DE-FOA-0003045_BIL_ERA_Fixed_Award_Grant_Program_FOA_Mod_000001.pdf

Questions about this FOA? Email ERAGrant@hq.doe.gov

Problems with OCED eXCHANGE? Email OCED-ExchangeSupport@hq.doe.gov Include FOA name and number in subject line.

U.S. Department of Energy Office of Clean Energy Demonstrations

Bipartisan Infrastructure Law Energy Improvement in Rural or Remote Areas

Fixed Award Grant Program

Funding Opportunity Announcement Number: DE-FOA-0003045

Type: Modification 000001

Assistance Listing Number: 81.255

FOA Modification Date: September 1, 2023

This FOA may be re-opened for subsequent funding cycles, potentially with adjusted funding amounts, topic areas, or other requirements.

Cycle 2023-1:

Informational Webinar: 05/30/2023 / 2:00pm ET

Submission Deadline for Pre-Applications: 07/13/2023 / 5:00pm ET

Submission Deadline for Applications: 10/26/2023 / 5:00pm ET

Expected Date for DOE Selection Notifications: March 2024

Expected Timeframe for Award Negotiations: Spring 2024

Applicants must submit a Pre-Application by 5:00pm ET on the due date listed above.

Only successful pre-applicants will be invited to complete a more detailed full application.

mailto:ERAGrant@hq.doe.gov mailto:OCED-ExchangeSupport@hq.doe.gov ii

Modifications

All modifications to the FOA are HIGHLIGHTED IN YELLOW

Mod. No. Date Description of Modification

000001 9/1/2023 • Updated the submission deadline for applications

• Updated Section 1.3 award size eligibility requirements

• Updated Section 1.4 technical assistance availability

• Updated Section 2.0 award project period

• Updated Section 3.0 eligibility information

• Updated Section 3.3 full application requirement

• Updated Section 4.5.2 time between invitation and full application submission

• Updated Section 4.5.2.2 Project and Community Benefits Plan requirements

• Updated Section 4.5.2.6 Budget

• Added Section 4.5.2.11 Summary Slide iii

Table of Contents Modifications......................................................................................................................................................... ii

Table of Contents ............................................................................................................................................. iii

1.0 Funding Opportunity Description

1.1 Background

1.2 Goals

1.3 Anticipated Award Size and Funding Amount

1.4 Pre-award Technical Assistance and Related Programming

2.0 Award Information

3.0 Eligibility Information

3.1 Cost Sharing

3.2 Responsiveness Criteria

3.3 Limitation on Number of Pre-Applications and Full Applications Eligible for Review

4.0 Application and Submission Information

4.1 Application Package

4.2 Application Submission

4.3 Application Forms

4.4 Requirement for Full and Complete Disclosure

4.5 Proposal Content

5.0 Application Review Information

5.1 Technical Review Criteria

5.2 Other Selection Factors

5.3 Evaluation and Selection Process

5.4 Notice of Selection and Award Negotiation Dates

6.0 Award Administration Information

6.1 Notifications

6.2 Award Conditions and Reporting

7.0 Questions/Agency Contacts

Appendix A – Additional Information

Appendix B – Waiver Requests for Foreign Entity Participation and Foreign Work

1.0 Funding Opportunity Description

1.1 Background

The Infrastructure Investment and Jobs Act, commonly referred to as the Bipartisan Infrastructure Law (BIL) authorizes DOE to invest $1 billion in energy improvements in rural or remote areas. DOE’s Energy Improvements in Rural or Remote Areas (ERA) Program is managed by the Office of Clean Energy Demonstrations (OCED). OCED will provide financial investment, technical assistance, and other resources to advance clean energy demonstrations and energy solutions that benefit rural and remote communities.1 ERA aims to fund clean energy projects with three specific goals:

1. Deliver measurable benefits to energy customers in rural or remote areas by funding replicable energy projects that lower energy costs, improve energy access and resilience, and/or reduce environmental harm;

2. Support new rural or remote energy system models using climate-resilient technologies, business structures that promote economic resilience, new financing mechanisms, and/or new community engagement practices; and

3. Build clean energy knowledge, capacity, and self-reliance in rural America.

This FOA provides $50 million in Federal funding and is designed to support small community-driven clean energy projects requiring $500,000 to $5 million in Federal funding.

