EERE eXCHANGE: FAQs

Question 1: How do we get copies of some of the previous SSL/LED grant applications that were successful. We’re a small co. and need a basic guide to grant writing
Answer 1:

Copies of previously selected applications are not generally made available to the public as they may contain proprietary and/or business sensitive information. You may formally request previous applications under the Freedom of Information Act (FOIA). If successful, you would likely receive a copy that has much of the content redacted. We do not believe that this would prove beneficial to you. We believe that the funding opportunity document itself provides all guidance necessary to write a successful application. For more information on the FOIA process, please see: http://www.netl.doe.gov/home/foia

Question 2: Regarding “US Manufacturing”. Might that apply to moving manufacturing currently done in China to the US?
Answer 2:

No. The intent of the Manufacturing Research and Development (R&D) topic areas (5 & 6) is to focus on achieving significant cost reductions and enhancing quality through improvements in manufacturing equipment, processes, or monitoring techniques (R&D). The relocation of a manufacturing facility to the US is an acceptable outcome of project, but the focus of the research is limited to R&D efforts to make manufacturing more efficient and less expensive.

Question 3: I know there isn’t a set aside for “small business” but I believe the original legislation authorizing these grants (4-5 yrs ago) had a short sentence indicating “preference” for some of the funds going to small business.
Answer 3:

There is no preference given to the organization type for this funding opportunity. Rather, applications will be evaluated on ability of the complete team to address all aspects of the proposed work plan.

Question 4: Q&A 4 - 13 are from the Webinar held on October 24, 2014. Does budget information need to be provided for concept papers?
Answer 4: No, detailed budget information is not required for concept papers. Budget information is to be provided with the full application.

Question 5: If I have a presentation prepared already that is 13 pages long, may I submit that as the concept paper or should I cut it down?
Answer 5:

No. The Concept Paper must conform to the content requirements detailed in Section IV.C of the FOA “Content and Form of the Concept Paper”. Concept papers that exceed the page limitation will be truncated and evaluated only on the truncated version.

Question 6: For AOI 1&2, when we prepare the concept paper is it possible that a single idea can relate to both topic areas 1 and 2?
Answer 6:

Per Section IV.C of the FOA, “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. If you are convinced that your concept would be relevant to more than one topic area, submit a separate concept paper to both topic areas. The concept paper for each topic area should focus on the specific topic area. For the example given, topic area 1 should focus on the technology use applicable to LEDs. For topic area 2, the focus should be on application to OLEDs. The same concept paper should not be used for both topic areas.

Question 7: We are a US parent company with a foreign subsidiary where the technical work would be undertaken – would we eligible?
Answer 7: Per Section IV.I.3.a regarding “Performance of Work in the United States” (starting on page 38 of the FOA): “All work performed under EERE Awards must be performed in the United States. This requirement does not apply to the purchase of supplies and equipment; however, the Recipient should make every effort to purchase supplies and equipment within the United States. The Recipient must flow down this requirement to its subrecipients.” Additionally, per Section IV.I.3.c: “There may be limited circumstances where it is in the interest of the project to perform a portion of the work outside the U.S.” See additional details in this section regarding necessary information that must be included in a request to waive the Performance of Work in the United States requirement.

Question 8: The FOA states that emitter research must be led by a “US LED manufacturer”. Can you please clarify what constitutes a US LED manufacturer and does this restriction apply to all emitter materials research or just subset (e.g., droop research but not green gap).
Answer 8:

A U.S. LED manufacturer would be a company that is manufacturing LED epitaxy within the U.S. The teaming arrangement described in the FOA applies to all applications under LED Emitter Materials Research. The reasoning behind this teaming arrangement is to ensure approaches that are directly relevant to emitter materials problems and to limit approaches to new and novel ideas of direct interest to the LED manufacturers.

Question 9: AOI5: Are there any limitations to a university working with a manufacturing company?
Answer 9:

No. The university (as the prime recipient) would be responsible for oversight of the project and to ensure that cost share is met. See Section III.A, “Eligible Applicants,” and Section III.B “Legal Responsibility” and “Cost Share Allocation” for additional information regarding eligible partners and cost share information.

