Frequently Asked Questions

Any application which proposes technologies, products, or solutions and demonstrates that it is realistically expected to achieve the DOE 2022 targets will be considered more than just incremental improvements.

The university would be the Applicant. And as the Applicant, the university may submit one concept paper and Full Application per topic area as identified in Section I.B. of the FOA.  As there could be potential applicants across the various colleges, departments and campuses of one institution, it is incumbent upon the applicant to coordinate the applications submitted.  If more than one Concept Paper and Full Application per topic area is submitted, EERE will only consider the last timely submission for evaluation.  Any other submissions received listing the same topic area will be considered non-compliant and not eligible for further consideration.   

Consistent with the Funding Opportunity Announcement (FOA), Section III. A. Eligible Applicants, a for-profit entity may be a Subrecipient. However, the Prime Recipient effort must be at least 60% of the total estimated cost of the project. 

Consistent with the Funding Opportunity Announcement (FOA), Section III. A. Eligible Applicants, Eligibility for this FOA is restricted to small businesses and institutions of higher education to include U.S. colleges, universities, institutions of higher learning, and university-affiliated research institutions.   Additionally, the Prime Recipient effort must be at least 60% of the total estimated cost of the project. 

In accordance with Section III.3. of the FOA, a foreign entity may designate a U.S. subsidiary to be the Prime Recipient.  That U.S. subsidiary must still meet the eligibility criteria contained in Section III. of the FOA, that is:    

·         Organized for-profits, with a place of business located in the United States;

·         At least 51% owned and controlled by one or more individuals who are citizens of, or  permanent-resident aliens in, the United States, or

·         At least 51% owned and controlled by another for-profit business concern that is at least 51% owned and controlled by one or more individuals who are citizens of, or permanent-resident aliens in, the United States; and;

·         No more than 500 employees, including affiliates.

If a foreign entity has a U.S. subsidiary and all shareholders of that foreign entity are non-U.S., the foreign entity is not eligible to apply.  Please note:  a foreign entity who, in accordance with the waiver request procedure outlined in Section III.e. of the FOA, requests a waiver of the requirement to designate a subsidiary in the U.S. as the Prime Recipient is only requesting a waiver related to the place of business (first bullet above).  The remaining requirements, 51% U.S. owned and controlled and no more than 500 employees (including affiliates), still apply.  

In accordance with Section III.3. of the Funding Opportunity Announcement, in order to be considered, small businesses must meet the following criteria:

·         Organized for-profits, with a place of business located in the United States;

·         At least 51% owned and controlled by one or more individuals who are citizens of, or  permanent-resident aliens in, the United States, or

·         At least 51% owned and controlled by another for-profit business concern that is at least 51% owned and controlled by one or more individuals who are citizens of, or permanent-resident aliens in, the United States; and;

·         No more than 500 employees, including affiliates.

Cost share is discussed in “Section III. B. Cost Sharing” of the Funding Opportunity Announcement (FOA). Additionally, to assist Applicants in calculating proper cost share amounts, the FOA also contains a cost share information sheet and sample cost share calculation as Appendices B and C. See also 10 CFR 600.30 for applicable cost sharing requirements.

Section III.A. of the FOA has the following language:

Eligibility for this FOA is restricted to small businesses and institutions of higher education to include U.S. colleges, universities, institutions of higher learning, and university-affiliated research institutions.  In order to be considered, small businesses must meet the following criteria:

·         Organized for-profits, with a place of business located in the United States;

·         At least 51% owned and controlled by one or more individuals who are citizens of, or  permanent-resident aliens in, the United States, or

·         At least 51% owned and controlled by another for-profit business concern that is at least 51% owned and controlled by one or more individuals who are citizens of, or permanent-resident aliens in, the United States; and;

·         No more than 500 employees, including affiliates.

The Prime Recipient effort must be at least 60% of the total estimated cost of the project.

While the consortium itself has no employees, the consortium members would be considered "affiliates".  As the members of this consortium together would have more than 500 employees, the consortium is therefore not eligible to apply.  

Yes.  60% of the effort must be performed directly by employees of the Prime Recipient. 

Yes.  Keep in mind that the Prime Recipient is legally responsible for all cost share, whether or not the Prime Recipient provides the cost share or a sub provides the cost share.