Other ERA funding opportunities include a $300 million FOA, which provides $5 million to $100 million in Federal funding to community- and large-scale demonstration projects that address region-specific energy challenges, and a $15 million Energizing Rural Communities Prize, which provides up to $300,000 cash prizes to assist development of partnerships and financing models to advance clean energy projects.

This FOA utilizes a simplified application process and will award fixed-amount grants. This grant mechanism significantly reduces financial reporting requirements associated with larger DOE awards. Recipients are responsible for accomplishing their proposed work. Technical assistance is available to support the initial development of project concepts, as described in Section 1.4.

1 For the purposes of this statutory section, the term ‘‘rural or remote area’’ means a city, town, or unincorporated area that has a population of not more than 10,000 inhabitants. The terms “rural or remote area” and “rural or remote community” are used interchangeably.

https://www.energy.gov/oced/funding-notice-energy-improvement-rural-or-remote-areas https://www.herox.com/rural-energy

1.2 Goals

This FOA provides funding for clean energy projects up to $5 million that meaningfully benefit rural and remote communities by addressing their energy needs and priorities.

Clean energy projects funded under this FOA must satisfy at least one of the objectives listed in BIL Section 40103(c)(3). These "resilient clean energy objectives” are:

A. Improving overall cost-effectiveness of energy generation, transmission, or distribution systems;

B. Siting or upgrading transmission and distribution lines;

C. Reducing greenhouse gas emissions from energy generation in rural or remote areas;

D. Providing or modernizing electric generation facilities;

E. Developing microgrids; and F. Increasing energy efficiency.

Additional benefits could include:2

G. Decrease energy burden in disadvantaged communities (DACs);

H. Decrease environmental exposure and burdens for DACs;

I. Increase parity in clean energy technology (e.g., solar, storage) access and adoption in

DACs;

J. Increase access to low-cost capital in DACs;

K. Increase clean energy enterprise creation and contracting (MBE/DBE) in DACs;

L. Increase clean energy jobs, job pipeline, and job training for individuals from DACs;

M. Increase energy resiliency in DACs; and N. Increase energy democracy in DACs.

This FOA may consider the extent to which projects benefit communities most impacted by high energy burden, poor energy reliability and resilience, or environmental harm from energy generation. This may be considered using data from the Climate & Economic Justice Screening Tool (CEJST), DOE’s Energy Justice Dashboard, and information from applicants.3 To support the goal of building a clean and equitable energy economy, the BIL-funded projects are expected to (1) support meaningful community and labor engagement; (2) invest in America’s workforce; (3) advance diversity, equity, inclusion, and accessibility; and (4)

2 Benefits outlined reflect the Justice40 Initiative policy priorities identified by DOE's Office of Economic Impact and

Diversity. For more on Justice40 and these priorities, see: Justice40 Initiative | Department of Energy 3 Pursuant to Executive Order 14008 and the Office of Management and Budget’s Interim Justice40 Implementation Guidance M-21-28, DOE has developed a definition and tools to locate and identify disadvantaged communities. These resources can be located at https://energyjustice.egs.anl.gov/. Pursuant to Office of Management and Budget’s Memorandum M-23-09, DOE recognizes disadvantaged communities as defined and identified by the White House Council on Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST) Version 1.0, which can be located at https://screeningtool.geoplatform.gov/. DOE’s Justice40 Implementation Guidance is located at https://www.energy.gov/sites/default/files/2022- 07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf.

https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5 https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5 https://energyjustice.egs.anl.gov/ https://www.energy.gov/diversity/justice40-initiative https://energyjustice.egs.anl.gov/ https://screeningtool.geoplatform.gov/ https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf contribute to the President’s goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities (the Justice40 Initiative).To ensure these goals are met, applications must include a Community Benefits Plan that describes how the proposed project would incorporate the four objectives stated above.

