorrow’s deadline for the Concept Paper? Or is this due when the full application is due?
Answer 76: The one page abstract is not due on 2/21/2014. Pursuant to Section IV.D.1 and 2 of the FOA, a one page abstract is due as part of the Full Technical Application, not as a part of the Concept Paper. Full Applications are due 3/21/2014.

Question 77: Do we have to have a cover page with the concept paper? If so, is it part of the 5 page count and are there any requirements for the cover letter?
Answer 77: No, Concept Papers do not require a cover page. If a cover page is included, it counts as part of a the five page count.

Question 78: We have registered on DOE web site for Letter of Intent. FOA does not require any abstract. However, the web portal requires 4000 character abstract to be filled in. Our sponsored program services has brought this to our attention, the LOI cannot be submitted until this field is filled. Is this with or without spaces? See the screen shot below.
Answer 78: A 4,000 character abstract is required to submit a Concept Paper. You may copy and paste the text from your Concept Paper.

Question 79: Does the 4000 character count include spaces?
Answer 79: Yes, the 4,000 character count includes spaces.

Question 80: We submitted the Concept Paper and it has a link in the attached PDF, but we heard that outside links are prohibited. Where can I find supporting statements that says we can’t use outside links? I would like to verify this please. Thanks for your help.
Answer 80: Hyperlinks should not be included in application materials. Except as otherwise noted herein, the page guidelines previously set forth constitute a limitation on the total amount of material that may be submitted for review. No material may be incorporated in any application by reference as a means to circumvent the page limitation. EERE and reviewers are under no obligation to review cited sources (e.g., Internet websites).

Question 81: Hello, I keep getting an error message when I attempt to upload my concept paper: The server encountered an internal unspecified error that prevented it from fulfilling the request. Is this correctable?
Answer 81: Please try uploading your concept paper again. If you still have a problem, please contact the helpdesk for EERE’s Funding Opportunity eXCHANGE at EERE-ExchangeSupport@hq.doe.gov.

Question 82: After our NIICE concept paper went in on Friday, the PI realized he submitted only the Program Description, and hadn't included the Addendum file. I assume it's too late to do anything about it, but just in case, if possible we would of course appreciate the chance to submit the second file or send a new, combined file (which is what the PI had meant to do). But we understand if it's just too late. Please let me know if there is any recourse.
Answer 82: Unfortunately, as the deadline was set for February 21, 2014 at 5:00 PM, we can no longer receive any additional files or materials. So long as your application meets the requirements in the FOA, your incomplete Concept Paper submission will be reviewed, you will receive feedback, and you may still submit a Full Application for this FOA.

Question 83: Good afternoon, I read the FOA as saying that cover page counts as one of the 20 pages for the Technical Volume. Is this correct?
Answer 83: Yes, the cover page counts as one of the 20 pages. Section IV.D.2 states, " [t]he Technical Volume to the Full Application may not be more than 20 pages, including the cover page, table of contents, and all citations, charts, graphs, maps, photos, or other graphics."

Question 84: My org submitted our concept paper last Thursday. When will the full application become available on eere exchange? Do we have to wait for a encourage/discourage decision before access is granted?
Answer 84: All applicants will have the ability to view and start the Full Application Process in EERE eXCHANGE when the review of Concept Papers has been completed and encourage/discourage notifications have been sent on 2/28/2014.

Question 85: Dear NIICE FOA Team, On previous grants and/or DOE funding opportunities the Commitment Letter was to be addressed to the DOE Contract Officer (First & Last Name) and their physical office location (address, city, state, zip). My question is does this requirement apply to this FOA? If yes, could you provide the name of the Contract Office and their physical office location. In advance, thank you for your prompt attention to this request.
Answer 85: DOE may ask for Commitment Letters after selection, during award negotiations. DOE will explain the details in cases when it asks for post-award information.

Question 86: When were Concept Paper encourage/discourage notifications posted?
Answer 86: Encourage/discourage notifications were posted to eXCHANGE on Friday, February 28. Please log into your account to view the notification about your Concept Paper.

Question 87: Can we still submit a Full Application if we received a discourage notification?
Answer 87: Yes, but you may want to weigh the time and effort associated with the full application against the likelihood of your project being selected if it is discouraged from continuing the application process.

