Attachment No. 1 - Statement of Work.pdf

Attachment No. 1

APPENDIX A

STATEMENT OF WORK

"2021 Distributed Wind Turbine Competitiveness Improvement Project”

January 12, 2021

1.0 BACKGROUND

Distributed wind (DW) refers to wind energy systems (large and small) connected directly to the distribution grid, on the customer side of the meter, or at an off-grid location to support local loads or grid operations. Preliminary analysis by the National Renewable Energy Laboratory (NREL) suggests there are gigawatts of economically viable distributed wind potential both behind the meter (sited by a residential, commercial, or industrial end-user to serve onsite load) and on local distribution systems. The U.S. Department of Energy (DOE) Wind Energy Technologies Office (WETO) sponsors a multifaceted wind energy technology research and development (R&D) portfolio to develop cost-competitive, high-performance technology to serve this untapped U.S. energy resource and supply global distributed energy markets. The 2021 Competitiveness Improvement Project (CIP) aims to support small businesses who design and manufacture small or medium sized wind turbine technology. The Subcontractor shall pursue one or more of the following product development pathways:

• Innovate optimized designs for increased energy production, lower costs, provide improved services and apply existing hardware in new market applications

• Conduct turbine and component testing to national standards to verify performance and safety

• Develop advanced manufacturing processes to reduce hardware costs

The goals of the CIP are to:

• Make wind energy cost competitive with other distributed generation technology, measured through levelized cost of energy (LCOE) reduction

• Increase the number of small- and medium-scale wind turbine designs certified to national standards, measured through number of certified designs

To date, the CIP has yielded numerous successes, including LCOE reductions of greater than 50% and completed certification testing. The CIP is designed to support small businesses pursuing innovative wind technology R&D at multiple phases of the product development cycle, from prototype design to pre-commercial test unit.

2.0 OBJECTIVE

The objective of the CIP is to expand U.S. leadership in the domestic and international distributed energy market sectors by assisting U.S. manufacturers in either lowering the LCOE of wind turbines through component or system innovations, manufacturing process advancements, or in obtaining certification of their turbines. The expected outcome is an increase in the number of certified distributed wind turbines available for the U.S. market and reduction of the LCOE of these turbines installed in distributed applications. Although DW is not defined by size, for this effort the turbine size will be capped at 1000 kW rated power except for

Certification Testing topic area which is capped at a rotor swept area (RSA) of 200 m2 if certifying to IEC 61400-2 or 150 kW peak power if certifying to the American Wind Energy Association (AWEA), American National Standards Institute (ANSI) Small Wind Turbine (SWT) standard, version 1 (AWEA/ANSI SWT-1) which is expected to be approved in the spring of 2021.

3.0 SCOPE OF WORK

Under the CIP, the Subcontractor shall conduct work that fulfills the specific tasks for the corresponding topic area. The scope details for each topic area are provided in this section and the work required is described in the Tasks and Deliverables sections that follow. In all topic areas a disciplined engineering approach and a professional level of documentation is expected.

In all topic areas the Subcontractor shall identify a baseline wind turbine design for the project and in the case of innovation around a specific turbine component(s), the selected component(s) must be associated with at least one wind generator and have stated support of the wind generator original equipment manufacturer (OEM). All projects should lead to an increase in the number of certified wind turbines in the U.S. market and/or reduce the LCOE of these turbines installed in distributed applications.

3.1: Topic Area 1: Prototype Design Development The scope of work for the prototype design development topic area shall focus on completion of detailed design, analysis, and/or testing of a beta prototype turbine or component to reach readiness for testing of a production prototype. The Subcontractor shall describe a wind turbine or component for this project, which has completed at a minimum the preliminary design stage of development. The selected component must be associated with at least one wind generator and have stated support of the wind generator OEM. NREL will provide technical and testing guidance including a technical design evaluation and what design and testing challenges and capabilities need to be addressed for success. As part of the technical design evaluation, NREL will complete a detailed concept viability which must be successful for the continuation of the project. The project result is expected to be a final prototype turbine or component design which would allow the construction or testing of a prototype turbine.

3.2: Topic Area 2: Prototype Testing The scope of work for the prototype testing topic area shall focus on testing a prototype turbine to determine the commercial readiness of the turbine system. The Subcontractor shall identify a baseline wind turbine design that shall be the focus of this project. The expectation is that this project would address key design questions or issues that can only be investigated through full prototype testing. Although focused on one baseline turbine design, project elements can include the investigation of different component options. The project results are expected to lead to a final turbine design that is ready for certification and serial production. This will support an increase in the number of U.S. – manufactured certified wind turbines and reduce the LCOE of these turbines installed in distributed applications.