Applicants are encouraged to submit Community and Labor Partnership Documentation from established labor and community-based organizations that demonstrate the applicant’s ability to achieve the above goals as outlined in the Community Benefits Plan. Within the Community Benefits Plan, the applicant is encouraged to provide specific detail on how to ensure the delivery of measurable community and jobs benefits, ideally through the use of negotiated agreements between the applicant and the community, and/or the applicant and labor unions referred to collectively here as “Workforce and Community Agreements.” These include good neighbor agreements, community benefits agreements, community workforce agreements, project labor agreements, and other collective bargaining agreements. See Section 4.5.2.2. for the Community Benefits Plan content requirements.

1.3 Anticipated Award Size and Funding Amount

This FOA has one topic area, which solicits proposals to implement community-driven clean energy projects of at least $500,000 and at most $5 million, using one or more clean energy technologies that improve reliability and/or resilience of energy systems, reduce energy poverty, or improve environmental performance of energy generation in a rural or remote community.

Table 1: Topic Area Overview

Topic Area No.

Topic Area Title Anticipated Number of

Awards

Anticipated Cost Share per Award Total Anticipated

Fed Share1 Award Size (Fed Share)

Applicant Share

Community-Driven

Clean Energy Projects 10-100 $500K - $5M $0 N/A2 $50M

Total1 $50M

Notes:

1. Total anticipated under this FOA.

2. This FOA does not require an applicant cost share.

A full application submission with a budget requesting federal funds below $500,000 will be deemed non-responsive and not reviewed. A full application submission with a budget requesting federal funds exceeding $5,000,000 will be reviewed, but no applicant should anticipate an award of greater than $5,000,000 under this FOA.

Applicants should assemble a project management team and illustrate the capacity to execute the proposed projects. Applicants should consider and clearly define project ownership models, including community or Tribal ownership4 of systems and assets.

Proposals must show that the technology is commercially available. For the purposes of this FOA, commercially available technology is defined as a product that has been offered for sale, lease, or license to the public. This could be done by showing the product can be warrantied, can be purchased from a commercial vendor for the intended purpose, or some other justification of the applicant’s choosing.

Applicants must propose a project that benefits at least one rural or remote area and ideally should be sited within the rural or remote community they are designed to benefit. Applicants should also demonstrate that projects are supported by the community. This could be done by including participation by community-based organizations; local environmental justice organizations; community leadership groups; building owners and developers; local labor groups including unions; local planning, zoning, and code officials; or state, local, or Tribal governments.

1.3.1 Example Projects

Examples of projects that could be constructed under this FOA are provided below for illustrative purposes. Applicants are not limited to these examples and are encouraged to propose projects that best address the energy priorities of their community.

Example projects include:

• Installation of standalone microgrids in critical facilities or resilience centers to ensure continuation of services during natural disasters.

• Installation of a community-owned solar and battery project to reduce electricity cost and increase energy resilience.

• Siting or upgrading of transmission and distribution lines, grid stability and resilience with substation improvements, or other electrical infrastructure improvements (hardware or software).

• Replacement of fossil fuel-powered heating with heat pumps in community buildings or in a residential neighborhood.

4 For the purposes of this FOA, community ownership and partnership refers to a wide array of energy project models in which members of nearby communities that are served or impacted by the project have some level of equity stake and/or control in the project and/or receive some level of compensation or direct financial benefit from the proposed investment. Direct benefits may include, but are not limited to, on-bill energy savings, long-term purchase agreement of low-cost power, and renewable energy certificates (RECs) produced by the project. In cases where direct ownership is either not applicable or not feasible, agreements (e.g., contracted power purchase agreements or Community

Benefits Agreements) between the project developer and community (e.g., through representative bodies such as local government, community-based organizations, and/ or community boards) are expected to ensure proposed community benefits are formalized. The definition of community ownership and partnership for this FOA is intentionally broad to allow for flexibility and to reflect the diversity of communities, state and local regulations, and project types.

• Deployment of small hydropower in existing conduits to generate recurring revenue that enables reinvestment in other community infrastructure.