Question 88: Hello, I would like to apply for your grant opportunity. Is there any way you could help me receive an application please?
Answer 88:

Please note that you must have submitted an eligible Concept Paper by February 21 to be eligible to submit a full application.

The forms that are required with full applications are posted on eXCHANGE. From the main National Incubator Initiative for Clean Energy (NIICE) FOA page, scroll down to the Required Application Documents section, and click on View Required Application Documents.

Question 89: Hi- I received this message: Dear [name] The decision on your Concept Paper with the Control Number: [redacted] has been published. You can view your decision and review feedback by logging into the eXCHANGE system, navigating to the My Submissions page, and clicking the 'View' link for your submission. Published Date: 2/28/2014 5:58 PM Thank you, eXCHANGE Customer Support. But when I try to log into exchange, this is what I get—I tried several different links: Server Error in '/' Application. ________________________________________ Runtime Error Description: An application error occurred on the server. The current custom error settings for this application prevent the details of the application error from being viewed remotely (for security reasons). It could, however, be viewed by browsers running on the local server machine. Details: To enable the details of this specific error message to be viewable on remote machines, please create a tag within a "web.config" configuration file located in the root directory of the current web application. This tag should then have its "mode" attribute set to "Off". Notes: The current error page you are seeing can be replaced by a custom error page by modifying the "defaultRedirect" attribute of the application's configuration tag to point to a custom error page URL.
Answer 89: Please try accessing eXCHANGE again to view your decision. Maintenance was performed on the eXCHANGE system from March 1-2. If you continue to have problems, please contact the helpdesk at exchangehelp@hq.doe.gov.

Question 90: I don't see anywhere to download the relevant forms (e.g. SF-424, EERE 159, SF-LLL) on the FOA announcement or on the EERE-Exchange pages tied to this opportunity. From past experience, I've found that at least some of those forms are available on a variety of federal websites with varying levels of functionality (e.g. auto-calculate math) built in. Is there a specific version of those forms you would like us to use or should we search and find those on our own?
Answer 90: The forms that are required with full applications are posted on eXCHANGE. From the main National Incubator Initiative for Clean Energy (NIICE) FOA page, scroll down to the Required Application Documents section, and click on View Required Application Documents.

Question 91: Hello, Our institution was notified that we have been encouraged to apply for a full application. However, I cannot located the required documents under FOA 0001042. Can you please direct me to the correct page where I can download these?
Answer 91: The forms that are required with full applications are posted on eXCHANGE. From the main National Incubator Initiative for Clean Energy (NIICE) FOA page, scroll down to the Required Application Documents section, and click on View Required Application Documents.

Question 92: Good Afternoon, The grant application requires that the Gantt chart and the milestone table be submitted as part of the 20 page technical paper. We foresee our Gantt Chart and Milestone table being QUITE long and taking up many pages to be properly displayed. Could the Gantt Chart and Milestone Table be submitted as an attachment and not count against the 20 page allotment?
Answer 92: The Milestone Table or Gantt Chart cannot be submitted as attachments. Per Section IV.D.2 of the FOA, the Technical Volume to the Full Application may not be more than 20 pages, including the cover page, table of contents, and all citations, charts, graphs, maps, photos, or other graphics. The applicant should consider the weighting of each of the evaluation criteria (see Section V.A.2 of the FOA) when preparing the Technical Volume.

Question 93: My involvement in this FOA was ‘Encouraged.’ How do I register for the next informational webinar?
Answer 93:

A second informational webinar will be held on Thursday March 6, 2014 at 2:00 pm ET. The registration link is: https://www1.gotomeeting.com/register/318108032.

Question 94: 1. Per the feedback we received, there seemed to be a de-emphasis on demonstration which is mentioned substantially on page 6 of the FOA (prototyping and demo facilities) for type 2 applicants. What type of emphasis would DOE EERE like type 2 applicants to give to this aspect of their proposal? 2. On page 26 of the FOA for type 2 applicants, DOE EERE emphasizes the market transformation/commercialization plan, what does DOE EERE mean by this? Is this for the specific program(s) proposed by the applicant or is it about the individual companies/start-ups that the incubator works with?
Answer 94:

1.) The Concept Paper review comments were intended to provide feedback. Prototyping and demonstration is in the list of key characteristics. However, because this is a competitive announcement, DOE must provide equitable guidance to all potential applicants so that it does not unjustly encourage or discourage anyone. DOE can answer general questions about the program, eligibility, and application requirements. However, DOE is not in the position to provide advice about how to best present your project or to comment on the merits of a prospective application. Applicants must make those determinations themselves when preparing their applications.