Question 10: How much variation is permitted between what is described in the concept paper vs. what makes it into the application?
Answer 10:

Concept papers should align with full applications as much as possible. However, it is understood that some polishing and potential change in direction may occur as the full application is developed. This is acceptable. Keep in mind, one purpose of the concept paper is to save potential applicants the time and associated expense of writing a full application in the case that the program lacks interest in a proposed approach.

Question 11: If a company wants to team with another company, would they turn in one concept paper?
Answer 11:

Yes, the team would turn in a single concept paper. Under this approach, one company must be defined as the prime recipient and the other as the sub-recipient.

Question 12: Can the subs be added or changed after the concept paper is submitted?
Answer 12: Yes.

Question 13: Can a U.S. entity owned by a foreign entity be the prime?
Answer 13:

All Prime Recipients receiving funding under this FOA must be incorporated (or otherwise formed) under the laws of a State or territory of the United States. If a foreign entity applies for funding as a Prime Recipient, it must designate in the Full Application a subsidiary or affiliate incorporated (or otherwise formed) under the laws of a State or territory of the United States to be the Prime Recipient. The Full Application must state the nature of the corporate relationship between the foreign entity and domestic subsidiary or affiliate. NOTE: A Recipient must have a valid DUNS number and be registered in the System for Award Management (SAM) prior to receiving an award.

Question 14: I was unable to attend the Webinar. Would it be possible to obtain the slides from the Webinar?
Answer 14: The slide presentation for the webinar has been uploaded as an FOA Document in Exchange under the subject FOA (DE-FOA-0001171). The following link will also take you directly to the Webinar Presentation.

https://eere-exchange.energy.gov/FileContent.aspx?FileID=f269fec7-4950-4ca2-a6d0-252ec7baa6c1

Question 15: Can the principal investigator be a non-permanent resident if the project is with a domestic entity?
Answer 15: Foreign Nationals who are key personnel on the project (including the Principal Investigator) must first go through an approval process. If approved by DOE, the PI can be a non-permanent resident working in the U.S. for an eligible domestic entity.

Question 16: Can you please let me know where to find the guidlines for the concept paper.
Answer 16: Please review Section IV of the FOA for application and submission information of both the concept paper and the full application. The format for the Concept Paper is described in Section IV.C

Question 17: What are allowable cost share costs? For example: can the cost of my prototype, manufactured outside of the U.S., be covered under the cost share?
Answer 17:

Please review Section III.b of the FOA for additional information regarding Cost Sharing. Appendix B and C provide detailed discussion and examples that might be helpful. Section IV.I.1 of the FOA provides a brief discussion on allowable costs and provides information regarding applicable federal cost principles. Applicants are encouraged to refer to 10 CFR Parts 600 and 603 for additional guidance on cost sharing, specifically 10 CFR §§600.30, 600.123, 600.224, 600.313, and 603.525-555.

As mentioned above, all work performed under EERE Awards must be performed in the United States. Therefore, it is unlikely that prototypes manufactured outside of the US would be allowable under this program. Additionally, "pre-sunk" costs are not an allowable cost under Financial Assistance awards.

Question 18: What are the reporting requirements? How often are they due?
Answer 18: Per Section VI.C.14 of the FOA, Reporting requirements are identified on the Federal Assistance Reporting Checklist which will become part of a subsequent award. A sample checklist can be accessed at

http://energy.gov/sites/prod/files/2013/05/f0/Attch_FA_RepReqChecklist_COMBINED_FINAL_4-23-13%20%283%29_0.pdf.

There are quarterly financial and quarterly progress reports anticipated for awards under this program, a comprehensive Final Technical Report and various other reports depending on your type of organization and scope of work. These additional reports could include topical reports, annual compliance audits, annual indirect cost proposals, among others.

Question 19: What is the method of payment? Is it released at one time or in installments?
Answer 19: Payment methods vary; however, the typical method of payment for "For-Profit" entities requires submission of an invoice along with appropriate supporting documentation reflecting total costs expended for the billing period, both DOE share and Cost Share broken down by cost category: e.g. personnel; fringe benefits; equipment; travel; supplies; contractual; other direct costs; and indirect costs. Submittal of invoices should coincide with the Recipient's normal billing pattern but not more frequently than every two weeks. Requests for reimbursement must be limited to the amount of disbursements made during the billing period for the Federal share of direct project costs and the proportionate share of any allowable indirect costs incurred during that billing period.