• Innovative siting of solar panels, such as over canals or on agricultural land, to reduce local siting constraints and enable new ownership structures.

• Energy efficiency improvements for community-owned buildings (e.g., city hall, police or fire station, schools) that reduce electric loads and energy costs.

• Installation of a distributed wind microgrid to reduce electricity cost and increase energy resilience through reducing demand upon diesel in a remote community.

• Installation of geothermal heating or ground loops for heat pumps.

• Installation of small-scale energy storage to provide power regulation or backup electricity to the grid.

• Replacement of a diesel generator with combined heat and power (CHP) fed by Renewable Natural Gas (RNG) at a food waste or wastewater treatment facility.

• Use of biogas from agricultural waste, either from biogas capturing or biogas generation through anaerobic digestion, to fuel onsite equipment and/or for pipeline injection.

• Replacement of a non-clean backup energy generation system, such as a diesel generator, with a clean energy generation backup system and/or energy storage system, at a water treatment plant or pump station.

1.4 Pre-award Technical Assistance and Related Programming

The ERA Program will provide resources to assist communities in building successful teams, developing necessary technical analysis, tracking metrics, and sharing experiences. For this FOA, the Energizing Rural Communities Prize competition, and subsequent ERA FOAs, technical assistance is available to communities to support the initial development of project concepts.

Options for technical assistance and other ERA activities are illustrated in Figure 2.

Figure 2: Pre-Award Technical Assistance, Prize competition and related programming

Applicants can access the technical assistance through the ERA website. Experts from the DOE National Laboratories are available to meet with communities in an “Office Hours” format, as https://www.energy.gov/OCED/ERA well as limited individual sessions. “Office Hours” Technical assistance will consist of regularly scheduled virtual meetings in which members of the public applicants may join to ask questions about this FOA regarding the technology and/or systems to be developed, construction activities, and developing the Community Benefits Plan. Technical assistance may not include any direct support to a specific applicant, including the preparation of an application, detailed project design, or coordination with State or Federal agencies. By mid-2023, Additional technical assistance also will may be available by region through a partnership with the EPA’s Environmental Justice Thriving Community Technical Assistance Centers (EJ TCTAC).

The ERA Program will coordinate with established federal and non-profit entities that can facilitate connections, including the Rural Partners Network (RPN), led by the U.S. Department of Agriculture (USDA). RPN Community Liaisons help enhance connections between rural communities and Federal programs and access technical assistance.

2.0 Award Information

Anticipated Type of Award: Fixed Amount Grant

Application Types Allowed: New

Estimated Number of Awards: 10-100

Anticipated Funding Amount: $50,000,000

Award Budget: Application budgets are limited to amounts noted on Table 1 per award.

Award Project Period: The maximum project period is 5 years. or as proposed.

See Appendix A of this FOA for additional award information, and the Guidance Document available on OCED eXCHANGE under the FOA’s posting for additional award guidance.

After awards are made, DOE will work with each awardee to establish milestones for the proposed project. DOE will provide funding at the completion of each milestone. Advanced funding to begin the first milestone may be available. Funding for subsequent milestones will depend on meeting performance requirements in prior milestones.

Fixed amount grants may include, but are not limited to:

1. Partial payments, based on milestones or “triggering events”, agreed to in advance by the parties;

2. Payments based on unit prices agreed to in advance; or

3. One payment for the full amount upon project completion.

https://www.epa.gov/environmentaljustice/environmental-justice-thriving-communities-technical-assistance-centers https://www.epa.gov/environmentaljustice/environmental-justice-thriving-communities-technical-assistance-centers https://www.rural.gov/

3.0 Eligibility Information

Section 40103(c) of the BIL defines rural or remote areas as a “city, town, or unincorporated area that has a population of not more than 10,000 inhabitants.” Applications must identify at least one area in the United States (including U.S. territories) with a population of not more than 10,000 (using the 2020 Census Bureau figures) that will benefit from the proposal. The identified area must be either: (a) a city, town, or other unincorporated municipality or (b) a Census Designated Place (CDP), Census County Division (CCD), or similarly discreet and identifiable community that is not located within an incorporated municipality. For purposes of this FOA, zip code tabulation areas (five digit) (ZCTA5), census tracts, and other similar census geographic entities are not discreet and identifiable communities. Applications that do not satisfy this requirement will be considered ineligible and removed from further evaluation. See the Guidance Document for this FOA available on OCED eXCHANGE under this FOA’s posting for information on how to use the U.S. Census Bureau Data to determine a community’s population.