2.) The market transformation plan should detail how an applicant: understands and addresses market needs, identifies and addresses percieved barriers to market, and the unique role that an applicant can play to address market needs and challenges.

Question 95: Does the following refer to incubators or member companies? -" Identification of target market, competitors, and distribution channels for proposed technology along with known or perceived barriers to market penetration, including a mitigation plan "
Answer 95: The statement refers to the applicant, and how it might assist member companies to address the target market.

Question 96: Good afternoon, Can you please answer: Is data management required on this effort? - I presume if yes, than it needs to fulfill Appendix E of FOA - DMP. Thank you!
Answer 96: Yes, a data management plan is required. Please refer to Appendix E of the FOA for further guidance.

Question 97: Hi, Can you please answer the following: Is US Manufacturing Plan required on this effort? Thank you!
Answer 97: No, a U.S. Manufacturing Plan is not required for this effort.

Question 98: Hi When I access the information for the above grant opportunity, (Link here) I cannot find any links to the application package from the application package page. The link on the right hand side simply opens a new version of the page. Can you help, please? Thank you!
Answer 98: The forms that are required with full applications are posted on eXCHANGE. From the main National Incubator Initiative for Clean Energy (NIICE) FOA page, scroll down to the Required Application Documents section, and click on View Required Application Documents. If you are still having issues with eXCHANGE, please contact the eXCHANGE helpdesk at EERE- ExchangeSupport@hq.doe.gov. Please include the FOA name and number in the subject line. In order to submit a Full Application by March 21, an eligible Concept Paper must have been submitted by February 21.

Question 99: On page 26 of the FOA, one of the requirements listed is a 'Market Transformation/Commercialization Plan.' Is this plan applicable for both Topic areas?
Answer 99: Yes, each applicant must address how it assesses and addresses market barriers and market needs.

Question 100: Could you provide an example of a "program policy factor" as mentioned in the merit review slide
Answer 100: As stated in the webinar, the Selection Official may consider the following program policy factors in making selection decisions:
The degree to which the proposed project, including proposed cost share, optimizes the use of available EERE funding to achieve programmatic objectives;
The level of industry involvement and demonstrated ability to commercialize energy or related technologies;
Technical, market, organizational, and environmental risks associated with the project;
Whether the proposed project is likely to lead to increased employment and manufacturing in the United States;
Whether the proposed project will accelerate transformational technological advances in areas that industry by itself is not likely to undertake because of technical and financial uncertainty; and
The degree to which the proposed project directly addresses EERE’s statutory mission and strategic goals.

Question 101: Is the webinar late or is it not going?
Answer 101:

The webinar took place as scheduled. The webinar materials are posted on eXCHANGE: https://eere-exchange.energy.gov/#FoaIda593b39f-3077-4082-a7e0-c17615bef710

Question 102: [Org Name] has applied for the NIICE grant. I would like to sit in on the webinar today. Am I able to use the old link below. Thank you.
Answer 102: The link to the Pre-Concept Paper Webinar is not the same as the link to the Full Application Webinar. The materials from both webinars are posted on eXCHANGE: https://eere-exchange.energy.gov/#FoaIda593b39f-3077-4082-a7e0-c17615bef710

Question 103: Dear NIICE Support, We are currently working on the application. Was wondering if we have some changes in the budget since we submitted the Concept Paper, would it impact our Full Application? In other words, are we required to stick with what we had proposed on the Concept Paper? Thank you in advance.
Answer 103: The full application should be based on the Concept Paper submittal. However, changes in budget, personnel or other areas that support the scope of the work proposed in the Concept Paper are allowable. Regardless, EERE reserves the right to negotiate the final award budget for all applicants selected to receive an award under this Funding Opportunity Announcement.

Question 104: Are the appendices limited to resumes and letters of support or can we include additional supporting information?
Answer 104: Appendices are limited to resumes of key personnel, letters of support, and the Data Management Plan. If additional appendices are included in the Application, they will not be reviewed.