EERE, Vehicle Technologies, Advanced Power Electronics and Electric Machines program, and Electrical and Electronics Technical Team Roadmap can be found at:

http://www1.eere.energy.gov/vehiclesandfuels/pdfs/program/eett_roadmap_june2013.pdf

WBG research is considered to be on the DOE roadmap, based on current research activities such as:

ARPA-e SWITCHES Program

http://www.arpa-e.energy.gov/?q=arpa-e-news-item/us-energy-department%E2%80%99s-arpa-e-announces-27-million-transformational-grid

WBG Institute

http://energy.gov/articles/factsheet-next-generation-power-electronics-manufacturing-innovation-institute

However, if you have a research idea that is significantly different or innovative relative to existing DOE research, that you consider as unique and not on current roadmaps or plans the application must clearly and convincingly demonstrate how the proposed WBG research is significantly different or unique relative to existing research to be considered responsive.

The Department of Energy does not make recommendations regarding specific Areas of Interest or technologies outside of the full technical review process which is outlined in the Funding Opportunity Announcement (FOA). It is the full responsibility of the applicant to review the requirements of the FOA and make the determination of whether the technology is in line with those requirements.

DOE will not provide submission recommendations prior to submission of a Concept paper.  At that time, based upon review of the concept paper DOE will either encourage or discourage your organization from submitting a full application.  An applicant who receives a “discouraged” notification may still submit a Full Application. However, by discouraging the submission of a Full Application, DOE/EERE intends to convey its lack of programmatic interest in the proposed project.  Please also note that all full applications are subject to further review as outlined in the FOA, and that receipt of correspondence encouraging submission of a full application does not authorize the applicant to commence performance of the project.

Applicants who are U.S. colleges, universities, institutions of higher learning, or university-affiliated research institutions may submit one Concept Paper and Full Application per topic area as identified in Section I.B.  of the FOA.

No – two universities cannot jointly submit as Primes, one university must be the lead applicant.

 Applicants who are eligible Small Businesses may only submit one Concept Paper and one Full Application for consideration under this FOA. Applicants who are U.S. colleges, universities, institutions of higher learning, or university-affiliated research institutions may submit one Concept Paper and Full Application per topic area for consideration under this FOA.

Yes, it is a working account.  Please check that you have all the digits and numbers correct.

No – samples are not available.  Applicants must prepare their Concept Papers based on the information provided in the FOA.

EERE, Vehicle Technologies, Advanced Power Electronics and Electric Machines program, and Electrical and Electronics Technical Team Roadmap can be found at:

http://www1.eere.energy.gov/vehiclesandfuels/pdfs/program/eett_roadmap_june2013.pdf

WBG research is considered to be on the DOE roadmap, based on current research activities such as:

ARPA-e SWITCHES Program http://www.arpa-e.energy.gov/?q=arpa-e-news-item/us-energy-department%E2%80%99s-arpa-e-announces-27-million-transformational-grid

WBG Institute http://energy.gov/articles/factsheet-next-generation-power-electronics-manufacturing-innovation-institute

However, if you have a research idea that is significantly different or innovative relative to existing DOE research, that you consider as unique and not on current roadmaps or plans the application must clearly and convincingly demonstrate how the proposed WBG research is significantly different or unique relative to existing research to be considered responsive.

Applicants who are eligible Small Businesses may only submit one Concept Paper and one Full Application for consideration under this FOA.

The webinar itself will not be available; however, everything that was discussed during the webinar can be found in the Funding Opportunity Announcement document, located in eXchange. Here is a link to website: https://eere-exchange.energy.gov.  Additionally, all questions and answers from the webinar will be posted on eXchange, in the Questions/Answers section.

Please review the Concept Paper Content Requirements contained under Section IV-Applications and Submission Information, Part C- Content and Form of the Concept Paper.  The technical description is limited to two pages maximum and the addendum which may contain graphs, charts, or other data to supplement your technology description is limited to one page.  Any pages beyond three  pages will not be reviewed by DOE. The applicant must include the topic area to which they are submitting the concept paper as part of the information contained in the concept paper.

An application must address at least one of the program's performance targets (volume reduction for example) to be considered responsive.

The webinar itself will not be available; however, everything that was discussed during the webinar can be found in the Funding Opportunity Announcement document, located in eXchange. Here is a link to website: https://eere-exchange.energy.gov.

Additionally, all questions and answers from the webinar will be posted on eXchange, in the Questions/Answers section.

A market transformation/commercialization plan is required for all full applications.  See section IV.D of the FOA for more information regarding the content of the full application.

All full applications will be reviewed according to evaluation criteria described in section V.2 of the FOA.