3.3: Topic Area 3: Component Innovation The scope of work for the component innovation topic area shall focus on significant upgrading of a specific component(s) of an existing turbine design. The Subcontractor shall identify a baseline wind turbine that shall be the focus of this project. The Subcontractor shall conduct work that supports designing, building, testing and/or certifying improved component(s) for the baseline turbine. The upgrade should result in reduced cost or increased performance. Projects that increase cost but have sufficient performance improvements to lower the LCOE are acceptable. Component Innovation can also be used to develop turbine components that will allow the baseline turbine to enter new market areas. In this case documentation must be provided to articulate the market and value that distributed wind would add. This scope of work emphasizes a disciplined engineering development process, tests to verify component, process, or system designs, and documentation necessary for certification and product commercialization.

If more than two components are the focus, then the system optimization topic area may be a better fit. The project results are expected to lead to an improved, certified production turbine with expanded capabilities, a lower LCOE over the baseline and/or the development of components that will allow the baseline turbine to compete in a new market with a significant advantage over existing options.

3.4: Topic Area 4: System Optimization The scope of work for the system optimization topic area shall focus on the improved performance of a wind generator system or subsystem. The Subcontractor shall identify a baseline wind turbine that shall be the focus of this project. The Subcontractor shall conduct work that supports designing, building, testing, and/or certification of a set of improved components. The set of components can be most of the wind generator or a major subsystem such as the drivetrain or rotor assembly. The system or subsystem should be optimized such that the cost and performance changes result in a reduced LCOE over the life of the turbine. This scope of work emphasizes a disciplined engineering development process, tests to verify component, process, or system designs, and documentation necessary for certification and product commercialization. If the subsystem is simple such as the rotor of a stall regulated wind generator or the drivetrain of a turbine with a direct drive alternator, then the component innovation topic area may be a better fit. It is not recommended that a component manufacturer be the principal in a system optimization proposal unless they manufacture the whole subsystem being optimized. The project results are expected to lead to an improved, certified production turbine with a lower LCOE over the baseline.

3.5: Topic Area 5: Small Turbine Certification and Listing The scope of work for the small turbine certification topic area shall focus on certification of a turbine to a smal l wind s tandard such as IEC 61400-2 or AWEA/ANSI SWT-1. The work effort shall include all activities necessary to 1) complete a turbine design review; 2) conduct turbine certification testing to the IEC 61400-2 or AWEA/ANSI SWT-1 standard, or both; and, 3) ensure the turbine is certified. The Subcontractor may also include work to List the turbine assembly. If the turbine is not able to successfully complete the design evaluation, NREL reserves the right to terminate the contract prior to turbine testing.

Listing may be the sole effort in this topic area if the subject turbine is already certified. Listing to UL standards including controls, inverter, and turbine subcomponents shall have priority over standards that do not apply in the U.S. Standards that do not apply in the U.S. may be covered by this work effort. However, Listing and certification to standards that do not apply in the U.S.

should be secondary to certification of the turbine to IEC 61400-2 or SWT-1 or standards that do apply in the U.S. It should be noted that the turbine size limits are different for IEC 61400-2 and SWT-1 and that SWT-1 may not be finalized at the time of this RFP. The project results are expected to lead to an improved, certified production turbine available in the U.S. market.

3.6: Topic Area 6: Type Certification The scope of work for the type certification topic area shall focus on certification of a turbine to the IEC 61400-1 [Wind energy generation systems – Part 1: Design requirements] standard. This topic area is provided for turbines that need international certification and have a rotor swept area that exceeds 200 m2 or that has a peak power that exceeds 150 kW and is therefore not eligible for the SWT-1 standard. The work effort shall include all activities necessary to 1) complete the design basis evaluation, 2) complete the design evaluation, 3) conduct the type certification testing of the turbine, 4) complete the manufacturing evaluation, and 5) ensure the turbine receives all conformity statements and a final type certificate. The Subcontractor may also include work to list the turbine assembly to Underwriters Laboratories (UL) standards including controls, inverter and turbine subcomponents. If the turbine is not able to successfully complete the design evaluation, NREL reserves the right to terminate the contract prior to turbine testing. The project results are expected to lead to an improved, certified production turbine available in the U.S. market.

3.7: Topic Area 7: Manufacturing Innovation The scope of work for the Manufacturing Innovation topic area shall be conducting Manufacturing Process Upgrades. This scope of work emphasizes a disciplined engineering development process, tests to verify process, and documentation necessary for certification and product commercialization. The Subcontractor shall select a baseline wind turbine or component that shall be the focus of this project and shall conduct work that supports designing, building, and or testing improved manufacturing processes. This topic area can include the production or purchase of tooling or manufacturing equipment for the manufacturing innovation as well as costs associated with re-certification or conformity assessment of the turbine with the updated component, assuming that a new full system certification is not required. The project results are expected to lead to an improved, certified production turbine with a lower LCOE over the baseline.