Question 105: Thank you in advance for your response to my question. Are there any font or margin requirements for letters of support or resumes?
Answer 105: Per section IV.A, all pages must be formatted to fit on 8.5 x 11 inch paper with margins not less than one inch on every side. Use Times New Roman typeface, a black font color, and a font size of 12 point or larger (except in figures or tables, which may be 10 point font). A symbol font may be used to insert Greek letters or special characters, but the font size requirement still applies. References must be included as footnotes or endnotes in a font size of 10 or larger. Footnotes and endnotes are counted toward the maximum page requirement.

Question 106: Is it too late to submit a Concept Paper and subsequent application?
Answer 106:

To be eligible for this FOA, your organization must have submitted an eligible Concept Paper by February 21 to be eligible to submit a full application.

The forms that are required with full applications are posted on eXCHANGE. From the main National Incubator Initiative for Clean Energy (NIICE) FOA page, scroll down to the Required Application Documents section, and click on View Required Application Documents.

Question 107: Hello, Page 31 of the NIICE FOA says that we need to provide a separate EERE 159 budget justification form for "each subawardee that is expected to perform work estimated to be more than $250,000 or 25% of the total work effort (whichever is less)." The instructions on the actual EERE 159 form say that "the award recipient and each sub-recipient with estimated costs of $100,000 or more must complete this form." We have one or more subawardees that will have costs greater than $100,000, but less than $250,000. Can you please clarify which instructions we should follow? We assume that the FOA instructions should prevail, but would like to be sure. Thanks!
Answer 107: Please use the guidance set forth in the FOA for the budget justifications that states, "each subawardee that is expected to perform work estimated to be more than $250,000 or 25% of the total work effort (whichever is less)."

Question 108: Are there written guidelines for resumes for grant submissions? Usually they are in the FOA, but I cannot find them in DE-FOA-0001042? Can you point me in the right direction as to what is required for an EERE key participant resume?
Answer 108: As part of the Technical Volume, please submit one-page resumes for key participating team members as an appendix. Resumes do not count towards the page limit. Multi-page resumes are not allowed.

Question 109: Can you comment on the quantity of concept papers received for each topic area and how many were encouraged to submit a full application?
Answer 109: DOE will not release information on applicants who submit either concept papers or full applications.

Question 110: The answers to FAQ #54 and #97 directly contradict each other. Could you please clarify if "U.S. Manufacturing Plans" are a required component for submission with the full application. If this document is required, could you please elaborate on what information is necessary to satisfy this requirement as there does not appear to be any additional information within the FOA. Thank you.
Answer 110: A U.S. Manufacturing Plan is not required for this FOA.

Question 111: To whom it may concern, Based upon the following FOA language, we are inquiring about inclusion of funds that would build our "interactive" incubator space. Given that the portion of funds allocated to the construction of this space is matched by a newly constructed "Applied Technology Center", do we have to secure approval or "written authorization" before submitting application or will the assessment of funding allocation be conducting post-approval of our proposal? "EERE generally does not fund projects that involve major construction (i.e., construction of new buildings, major renovations, or additions to existing buildings). Recipients are required to obtain written authorization from the Contracting Officer before incurring any major construction costs. " Thanks for your time!
Answer 111: Please include an explanation of how the project will be cost shared in the budget explanation, because the budget will be reviewed during the Merit Review. However, even if the proposed cost share is found to be unallowable this would not affect the selection of a meritorius project. The budget is subject to negotiation after selection. At that time, EERE will review all proposed project costs, including Applicant Cost Share contributions, pursuant to 10 CFR 600 and the applicable OMB Cost Principles. Please note, costs incurred prior to the Award Selection Date are not allowable as Cost Share contributions.

Question 112: Hello, Thank you in advance for your response to the following questions: 1) If an abstract was submitted as part of the concept paper, may it then be changed or altered before submitting as part of the full grant application? 2) Is it allowable to propose a different cost share amount in the full application than that provided in the concept paper?
Answer 112: 1) An abstract from a concept paper may be altered for the full applications. 2) It is allowable for a different cost share amount than was submitted for the concept paper for the full application. However, please note that the cost share for this FOA is at least 50%.

Question 113: Thank you in advance for your response to the following question: Is money put towards events, competition, technology testing, and/or demonstration allowable as cost share?
Answer 113:

Pursuant to Section IV.I of the FOA, all expenditures must be allowable, allocable, and reasonable in accordance with the applicable Federal cost principles.