Projects ideally should be sited within the rural or remote community or communities they are designed to benefit. Projects proposed to be built outside of a rural or remote area may be considered for funding but must clearly define the rural or remote area(s) of less not more than

10,000 inhabitants receiving the benefits.

All projects are required to be built within the United States.

DOE will not make eligibility determinations for potential applicants prior to the date on which Applications to this FOA must be submitted.

3.0.1 Eligible Applicants

The applicant and subrecipient(s) must be domestic entities. The following types of entities are eligible to participate either as prime recipients or subrecipients of this FOA:

1. State and local governmental entities;

2. Indian Nations (DOE Order 144.1, 7.a);

3. Non-profit entities;

4. For-profit entities;

5. Institutions of higher education;

6. Consortia.

3.0.2 Domestic Entities

To qualify as a domestic entity, the entity must be organized, chartered, or incorporated (or otherwise formed) under the laws of a particular state or territory of the United States; have majority domestic ownership and control; and have a physical place of business in the United States. A foreign entity waiver can be requested and Appendix B lists the information that must be included in a waiver request. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

Federal agencies and instrumentalities (other than DOE) are not eligible to participate in projects funded under this FOA under any capacity. DOE/NNSA Federally Funded Research and Development Center (FFRDC) and non-DOE/NNSA FFRDC are not eligible to participate as prime or subrecipients under this FOA.

Please refer to the Applicant Eligibility Guidance section on the Guidance Document for this FOA available on OCED eXCHANGE under this FOA’s posting for descriptions on the types of entities listed above and requirements.

Please note that DOE will not assess an organization’s eligibility prior to the application deadline.

3.1 Cost Sharing

There is no cost sharing requirement for this FOA.

3.2 Responsiveness Criteria

The following types of applications will be deemed nonresponsive and will not be reviewed or considered:

• Applications outside the technical parameters specified in Section 1.3.

• Applications that do not benefit at least one rural or remote area as described throughout Section 3.0.

• Applications for proposed technologies that are not based on sound scientific principles.

• Applications for proposed technologies that are not commercially available.

• Applications including research, development, pilot-scale, and demonstration activities.

3.3 Limitation on Number of Pre-Applications and Full Applications Eligible for Review

An entity may submit more than one Pre-Application and Application to this FOA provided that each Pre-Application and subsequent Application describes a unique, distinct concept. and provided that an eligible Pre-Application was submitted for each Application. There are no limits to submissions by prime applicant. DOE will notify applicants of its determination of selection or non-selection of the Pre-Application. An applicant may only submit a subsequent Full Application in response to an invited Pre-Application.

4.0 Application and Submission Information

4.1 Application Package

This FOA has a two-part application process:

1. A pre-application consisting of short-answer questions to solicit targeted information on the proposed project and how it will benefit the community. Only successful pre-applicants will be invited to complete a more detailed full application.

2. A full application, where selected applicants will expand upon and substantiate their pre-application with short-answer questions and supplementary information.

The Pre-Application process requires all applicants to submit a Pre-Application as described in Section 4.5.1. Pre-Applications will be reviewed following the criteria described in Section 5.1.1.

Based on the results of the review, DOE will invite selected applicants to submit a Full Application. Applicants not invited to submit Full Applications will not be further considered for funding under this FOA.

Invited applicants will submit Full Applications as described in Section 4.5.2. DOE will review Full Applications according to the criteria in Section 5.1.2 and apply program policy factors to select projects for funding.