3.8: Topic Area 8: Prototype Manufacture and Installation The scope of work for the prototype construction and installation topic area shall be construction of a production prototype of a full turbine system that is ready for prototype testing or certification. If desired, the Subcontractor may also propose the installation of the turbine at an appropriate location to initiate prototype testing. The Subcontractor is expected to have completed a CIP Prototype Design Development contract or have done similar work to develop a complete production design for the identified turbine. This topic area can include the purchase or manufacturing of all turbine components including the turbine, tower, and controls/power conditioning equipment. Part of those costs can include tooling and non-recurring engineering expenses for tooling and manufacturing at a prototype scale. The prototype turbine can be used for on the ground, dynamometer-based testing or installed at an identified location. Turbine installation is provided here to allow development flexibility; the Subcontractor should consider using a separate proposal under Prototype Testing (Topic Area 2) to cover costs associated with the installation and testing of any prototype turbine design when ready as an alternative to simply installing the turbine under this topical area. The project results are expected to lead to an improved, certified production turbine available in the U.S. market.

4.0 TASKS

The Subcontractor shall perform the work, conduct the meetings, and satisfy the deliverables for the following topic areas. The Subcontractor shall comply with the technical requirements described herein. There are eight (8) topic areas covered under the 2021 CIP. All tasks and deliverables for each topic area are described separately except for the communications task which is identical for all topic areas.

Task 4.1: Communications (applies to all Topic Areas):

The Subcontractor shall provide information to and engage in scheduled communications with the NREL Technical Monitor throughout the period of performance to include:

1) A summary of the work effort, void of business sensitive information, shall include but is not limited to the following information [NREL will provide a template]:

a. Company name

b. Company contact/Principal Investigator

c. Project Title

d. Approximate Start date/duration

e. Estimated Project Budget (to include NREL and subcontractor portions)

f. Statement of Problem

g. Proposed Solution

h. Project Deliverables and Milestones

i. Work to be performed

j. Anticipated Benefits

k. Collaborating Entities

2) Information on the work effort suitable for inclusion in NREL and DOE news articles, to include high-resolution photos relevant to the effort for inclusion in NREL’s photo database and for public dissemination;

3) Photographs that can be used by DOE and NREL in external communications products;

4) Participation in monthly conference calls with the NREL team;

5) Quarterly project progress reports; and,

6) Host site visits for DOE and NREL to discuss the work effort.

The following tasks are broken out by topic area, starting with Task 4.2

Topic Area 1: Prototype Design Development The below table provides an overview of the tasks associated with this work effort. Following the completion of Task 4.2, NREL will complete an assessment of viability of the turbine concept as presented prior to implementation of Task 4.3.

Task Primary Sub-contractor activities Laboratory Assistance Task 4.1 See 4.1 above. None Task 4.2 Collection of technical and economic information on turbine design. Presentation of turbine concept to laboratory technical staff

Technical design evaluation – provision of feedback on turbine or component concept

Go/No Go Decision

NREL shall make a go/no-go determination on whether the project has a basis for moving forward

Task 4.3 Identification of additional work needed to complete turbine design efforts

Provision of feedback on gaps analysis, capabilities required, and types of entities qualified to provide technical and testing services as needed.

Technical design and process feedback throughout.

Task 4.4 Implementation of additional research and analysis tasks

Task 4.5 Development of a final design, beta unit construction, and testing plan

Task 4.6 Production of detailed final design documentation and drawings which may include additional testing and design efforts

Task 4.7 Final reporting Review and compliance

Task 4.2: Concept Design Evaluation The Subcontractor shall submit the turbine design (or component) proposed to a technical design evaluation. The technical design evaluation will be consistent with the standard that the OEM expects to certify the turbine to. The technical design evaluation will be directed by NREL using subject matter experts available in house or from other DOE National Laboratories as appropriate. The evaluation will include a detailed technical review meeting preferably in person hosted at NREL with the Subcontractor presenting a review of the technical concepts, performance estimation, cost assessment and responding to questions from the experts. The Subcontractor shall provide an estimation loads that will have to be determined by testing and performance assessment as part of this process. If the loads data for planned certification will be developed based on loads measurements on the turbine, some method of estimating loads analytically must be developed. While this work effort is configuration agnostic, the Subcontractor must show capability to develop loads that NREL can be confident are reasonable and based on sound engineering.