Question 20: When can the programs start? Can the funds be applied to a program which has already started?
Answer 20: Selections are anticipated in mid-May, followed by several weeks of negotiations leading to award. It is anticipated that awards selected under this FOA could begin as early as mid-July through August. No, funds can not be applied to work that has already been completed. Funds can only be applied to work negotiated and approved in the "Statement of Project Objectives" for that award and during the period of performance for that award. Once selections have been announced, there is a limited time period( 90 days) prior to official award date where nominal costs could be reimbursed.

Question 21: Are "cost share" and "recipient cost share" the same thing?
Answer 21: Basically yes. The Recipient is always responsible for ensuring that the cost share requirement is met; however, the cost share can come from sources other than the Recipient. The 2 terms are often used interchangeably.

Question 22: For Topic Area 3, are we correct in assuming that for the example used: a Classroom application; the outcome is 2 distinct luminaires, one for general illumination and one asymmetric to illuminate the white/black board?
Answer 22: There is not a single correct design for this space. It is up to the applicant to decide the necessary lighting products to light all required aspects of the space appropriately. It is anticipated that successful applicants would consider multiple complimentary components, luminaires, or systems working together to meet the needs of the space.

Question 23: For Topic Area 5, M.L.1: is the outcome a "light module" or subsystem which reduces the cost of SSL luminaires, or is it a manufacturing method to make these modules more cost effective?
Answer 23: Please refer to page 67 of the SSL Manufacturing Roadmap for clarification.

Question 24: In the FOA Topic Area 1 — LED Core Technology Research "Applicants applying in the LED Emitter Materials research area should be led by a US LED manufacturer and teamed with one or more collaborators consisting of academic institutions and/or DOE national laboratories.” Does this mean the LED manufacturer has to be the prime receipt, the university/national lab can only be the sub-receipt?
Answer 24:

The LED manufacturer does not have to be the prime recipient. But, it is strongly encouraged that the applicant's team include a US LED manufacturer to help lead the team.

Question 25: The FOA describes how applicants can include confidential or business-sensitive information in the full application if necessary to convey an understanding of the proposed project. We feel we also need to include such confidential information in the concept paper to convey a proper understanding. Is this possible? If so, can you please let us know how to mark this information? Should we include a cover sheet (not counting towards the page limit) with the Notice of Restriction on Disclosure and Use of Data?
Answer 25: That level of detail shouldn't be needed in the concept paper phase. However, if you still feel it is necessary to provide sensitive information in the concept paper, mark the entire concept paper as confidential or business sensitive. Since the page limitation for the concept paper does not allow for a cover page, you can include the Notice or Restriction on Disclosure and Use of Data in the header or footer of the Concept Paper using a 10 pont font.

Question 26: Is there a minimum funding level for a projects.
Answer 26: No, there is no minimum funding level. There is, however, a maximum funding level. Per the FOA "Individual awards may not exceed $1.5 million Federal share with the exception of Topic Area 3, which may not exceed $500,000 Federal share plus applicable cost share."the Section II.A.1. Please see Section II.A.1. for additional information.

Question 27: Is financial information required for the concept paper stage under the funds and costs tab?
Answer 27:

While financial information is not required as part of the actual Concept Paper, it is required as part of the submission process in eXCHANGE. Please include "estimated" costs under the "funds and cost tab" in eXCHANGE. This financial information will not be evaluated and it is understood that this information may be revised as part of a subsequent full application.

Question 28: Is it permissible to change topics from the concept paper stage to the full proposal stage?
Answer 28:

Yes, applicants are able to change the Topic Area when submitting a full application in Exchange. If you do change the Topic Area, you will be advised to check the budget information in the Funds and Cost tab because Cost Share requirements can change between some of the Topic Areas.

Question 29: Will the second Webinar presentation be made available?
Answer 29: Yes, the second Webinar presentation is available under the "FOA Documents" section of this FOA in Exhange.

Question 30: I am not able to upload application files.
Answer 30:

This has been remedied. You should now be able to upload application files.

Question 31: I work at a University and as the PI for this project, we plan to claim one month of salary and associated indirect costs per academic year as cost share for this project. Is this acceptable?
Answer 31: The cost share appears acceptable for use in the budget as part of the application package. However, please keep in mind that cost share costs must follow the same rules and regulations as reimbursable costs. Therefore, if selected for negotiations leading to award, you must continue to work with your Sponsored Program Office to ensure that all costs relating to the project (both DOE share and Cost Share) are verifiable and acceptable per Government and University regulations.