The differences are best described by defining each item:

Research: Applied research that involves a systematic process to gain knowledge or understanding of the fundamental facts of phenomena using discovery, facts, and theories in order to solve specific technical problem or need.  The research under this topic is not basic or fundamental in nature.

Development: The systematic application of scientific and technical knowledge directed toward design, development, testing, or evaluation and production of prototypes to meet specific technical requirements or objectives.

Demonstration: Testing of the developed prototype system in a relevant operational environment.

For the purposes of this FOA, the type of project proposed determines the required amount of cost share. Cost share for Research and development projects must be at least 20% of the total allowable costs, and cost share for demonstration and commercial application projects must be 50% of the total allowable costs for demonstration and commercial application projects.

Yes, however, if you are not a university, then you must be a small business to apply as the prime. To be considered a small business, you must be able to meet the eligibility criteria contained in Section III. of the FOA.

EERE will not make eligibility determinations for potential applicants prior to the date on which applications to this FOA must be submitted.  Please review the entire FOA along with the technical requirements of the FOA to determine if your concept or technology  fits within the requirements of this announcement.   The decision whether to submit an concept paper/application in response to this FOA lies solely with the applicant. 

Please review the FOA to determine if you wish to submit a concept paper.    At that time, based upon review of the concept paper, EERE can either encourage or discourage your organization from submitting a full application.  Please also note that all full applications are subject to further review as outlined in the FOA, and that receipt of correspondence encouraging submission of a full application does not authorize the applicant to commence performance of the project.

The funding available for those applications selected for negotiations will be based on the estimated available funding described in the Executive Summary and in Section II. A. 1. of the FOA.

Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV.I.1 of the FOA.  In addition, cost share must be verifiable upon submission of the Full Application.

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, and 600.313.

See Section VIII. L.M., N. and O, of the FOA for Intellectual Property information pertinent to your question.

The webinar itself will not be available; however, everything that was discussed during the webinar can be found in the Funding Opportunity Announcement document, located in eXchange. Here is a link to website: https://eere-exchange.energy.gov.

Additionally, all questions and answers from the webinar will be posted on eXchange, in the Questions/Answers section.

Project selections resulting from a Funding Opportunity Announcement (FOA) are typically announced via Energy Efficiency and renewable Energy (EERE) Progress Alerts, see http://apps1.eere.energy.gov/news/progress_alerts_archive.cfm. As an example, selections made under the FY13 Vehicles Program Wide Funding Opportunity Announcement are located at http://apps1.eere.energy.gov/news/progress_alerts.cfm/news_id=20547.

No, profit is an unallowable cost for awards selected under this FOA.

Yes.  However any foreign nationals proposed to participate in the project must be disclosed in the full application.

No, so long as the cost share requirement is met or exceeded.

There will not be a notification to webinar participants that an amendment has been posted.  Anyone that is registered in www.grants.gov  under this FOA or technology description should receive an email notification when a change has been made to the FOA.

No.  Concept Papers are not disclosed to the public.

The proposed cost share could be considered by the Selection Official through the application of the Program Policy Factors.  See Section V.C.1.

The funding available for those applications selected for negotiations will be based on the estimated available funding described in the Executive Summary and in section II. A. 1. of the FOA.

There is no requirement that cost share be expressly cash or expressly in-kind.  Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV.I.1 of the FOA.  In addition, cost share must be verifiable upon submission of the Full Application. 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, and 600.313.

While it is not listed in the Concept Paper requirements description, it would be appropriate to mention this when addressing the project team.  See eligibility criteria contained in Section III. of the FOA for more information on foreign entities.

Please review section I.A of the FOA for more information regarding the scope and goals of this FOA.

See Section VIII. L. and section VIII. N. of the FOA for Intellectual Property information pertinent to your question.

Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV.I.1 of the FOA.  In addition, cost share must be verifiable upon submission of the Full Application.  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, and 600.313.

There is no prohibition against doing so.  The Funding Opportunity Announcement (FOA) does not limit submission of concept papers or applications to other announcements.  However, your concept paper or application must meet the requirements of each FOA and DOE will not fund the same project under two different announcements.

The Department of Energy does not make recommendations regarding specific Areas of Interest or technologies outside of the full technical review process which is outlined in the Funding Opportunity Announcement (FOA). It is the full responsibility of the applicant to review the requirements of the FOA and make the determination of whether the technology is in line with those requirements.