Based on the design evaluation, NREL will determine whether the turbine (or component) design is technically viable and ready for the next stage of development (this will be a go/no-go decision which continuation of the project will be conditioned upon). The intent of this evaluation is to ensure that the turbine or component is ready to progress to production design and is potentially technically and commercially viable. It is expected that technical problems and challenges will be identified that will be addressed during the next stage of development. As long as the challenges appear to be solvable and the concept is otherwise viable the project can be approved for the next stage. Examples of potential gaps or issues may include:

• Analysis of turbine design loads

• Development of specific loads analysis models in defined tools (FAST)

• Detailed manufacturing cost estimation

• Assessment of materials or manufacturing processes

• Review of technical or cost analysis

• Other efforts that a small company may not have the capabilities to achieve.

If a no-go decision is made, NREL will provide recommendations on areas of increased technical investigation.

Task 4.3: Problem Resolution Plan with Technical Support The Subcontractor shall develop a problem resolution plan that addresses all problems and challenges identified in Task 4.2. The plan shall include a summary of the issues and gaps identified, the approach for resolution, and the resources (people, vendors, and tools) they expect to use. The plan shall include technical support needs from others as appropriate.

Task 4.4: Problem Resolution with Technical Support The Subcontractor shall implement the problem resolution plan developed in Task 4.3 above and document the results. Documentation shall include the results of the problem resolution effort including challenges, an explanation of differences between the planned effort and actual effort required, and a summary of the solutions developed.

Task 4.5: Final Design, Beta Unit Construction, and Testing Plan The Subcontractor shall submit a plan to the NREL Technical Monitor for the final (production) design development which may include construction of beta-prototype units and, if needed, testing of the beta-prototype components or units if uncertainty in the analysis justifies specific testing prior to the development of a full production prototype. The plan shall include technical support needs from others, as appropriate if specific beta-prototype design testing is needed. A schedule and budget shall be included in the plan. Once the plan is approved by the NREL Technical Monitor, the project will be allowed to proceed.

Task 4.6: Final Design Plan Implementation The Subcontractor shall implement the Task 4.5 plan. The end-product shall be a final (production) design package that includes design drawings, loads analysis, manufacturing cost and performance calculations. These products will be sufficiently developed that they could be used for the building of a production prototype for prototype testing.

Task 4.7: Final Report and LCOE The Subcontractor shall develop a report that documents the challenges and benefits of the prototype design development. They shall also provide a LCOE calculation with a baseline cost calculation along with an explanation of any changes in the LCOE calculations as compared to original early estimations. It is not unusual that the LCOE increases with a more developed design.

Topic Area 2: Prototype Testing The Subcontractor shall conduct prototype testing of its turbine. The effort shall consist of two

(2) key components: Design Evaluation and Turbine Testing. Based on a detailed design evaluation, NREL shall make a determination on whether the turbine under consideration meets the design criteria for prototype testing.

Task 4.2: Design Evaluation The Subcontractor shall submit the turbine design proposed to a technical design review. The technical design evaluation will be consistent with the standard that the OEM expects to certify the turbine to. The technical design evaluation will be directed by NREL using subject matter experts available in house or from other DOE National Laboratories as appropriate. The evaluation will include a technical review meeting with the Subcontractor presenting a review of topics based on discussions with the NREL technical monitor, but are likely to include the technical concepts, performance estimation, testing efforts to be undertaken, cost assessment and responding to questions from the experts.

Based on the design evaluation, NREL will determine whether the turbine is ready for prototype testing (this will be a go/no-decision which continuation of project will be conditioned upon). The intent of this review is to ensure the turbine will benefit from prototype testing in its current configuration – and will subsequently be positioned for certification testing.

Development of loads must be done in a manner that is consistent with the certification planned.

If the loads data are developed based on loads measurements on the turbine, some method of estimating loads analytically must be developed. While this offering is configuration agnostic, the Subcontractor must show capability to develop loads that NREL can be confident are reasonable and based on sound engineering.

Task 4.3: Test Specification The Subcontractor shall provide a detailed description of the tests to be performed on the prototype turbine system, as well as a detailed description of the test site, the instrumentation that will be used, the data that will be collected, the analysis methods that will be applied, and the schedule for the testing.

Task 4.4: Test Report The Subcontractor shall submit a report documenting the results of the prototype turbine testing, including details of the instrumentation used, the data that were collected, the analysis methods that were applied, and the test results.

Topic Area 3: Component Innovation For this work effort, the Subcontractor shall pursue high-impact component innovations.

Proposed efforts should focus on high-impact components, such as foundations, towers, alternators, rotor components, power conversion, controls, and associated hardware to allow technology to be more competitive in their existing market or become competitive in new market applications. The Subcontractor shall select specific component(s) of the baseline wind turbine system. The improved component development process, in general, involves the design, fabrication, and testing of a component that is expected to improve the turbine performance, reliability and/or cost. Consideration of multiple components will be considered, however if targeted at multiple interrelated components, System Optimization topic area may be more appropriate (see Topic Area 4).