Question 32: Is the one-page Summary Slide intended for public release?
Answer 32: Reference Section VIII.E of the FOA. In general, EERE will use data and other information contained in applications for evaluation purposes only unless such information is generally available to the public or is already the property of the Government. While the one-page summary slide is intended for proposal review purposes only, the information may be released under a Freedom of Information Act (FOIA) request, as specified in the FOA. Therefore, trade secret, commercial, or financial information must be adequately marked. Absent a FOIA request, EERE does not intend to publicly release the summary slide.

Question 33: If the period of performance is 12 months, does that mean that the review gate is after 6 months? Correspondingly, if the period of performance is 18 months, does that mean that the review gate is after 9 months?
Answer 33: The goal is to have a go/no go decision point near the mid-point of the project. Therefore the time periods and examples identified in the question would be acceptable for proposal purposes. Nonetheless, the exact placement of the decision point will be determined during the negotiation of the award.

Question 34: Who shall the Contracting Officer letter be addressed for the FFRDC’s responding to this FOA?
Answer 34:

Brittley K. Robbins, Contracting Officer

U.S. Dept of Energy - NETL

626 Cochrans Mill Road

PO Box 10940

Pittsburgh, PA 15236

brittley.robbins@netl.doe.gov

Question 35: How should the file name read for the upload of the Data Management Plan?
Answer 35:

ControlNumber_LeadOrganization_DMP

UPDATE: The Data Management Plan is no longer identified as a Required File.

Question 36: Can we apply our Federally-negotiated indirect cost rate to the cost match portion?
Answer 36:

The response to this question depends on the nature (i.e., the individual cost element / budget category) and the origin (i.e., internally-generated or third party) of the cost being provided as cost share. For example, if personnel costs are provided as cost share, then the approved indirect rate can be applied to those costs and the resultant indirect costs included as part of the cost share amount. If equipment or tuition remission costs are provided as cost share, the approved indirect rate cannot be applied to these cost items because they are not a part of the approved allocation base (i.e., Modified Total Direct Costs) for the indirect rate as stated in the negotiated Rate Agreement.

In instances where a subrecipient or third party is performing part of the work scope and cost sharing a portion or all of its incurred costs, and those subrecipient/third party costs are not accounted for (i.e., tracked and recorded) in the Recipient’s accounting system, and not included in the base for calculating the indirect cost rate, it would not be appropriate or allowable for the Recipient to apply its approved indirect rate to those cost share amounts.

Question 37: If there is more than one subaward, the FOA asks that the budget files be uploaded as one PDF; however, EERE Exchange only allows to upload one Excel file. Should the other subaward file be uploaded as an additional Excel File?
Answer 37: Yes, it is okay to submit the sub-recipient budgets as additional Excel files.

Question 38: Is there a requirement for a US Manufacturing plan under MYPP Task A.1.3?
Answer 38: Yes, the U.S. Manufacturing Plan is required. As stated in the FOA, a higher level of specificity is expected in U.S. Manufacturing Plans for technologies at higher technology readiness levels due to the greater certainty surrounding the commercialization of these awards.

Question 39: The workbook for the applicant does not contain an SF-424A tab. Do you need an SF-424A for the project as a whole as well, or just for the subrecipients?
Answer 39:

An updated workbook has been uploaded which includes the SF424-A tab. The SF424-A is required for all applicants.

Question 40: Is it required to break down time allocations for key personnel within the budget if the allocations are for two different times during the year (Example: The PI is working hours during the regular academic year, but is also planning on working hours during the summer months)?
Answer 40: The Department of Energy/National Energy Technology Laboratory does not require applicants to break down this information; however, the applicant may choose to break down this information if it shows a different pay rate, or if it coincides with how they track hours on their end.

Question 41: Where should information pertaining to budget justification in relation to indirect rates and fringe benefits be included?
Answer 41: Indirect rates and fringe benefits are typically negotiated after selection; however if the applicant wishes to include this information there is an area within the Budget Justification File, under tab SF424-A, Blocks #22 (Indirect Rate) and Block #23 (Remarks) where these rates and what they cover, or their methodology, may be included.

Frequently Asked Questions