All submissions must conform to the form and content requirements described below, including maximum page lengths. Submissions must follow the following requirements:

• Each must be submitted in PDF format unless stated otherwise;

• Each must be written in English;

• All pages must be formatted to fit on 8.5 x 11 inch paper with margins not less than one inch on every side. Use Calibri typeface, a black font color, and a font size of 12 point or larger (except in figures or tables, which may be 10-point font). References must be included as footnotes or endnotes in a font size of 10 or larger. Footnotes and endnotes are counted toward the maximum page requirement;

• A control number will be issued when an applicant begins the OCED eXCHANGE application process. The control number must be included with all application documents. Specifically, the control number must be prominently displayed on the upper right corner of the header of every page and included in the file name (i.e., Control Number_Applicant Name_Application);

• Page numbers must be included in the footer of every page; and

• Each submission must not exceed the specified maximum page limit, including cover page, charts, graphs, maps, and photographs when printed using the formatting requirements set forth above and single spaced. If applicants exceed the maximum page lengths indicated below, DOE will review only the authorized number of pages and disregard any additional pages.

Note: The maximum file size that can be uploaded to the OCED eXCHANGE website is 50MB.

Files in excess of 50MB cannot be uploaded, and hence cannot be submitted for review. If a file exceeds 50MB but is still within the maximum page limit specified in the FOA it must be broken into parts and denoted to that effect.

DOE will not accept late submissions that resulted from technical difficulties due to uploading files that exceed 50MB.

Applicants not invited to submit a Full Application may apply to future ERA funding opportunities and seek technical assistance described in Section 1.4.

4.2 Application Submission

There are several one-time actions required before submitting an application in response to this FOA, and it is vital that applicants address these items as soon as possible. Some may take several weeks, and failure to complete them could interfere with an applicant’s ability to apply to this FOA, or to meet the negotiation deadlines and receive an award if the application is selected. These requirements are as follows:

4.2.1 OCED eXCHANGE

To apply to this FOA, applicants must register with and submit application materials through OCED eXCHANGE at https://oced-exchange.energy.gov, OCED’s online application portal. See detailed instructions at Financial Opportunities: Manuals (energy.gov). If an applicant experiences technical difficulties with a submission, the applicant should contact the OCED eXCHANGE helpdesk for assistance (OCED-exchangeSupport@hq.doe.gov).

4.2.2 Unique Entity Identifier (UEI) and System for Award Management

Each applicant (unless the applicant is excepted from those requirements under 2 CFR 25.110) is required to: (1) Be registered in the System for Award Management (SAM) at https://www.sam.gov before submitting its full application; (2) provide a valid UEI number in its full application; and (3) continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency. DOE may not make a federal award to an applicant until the applicant has complied with all applicable UEI and SAM requirements.

Designating an Electronic Business Point of Contact and obtaining a special password called a Marketing Partner ID Number are important steps in SAM registration.

NOTE: Entities should start the UEI and SAM registration process as soon as possible. If entities have technical difficulties with the UEI validation or SAM registration process, they should utilize the HELP feature on SAM.gov. Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base - Validating your Entity.

https://oced-exchange.energy.gov/ https://oced-exchange.energy.gov/Manuals.aspx mailto:OCED-exchangeSupport@hq.doe.gov https://www.sam.gov/ https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1

4.2.3 FedConnect

Register in FedConnect at https://www.fedconnect.net. To create an organization account, your organization’s SAM MPIN is required. For more information about the SAM MPIN or other registration requirements, review the FedConnect Ready, Set, Go! Guide at https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.

pdf.

4.2.4 Grants.gov

Prospective applicants may register in Grants.gov (http://www.grants.gov) to receive automatic updates when Modifications to this FOA are posted. However, please note that Applications will not be accepted through Grants.gov.

As applicable, modifications to this FOA will be posted on the OCED eXCHANGE website and the Grants.gov system. However, you will only receive an email when a modification is posted if you register for email notifications for this FOA in Grants.gov. OCED recommends that you register as soon after the release of the FOA as possible to ensure you receive timely notice of any amendments or other FOAs. However, registering in grants.gov is not required to apply to this opportunity.

4.2.5 Electronic Authorization of Applications and Award Documents

Submission of an application and supplemental information under this FOA through electronic systems used by the DOE, including OCED eXCHANGE and FedConnect.net, constitutes the authorized representative’s approval and electronic signature.