The Subcontractor shall show that the component innovation results in an improved wind energy system performance and must provide the technical rationale for the proposed improvement, carefully assessing the associated risks and benefits. LCOE shall be the primary figure of merit used to compare and track improvements although other considerations, such as the ability to access additional markets or provision of additional value adding services, should be expressed as applicable. The baseline costs, and proposed costs resulting from the proposed improvement, shall be provided in the proposal (see Attachment 4) as well as an indication of LCOE for competing technologies, especially for new market areas. A summary of the actual costs shall then be provided as a task deliverable. Therefore, improvements should focus on lowered capital costs, increased performance, improved reliability, and reduced replacement, operation and maintenance costs. The objective within this effort is to show the advantages of a new/re-designed component in support of enhanced capabilities, performance, reliability, and/or reduction in overall costs compared to the current system or application. A small increase in cost that results in a large increase in performance resulting in an improved LCOE is within this scope of work. Elements of improvements and plans for a rigorous study for the development and manufacture of the component must be identified, including an assessment of certification requirements specific to the new component.

Task 4.2: Status Quo Analysis, Opportunity Identification, New Specifications:

The Subcontractor shall provide a brief analysis of the opportunity the work effort under this topic will address, starting from the current situation in terms of product configuration and performance, as well as engineering data accumulated to date. This includes drawings, reports, testing data, analysis data and spreadsheets, photographs, etc., that can help identify the requirements of the component of interest. The Subcontractor shall also provide a letter report listing the specifications and requirements of the improved component.

The letter report shall also include a discussion of the advantages of the proposed component innovation in terms of manufacturing, reliability, safety, performance and cost together with expected results (e.g., comparisons of load or stress, fatigue life, installation costs, manufacturing costs, etc.).

Task 4.3: Detailed Product Development Plan:

The Subcontractor shall identify all the necessary steps for the engineering of the improved component, from conceptual to detailed design, including the methods and tools that are planned for the work. The Subcontractor shall identify the standards being followed and outline the procedures for qualifying the design to meet applicable certification and Listing standards, including the assessment of additional system elements that may be impacted by the proposed component change. For components that are structural, the outline of procedures shall specifically address the approach for the derivation of loads and demonstrate that the turbine design is qualified to use that loads derivation approach for certification.

All the above items shall be summarized in a Detailed Product Development Plan document and submitted to NREL for review. A Product Development Plan shall include, but is not limited to, the following items:

• Product requirements

• Engineering effort

• Prototype development

• Testing effort

• Tooling development

• Manufacturing plan

• Certification and Listing plan

The plan should describe the full process through product certification and Listing, and stipulate what work is projected to be completed as part of the proposed effort.

Task 4.4: Implementation and Analysis:

The Subcontractor shall execute and complete the component improvement effort as described in the Task 4.3 plan, which may include, where applicable, certification or Listing of the component in question. Otherwise, certification and Listing may be excluded from this effort.

For all structural components, the Subcontractor shall submit a structural analysis report of the component(s) under investigation or impacted, including any test reports, detailed drawings, solid models, and results of models and finite element analyses. If a software or electro-technical component is the focus of the analysis and design, then a detailed analysis report (including thermal analysis if appropriate) shall be submitted in lieu of the structural analysis (e.g., control system design) report. Any software developed is not a deliverable. The report on the software development is the deliverable.

If applicable, fatigue damage estimates and associated expected lifetimes of the components shall be reported comparing the new and old configuration data. The standards and codes used in the analyses shall be stated in the report, with particular emphasis on the methodology and assumed load and material safety factors.

If in the determination of the applicable approval agency, component-specific analysis or testing can allow for re-certification of the turbine, that can be included, however full turbine certification or type certification testing of the complete system is not supported under the Component Innovation topical area. Listing of components that are developed under this topic can be included.

Task 4.5: Revised Levelized Cost of Energy:

At the completion of the component innovation work effort, the Subcontractor shall develop a revised LCOE, comparing the baseline, proposed and actual cost elements, and performance. The Subcontractor shall summarize the final system costs and performance, and describe, in detail, how and why it is consistent with or different from the estimates included in the original proposal.