DOE will not provide submission recommendations prior to submission of a Concept paper.  At that time, based upon review of the concept paper DOE will either encourage or discourage your organization from submitting a full application.  An applicant who receives a “discouraged” notification may still submit a Full Application. However, by discouraging the submission of a Full Application, DOE/EERE intends to convey its lack of programmatic interest in the proposed project.  Please also note that all full applications are subject to further review as outlined in the FOA, and that receipt of correspondence encouraging submission of a full application does not authorize the applicant to commence performance of the project.

No, demonstration/commercialization is not required, and yes it can it be strictly research and development. However, a Market Transformation/Commercialization Plan must be included in the Technical Volume of the application, even if the application consists entirely of R&D activities. See section IV.D of the FOA for more information regarding the content of the full application.

In general, patent costs are unallowable, with limited exceptions.  Applicants should review the appropriate cost principles (FAR Part 31.205-30(b) and (c)) for additional information.

(1)  FFRDC’s may only participate as a subrecipent. In order for your organization to apply as the Prime, you must be a university or a small business. To be considered a small business, you must be able to meet the eligibility criteria contained in Section III. of the FOA. 60% of the effort must be performed directly by the Prime Recipient.

(2)  A Concept Paper can be submitted but the process of incorporation must be completed by the time the Full Application is submitted.

(3)  Consistent with the FOA, the eXchange system will allow an applicant to submit who is not yet registered in SAM or FedConnect; however, applicants should complete the registration as soon as possible since the registration requirements could take several weeks to process and are necessary for a potential applicant to receive an award under this FOA.

(4)  In-kind cost share is fine, as long as it  is allowable per the applicable Federal cost principles, as described in Section IV.I.1 of the FOA.  In addition, cost share must be verifiable upon submission of the Full Application.

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, and 600.313.

(5)  No - a provisional patent or a patent that is filed but not yet granted would not be considered allowable cost share.

The restricted eligibility in this FOA targets educational institutions and small businesses that meet the defined criteria.  In support of this, DOE has determined that the Prime Recipient must perform 60% of the total estimated effort.   This means that the labor, materials/supplies, travel, and associated indirect costs incurred by the Prime Recipient must equal or exceed 60% of the total estimated cost of the project.  

Since the full application requires a minimum cost share of 20%, the eXchange system flows this requirement down to the concept paper. Therefore, while the FOA does not require that Applicants address cost share as part of the concept paper, applicants must specify in eXchange that the minimum cost share requirement will be met.

The FOA does not require that Applicants include an abstract with the concept paper; however, the eXchange system does require the abstract. When preparing the abstract in eXchange for the concept paper, Applicants should ensure that the information provided in the abstract does not conflict with the final abstract that is submitted with the full application. However, Applicants will be permitted to revise the abstract once the concept paper process is complete, and Applicants are preparing their full applications.

Use the Abstract field in Exchange to provide a brief Description of their projects not to exceed 4,000 characters spaces included. The information provided in the abstract will NOT count towards the concept paper page limit of 2 pages for technical discussion and a 1 page addendum.

No, the Team member worksheet in EERE Exchange is where an applicant identifies the Sub-contractors that will be working with the Lead organization.  The EERE Exchange system allows applicants to update (Add/edit/delete) this information in the Full Application phase of the submission process.  The applicant is also asked to identify what percentage of the work each team member (sub Contractor) will be performing on the project.  Lead organization percentage of Work plus Team Member percentages of work must equal 100%.

Consistent with the FOA DE-FOA-EE0000988, the required application forms can be found on the EERE Exchange website at https://eere-Exchange.energy.gov/.  The technical volume is not a form, see the Chart in Section IV.D.2 of the FOA for more information on preparing your technical volume. Please see Section IV. Application and Submission Information for further instruction on application components.

No, it is not a form. Consistent with the FOA, Part IV.D.4., Applicants  that are a small business must submit a Small Business Statement of Eligibility, verifying that the applicant organization meets the eligibility requirements outlined in Section III.A. of the FOA.  This Statement must be signed by an authorized representative of the applicant. 

1) If a Concept Paper was not submitted for the new idea, then you are not eligible to submit a Full Application for the new idea. 

2) Reviewers are required to review all Full Applications against the published evaluation criteria in the FOA. Whether or not the related Concept Paper was encouraged or discouraged will not be discussed. 

To be eligible to apply to this FOA as a prime applicant, an organization that meets the small business definition and that is a foreign entity must have at least 51% US ownership to apply. Additionally, that organization must either designate a US subsidiary to be the prime or request a waiver of that requirement.

Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV.I.1 of the FOA. In addition, cost share must be verifiable upon submission of the Full Application.

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, and 600.313.

Please upload the budget justification files in PDF format, even though the FOA specifies excel.