Refer to the following applicable Federal cost principles for more information:

• 2 CFR 220 for Educational Institutions;
• 2 CFR 225 for State, Local, and Indian Tribal Governments;
• 2 CFR 230 for Non Profit Organizations; and
• FAR Part 31 for For-Profit entities.

Question 114: Hi, The link that is supposed to provide the webinar slides is actually linked to another copy of the script. Can you fix that and / or shoot me the slides pdf?
Answer 114: The error has been corrected. The webinar slides are posted on eXCHANGE: https://eere-exchange.energy.gov/#FoaIda593b39f-3077-4082-a7e0-c17615bef710

Question 115: The FOA states that the workplan section should include a “Technical Scope Summary” subsection. Can this be combined with the “Technical Summary” section required in the Work Breakdown Structure?
Answer 115: Yes, these summaries can be combined. The examples and breakdowns in the FOA are suggestions. Specifically, the "Technical Summary" section is an example of a workplan.

Question 116: Hello, Is it acceptable to submit a list of supporting organizations and their level of commitment to the project as an attachment for the final application? Thank you in advance for your response
Answer 116: Letters of support from partners/end users are acceptable as an appendix (1 page maximum per letter). Letters of support do not count towards the page limit. Description of subawardees and program partners as subawawrdees should be included in the technical volume.

Question 117: The solicitation says we need the SF-424. The link for required documents lists SF-424A also. Do we need one, or both?
Answer 117: Both documents are required for the FOA. The SF-424 is the formal application signed by the authorized representative of the applicant. Please note that by signing the SF-424 Application the applicant is certifying that it will comply with the Federal Certifications and Assurances that are referenced on the form. The EERE 159 form is both the Budget and Budget Justification. The SF-424A is included as the last tab of the EERE 159 form. It should auto-populate as you fill in the form. This is the detailed budget and spend plan for the project.

Question 118: Concerning the National Incubator Initiative for Clean Energy, FOA-1042, the Electric Power Research Institute (EPRI) would like clarification on the requirement for a “US Manufacturing Plan.” 1. Is there any specific guidance on the structure or format for the US Manufacturing Plan? 2. The FOA-1042 FAQs include two different questions, numbers 54 and 97, concerning the US Manufacturing Plan. The answer to question No. 54 gives guidance on the plan and states that it is a submission requirement for the full application. However, the answer to question No. 97 states that it is not a requirement of the effort. Will DOE please clarify as to whether the US Manufacturing Plan is or is not a requirement?
Answer 118: A U.S. Manufacturing Plan is not required for this FOA.

Question 119: With respect to the Data Management Plan which you indicated is required in your answer to Question 96, it is not clear in Appendix E: 1) Is the Data Management Plan intended to be part of the 20 page limit for the full Application, or is it a separate document? 2) If it is separate, is it to be included as an Appendix or is there some other place it needs to be filed? 3) While Appendix E gives guidance on the content expected in this report, can you give guidance on how much detail is expected in this Plan (eg. 1 paragraph or 10 pages)? Is there a particular format and length preferred by DOE? Can you recommend a template?
Answer 119: The Data Management Plan should be included as an appendix. There is no designated format for the plan. The plan should address any applicable aspects in Appendix E that relate to the project.

Question 120: The website shows the 424A form as a required form. The FOA does not list it under the required documents section. Which is correct?
Answer 120: The SF-424A is included as the last tab of the EERE 159 form. You only need to submit the EERE 159. The SF-424A has been removed from the required documents to avoid any further confusion.

Question 121: The Budget spreadsheet indicates that Letters of Commitment must be submitted. Should these be included with the Budget Justification pdf or the Technical Volume pdf? Also, our commitments were signed several months ago and are longer than one page due to terms and commitments, and likely cannot be reduced to one page. Is that acceptable?
Answer 121:

The level of participation by project participants should be described in the work plan and can be evidenced by letter(s) of commitment, which must conform to the one-page requirements. Any letters of support from partners/end users should be included as an appendix (1 page maximum per letter). Letters of support do not count towards the page limit.

Letters of Committment for cost share, however, are not required at this stage. If selected for award, EERE reserves the right to request additional or clarifying information for any reason deemed necessary, including but not limited to Commitment Letters from Third Parties Contributing to Cost Share.