Topic Area 4: System Optimization For this work effort, the Subcontractor shall pursue high-impact innovation across a full wind turbine system or subsystems, including multiple interlinked components. Proposed efforts should focus on high-impact subsystems, such as the power conversion and controls, support structure (towers, foundations, and erection), drive train sub-systems or application tailored products in which a change in one component will require expanded innovation in other related components. The Subcontractor shall select specific component(s) of the baseline wind turbine system. The improved system development process, in general, involves the design, fabrication, and testing of components or subsystem that is expected to improve the turbine performance, reliability, cost and/or application. This could be accomplished through a number of design changes of components or control software. Any software developed is not a deliverable. The report on the software development is the deliverable.

The Subcontractor shall show that the innovation results in an improved wind energy system performance and must provide the technical rationale for each proposed improvement, carefully assessing the associated risks and benefits. LCOE shall be the primary figure of merit used to compare and track improvements. The baseline costs, and proposed costs resulting from the proposed improvement, shall be provided in the proposal (see Attachment 4) as well as an indication of LCOE for competing technologies, especially for new market areas. A summary of the actual costs shall then be provided as a task deliverable. Therefore, improvements should focus on lowered capital costs, increased performance, improved reliability, and reduced replacement, operation and maintenance costs. The objective within this effort is to show the advantages of a new/re-designed systems or component(s) in support of enhanced capabilities, performance, reliability, and/or reduction in overall costs. A small increase in cost that results in a large increase in performance resulting in an improved LCOE is within this scope of work.

Elements of improvements and plans for a rigorous study for the development and manufacture of the component(s) must be identified.

Task 4.2: Status-quo Analysis, Opportunity Identification, New Specifications:

The Subcontractor shall provide a brief analysis of the opportunity the work effort under this system optimization will address, starting from the current situation in terms of product configuration and performance, as well as engineering data accumulated to date. This includes drawings, reports, testing data, analysis data and spreadsheets, photographs, etc., that can help identify the requirements of the component(s) of interest. The Subcontractor shall also provide a letter report listing the specifications and requirements of the improved systems or subsystems, including initial details of improvements expected to be made to impacted components.

The letter report shall also include a discussion of the advantages of the system improvements in terms of manufacturing, reliability, safety, performance and cost together with expected results (e.g., comparisons of load or stress, fatigue life, installation costs, manufacturing costs, etc.).

Task 4.3: Detailed Product Development Plan:

The Subcontractor shall identify all the necessary steps for the engineering of the improved systems or subsystems, from conceptual to detailed design, including the methods and tools that are planned for the work. The Subcontractor shall identify the standards being followed and outline the procedures for qualifying the design to meet applicable certification standards. For components that are structural, the outline of procedures shall specifically address the approach for the derivation of loads and demonstrate that the turbine design is qualified to use that loads derivation approach for certification.

All of the above items shall be summarized in a Detailed Product Development Plan document and submitted to NREL for review. A Product Development Plan shall include, but is not limited to, the following items:

• Product requirements

• Engineering effort

• Prototype development

• Testing effort

• Tooling development

• Manufacturing plan

• Certification and Listing plan

The plan should describe the full process through product certification and Listing, and stipulate what work is projected to be completed as part of the proposed effort. Given that a system optimization is expected to impact sub-systems or multiple components, if additional component innovation is needed to implement the full optimization, this should be described.

Task 4.4: Implementation and Analysis:

The Subcontractor shall execute and complete the improvement effort as described in the Task

4.3 plan except certification and Listing which may be excluded. Given that a system optimization is expected to impact sub-systems or multiple components, additional component innovation may be needed following the completion of this effort and therefore, in this case certification testing should not be included. For all final structural components, the Subcontractor shall submit a structural analysis report of the component(s) under investigation, including any test reports, detailed drawings, solid models, and results of models and finite element analyses. If a software or electro-technical component is the focus of the analysis and design, then a detailed analysis report (including thermal analysis if appropriate) shall be submitted in lieu of the structural analysis (e.g., control system design) report. The software is not a deliverable, a report on the software is the deliverable.

If applicable, fatigue damage estimates and associated expected lifetimes of the components shall be reported comparing the new and old configuration data. The standards and codes used in the analyses shall be stated in the report, with particular emphasis on the methodology and assumed load and material safety factors.

Task 4.5: Revised Levelized Cost of Energy:

At the completion of the system improvement work effort, the Subcontractor shall develop a revised LCOE, comparing the baseline, proposed and actual cost elements and performance. The Subcontractor shall summarize the final system costs and describe, in detail, how and why it is consistent or different from the estimates included in the original proposal.

Topic Area 5: Small Turbine Certification and/or Listing This topic area is intended for turbines certifying or certified under a small wind standard. Either IEC 61400-2, which is limited to 200 m2 RSA, or SWT-1, which is limited to 150 kW peak power, is acceptable. Certification Testing consists of three (3) key stages: Design Review, Certification Testing, and Turbine Certification. NREL will make a go/no-go determination depending on the outcome of the Design Review. Specifically, based on a detailed design review, NREL shall make a determination on whether the turbine under consideration is likely to meet the design criteria for certification. This is an NREL internal review. A certifying body selected by the Subcontractor will do its own review for certification.

All turbine designs are eligible for consideration in this effort. The Subcontractor shall propose to conduct certification testing to the standards that are appropriate for the size of the turbine that is being tested and the certification that is being pursued. Certification testing must be done at a site approved by a qualified certifying body such that the test results shall be accepted. At the conclusion of the certification testing, all certification test reports shall be submitted to the NREL Technical Monitor.

This topic area can also be used to propose Listing of the turbine system under UL 6142 or 6141 as applicable. Proposals for Listing effort will only be considered for turbines that are already certified, are in the process of certification or as part of a proposal for certification. Listing of an inverter to UL 1741 SA or later version to include compliance with IEEE 1547-2018 will also be considered as a separate proposal.

Task 4.2: Design Review:

For turbines certifying or Listing under this topic area a t echn ica l design review shall be completed. The technical design review will be directed by NREL using subject matter experts available in house or from other DOE National Laboratories as appropriate. The review will include a technical review meeting with the Subcontractor presenting a review of topics based on discussions with the NREL technical monitor, but are likely to include the technical concepts, performance estimation, testing efforts to be undertaken, cost assessment and responding to questions from the experts.

Based on the design review, NREL will determine whether the turbine is ready for certification testing. The intent of this review is to ensure that the turbine to be tested is likely to pass the structural design review. This is essentially a preliminary version of the Limit State Analysis (Task 4.4 below). Refer to IEC 61400-2:2013 for details on the information and analysis required. For turbine configurations that do not qualify to use the simplified loads model and for which there are no approved aeroelastic models, the Subcontractor shall provide other means of loads development. The other means shall be well documented and sufficiently detailed to allow review of the loads derivation approach and results. While this offering is configuration agnostic, the Subcontractor must show capability to develop loads that NREL can be confident are reasonable and based on sound engineering. A go/no-go determination will be made by NREL based on the Design Review which continuation of project will be conditioned upon.

When a proposal includes Listing or is for Listing only, Task 4.2 shall consist of a review of the equipment being listed and the documentation required by the Nationally Recognized Testing Laboratory (NRTL) for listing. The deliverable report shall include a letter from the NRTL indicating that they have received all required documentation to start their design review. In this case the NRTL will determine whether the turbine or inverter is ready for the testing and listing if testing is successful. It does not have to have passed the design review, but the NRTL must indicate that the OEM is sufficiently prepared that successful listing is expected even if some modifications are required.

Task 4.3: Turbine System Commissioning and Acceptance:

After the successful installation of the turbine system, the Subcontractor shall complete the commissioning tests of the turbine system jointly with the test facility and/or certifying body, to ensure manufacturing quality, proper assembly, and absence of observable material defects and to verify functionality, safety, and performance characteristics, utilizing the commissioning checklist, to include equipment inspections, quality assurance checks, and acceptance tests that are typically required by the turbine system manufacturer. Typical commissioning activities include inspections and checkout of the turbine system operating characteristics. A letter report documenting the installation and commissioning shall be submitted to NREL. The letter report shall include documentation of approval to begin testing by the test facility or certifying body. If the loads for certification will be derived based on loads measurements, then the installation and calibration of the loads measurement system shall be included in this task.

When a proposal is for Listing only, Task 4.3 shall consist of provision of a test plan approved by the testing NRTL, documentation of the availability of the required testing capability whether at the NRTL test facility or another location, and a report demonstrating that the testing has begun. The deliverable shall also include a letter from the NRTL indicating that the turbine (or inverter) being listed has passed the design review and is ready for physical testing.

Task 4.4: Design Load Derivation and Limit State Analysis (Strength Evaluation):

The Subcontractor shall submit a copy of the design load document identifying the method that was used and the design loads that resulted from it. Additionally, the Subcontractor shall submit a copy of the design documentation containing the limit state analysis (this should include ultimate and fatigue strength analysis as well a critical deflection analysis) of key components, following the standard that is being used for certification. This should be the same documentation that is submitted to the certification body to satisfy the structural limit state analysis.

When the proposal is for listing only, Task 4.4 shall consist of a report documenting that the testing is complete, and that the turbine or inverter has passed the required design review and testing.

Task 4.5: Certification and certification process evaluation:

The Subcontractor shall develop a letter report summarizing the certification and/or Listing process, highlighting any obstacles that were encountered and lessons learned. Copies of the final certification test reports, including Power Performance, Safety and Function, Acoustics, and Duration, shall be submitted with the letter report, along with copies of any certificates, listings, or marks obtained through the work effort. The certification test reports, and the letter of successful certification shall be submitted to NREL’s Technical Monitor.