Question 122: Would you please provide guidance on how much elaboration is expected on performance targets? For example, for a Jobs target, would you like to see a specific calculation, or just key assumptions or just data references? Thanks for your help.
Answer 122:

Applicants should use their best judgment to determine the information provided on performance targets. As stated in the description for the Technical Volume, the Applicant should demonstrate the feasibility of the proposed program and capability of achieving the anticipated performance targets, including a description of previous work done and prior results.

However, DOE is not the position to provide advice about how to best present your project or to comment on the merits of a prospective application. Applicants must make those determinations themselves when preparing their applications. Please be sure to carefully review the Funding Opportunity Announcement, which is posted on EERE’s Funding Opportunity eXCHANGE website (https://eere-xchange.energy.gov) to ensure you provide the necessary information in your application.

Question 123: Dear Program – We are participating in DE-FOA-0001042 as a subrecipient. Therefore, as a DOE-FFRDC we will be completing an FWP. Can you tell us what to use for box #1 “B & R” code? As well as who should be listed in box#9 “Headquarters/Operations Office Program Manager:” Thank you
Answer 123: For the purposes of the application, these fields do not need to be populated. If selected for award, further guidance will be given during award negotiations

Question 124: Hi, I have two more questions: • Is it required that sub-recipients submit a SF-424 form, or just the prime recipient? We didn't see a mention in the FOA of a requirement for sub-recipients to complete this form, but wanted to be sure. • The SF-424a is included in the required forms to download from the EERE-EXCHANGE site, but it is not mentioned anywhere in the FOA. Can you please clarify that it is required? And does it need to be completed separately for each sub-recipient or can the prime recipient complete one that includes the subrecipient funding under contractual? Thanks for clarifying!
Answer 124: 1) Sub-recipients do not need to submit an SF-424 Application. Prime Recipients should complete all required fields in accordance with the instructions on the form. Please note that the dates and dollar amounts on the SF-424 are for the complete project period and not just the first project year, first phase or other subset of the project period. 2) An SF-424a is included as the last tab of the EERE 159 form. It should auto-populate as you fill in the form.

Question 125: Dear DOE-EERE Representative, Please confirm whether it is allowable to include money for 'seed grants' on the DOE budget request.
Answer 125: No subgrants will be allowed under this FOA.

Question 126: Hello, I am assuming that the DMP is not included as part of the technical volume but rather will be uploaded as a supplemental document/appendix. Could you please let me know if my interpretation is correct?
Answer 126: Yes, the Data Management Plan is a supplemental document and it is not included in the Technical Volume page requirements. DOE hereby corrects the answer to Question 104 in the FAQ. In addition to Resumes and Letters of Support, the Data Management Plan should be submitted as an Appendix, as well.

Question 127: Hello NIICEFOA; Please clarify if the Data Management Plan can be a part of appendices or part of the 20 pages of technical volume?
Answer 127: The Data Management Plan should be included as an appendix. DOE hereby corrects the answer to Question 104 in the FAQ. In addition to Resumes and Letters of Support, the Data Management Plan should be submitted as an Appendix.

Question 128: 1) When we submit the Budget Justification EERE 159, is it supposed to be in excel or pdf format? 2) What is the biggest difference between a sub-recipient and contractors/consultants? 3) Are the sub-recipients with budgets greater than $100,000 required to use the SF 424A budget sheet?
Answer 128: 1) As is shown in the Full Application Content Requirements table on pages 22-23 of the FOA, the EERE 159 may be submitted as an excel document and the Summary Slide may be submitted in PowerPoint format. All other documents must be submitted as a PDF.
2) The difference between a Sub-Recipient and a Subcontractor/Consultant depends on whether the Contractor is substantially involved in the project. Substantial involvement means that the contractor is either providing cost share to the project or that they are so substantially involved in the project that it could not continue without the Contractor. If the Contractor meets either of those criteria they are substantially involved in the project and are then considered a Sub-Recipient.
3) Per the language in the FOA, an EERE 159 budget justification form is required for each subawardee that is expected to perform work estimated to be more than $250,000 or 25% of the total work effort (whichever is less).

Question 129: Please clarify the meaning of Independent R&D expenditures with regard to disallowed cost share
Answer 129: Independent Research and Development (IR&D) funds are Federal funds originating from the Department of Defense. Since they are Federal funds, they cannot be used as Cost Share.

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