When the proposal is for Listing only, Task 4.4 shall consist of a letter report summarizing the Listing process, highlighting any obstacles that were encountered and lessons learned. A copy of the Listing document either physical or a link to the Listing on the NRTL web site.

Topic Area 6: Type Certification (IEC 61400-1) and Listing Type Certification consists of six (6) steps: Design Evaluation, Turbine System Commissioning and Acceptance, Type Testing, Post Test Review Meeting, Manufacturing Evaluation, and Final

Evaluation as described in IEC 61400-1:2005+AMD1:2010 CSV Consolidated version. NREL will make a go/no-go determination depending on the outcome of the Design Basis Evaluation.

NREL will make a second go/no-go determination after the Design Evaluation is completed.

All turbine design types are eligible for consideration in this effort. Type certification testing must be conducted at a site approved by a qualified Certification and Verification Agency (CVA) such that the test results will be accepted. At the conclusion of the project, all test reports and conformity statements resulting from type certification shall be submitted to NREL’s Technical Monitor.

Task 4.2: Design Evaluation This task shall be comprised of the Design Basis Evaluation and the Design Evaluation, as described in IECRE OD-501. The evaluations shall be conducted by the certifying body.

Components of this task shall include the Design Basis Review, Design Basis Evaluation, and the Design Evaluation. A go/no-go determination will be made by NREL based on the Design Basis Evaluation from the Certification Body. A go/no-go determination will also be made by NREL at the completion of the Design Evaluation which the continuation of project will be conditioned upon. A copy of the conformity statements for both the Design Basis Evaluation and the Design Evaluation shall be provided to NREL’s Technical Monitor.

Task 4.3: Turbine System Commissioning and Acceptance After the successful installation of the turbine system, the Subcontractor shall complete the commissioning tests of the turbine system jointly with the test facility to ensure manufacturing quality, proper assembly, and absence of observable material defects and to verify functionality, safety, and performance characteristics, utilizing the commissioning checklist, to include equipment inspections, quality assurance checks, and acceptance tests that are typically required by the turbine system manufacturer. Typical commissioning activities include inspections and checkout of the turbine system operating characteristics. A letter report documenting the installation and commissioning shall be submitted to NREL. The letter report shall include documentation of approval to begin testing by the test facility.

Task 4.4: Manufacturing Evaluation The Subcontractor shall work with the certification body to support the completion of the manufacturing evaluation and shall submit the manufacturing evaluation conformity statement.

For projects that include Listing, documentation that the shop used for assembly is qualified to assemble Listed products.

Task 4.5: Type Testing Type testing shall be conducted for certification, including but not limited to power performance, mechanical loads, safety and function, blade testing, and gearbox field test if applicable. The Subcontractor shall submit a conformity statement on all type testing completed and confirmation that all testing for Listing is completed.

Task 4.6: Post Test Review Meeting Post-test review requirements shall be determined in consultation with the testing facility. A letter report of the requirements and a summary of the meeting shall be prepared and submitted to NREL. Copies of the test reports shall also be submitted to NREL. The Subcontractor shall adhere to the requirements of the test facility.

Task 4.7: Final Evaluation Type Certificate

The Subcontractor shall work with the certification body to obtain type certification. The type certificate and Listing shall be submitted to NREL as completion of this task.

Topic Area 7: Manufacturing Process Innovation Under this effort, the Subcontractor shall propose manufacturing innovation and process advancements that will result in a more reliable, safe, and economic product. Upgrades are intended to be in the manufacturing equipment, supply chain, quality control, and effective process development and organization. Product in this context is the overall turbine system, including tower and foundation.

Manufacturing innovations may focus on improved product cost, quality, reliability, and manufacturing automation. The baseline costs, and proposed costs resulting from the proposed improvement, shall be provided in the proposal (see Attachment 4). The actual costs shall then be provided as a task deliverable.

Task 4.2: Current Manufacturing Process:

The Subcontractor shall provide a clear description of the current state of the manufacturing process, including production volume data, and costs (labor, materials, and Operations and Maintenance of the equipment) as well as studies performed to verify the viability of the proposed upgrades. Additionally, the Subcontractor shall provide requirements and specifications of the improved manufacturing process.

Task 4.3: Implementation Plan:

The Subcontractor shall provide a detailed description of the expected implementation plan for the new, improved manufacturing process, including details about quality control/quality assurance procedures and standards. If the Subcontractor is planning on pursuing ISO-9000 certification as a part of this proposal, this shall be clearly identified and included in the plan with expected schedule and timeframes for certification audits and award.

Task 4.