4.3 Application Forms

The application forms and instructions are available on OCED eXCHANGE. To access these materials, go to https://OCED-exchange.energy.gov and select the appropriate funding opportunity number.

4.4 Requirement for Full and Complete Disclosure

Applicants are required to make a full and complete disclosure of all information requested.

Any failure to make a full and complete disclosure of the requested information may result in:

• The termination of award negotiations;

• The modification, suspension, and/or termination of a funding agreement;

• The initiation of debarment proceedings, debarment, and/or a declaration of ineligibility for receipt of federal contracts, subcontracts, and financial assistance and benefits; and

• Civil and/or criminal penalties.

https://www.fedconnect.net/ https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.pdf https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.pdf http://www.grants.gov/ https://oced-exchange.energy.gov/

4.5 Proposal Content

This application process includes two parts: Pre-Application and Application.

4.5.1 Pre-Application Required Documents and Questions

Each Pre-Application describes a single project. The Pre-Application must conform to the requirements listed below, including the stated page and word limits. Each Pre-Application must be submitted on OCED eXCHANGE.

DOE will review each Pre-Application based on the criterion in Section 5.1.1. Based on the results of the review, DOE will invite a subset of applicants to submit a Full Application. DOE will only accept Full Applications from those who have been invited to submit a full application.

Pre-Application

(PDF) File Naming Convention: ControlNumber_LeadOrganization_PreApplication.pdf

The Pre-Application must address all the requirements described in this subsection. A template is provided to assist applicants in preparing their Pre-Application and may be found on OCED eXCHANGE. Use of the template is not mandatory but is highly encouraged to ensure an appropriate review. The template includes all questions below and suggested word counts for each question. Applicants are not required to follow these word counts, but the Pre-Application must not exceed 10 pages.

DOE will review only the information provided to support the questions in the Pre-Application template. Additional information will not be considered. Note that responses provided in the Pre-Application must be verified and/or substantiated in the full application. These are noted in the Pre-Application template.

Section and Content Approximate length

a) Applicant Information 1 page

1. Provide the name, mailing address, phone number, and email address of applicant.

2. Project Title

3. Identify the project location, and community that benefits from the project. Include the community size and community point of contact

Section and Content Approximate length

b) Project Overview 2 pages

4. Describe the proposed clean energy project, including a summary of the energy technology or infrastructure to be constructed or improved.

5. Identify which of the “resilient clean energy objectives” will be addressed by the proposed project5.

6. Provide an estimate of the total project costs and a short rationale for the estimate.

7. Identify who will own the project (i.e., city government, installer/developer, electric utility, etc.).

c) Project Benefits 3 pages

8. Describe the community that will benefit from the project. Include a description of the community’s energy needs or priorities.

9. Describe the project team’s relationship to the community and community engagement strategy, including efforts to build support for the project.

10. Describe any anticipated benefits of the proposed project, and the project team’s efforts to align these benefits to the community’s energy needs and priorities discussed in question 9.

11. Describe any anticipated negative impacts of the proposed project, and the steps the project team will take to minimize these impacts. Please describe the extent to which the project may disproportionately impact vulnerable populations within the community, and how the project team will minimize these impacts.

d) Technical Approach 4 pages

12. Explain the technology selection.

13. Provide justification that proposed technology is commercially available.

14. Specify the capacity of the proposed system and the capacity for each of the elements below, if applicable for your project:

a. Power generated in kW or MW

b. Energy stored kWh or MWh

c. Energy saved annually in kWh or MWh

d. Distance (in miles) and voltage (in kV) of transmission and/or distribution lines provided

15. Provide the estimated system lifetime (in years).

16. Identify the system scale; Facility Scale, Community Scale or Utility Scale

17. State whether the project will be connected to the grid: Yes/No

18. Describe any work, including studies or engineering design, completed to date. What additional steps are needed to design and implement the project? A detailed workplan with milestones will be required at the full application stage.

19. Describe environmental regulations that will impact the project, including any needed permits.

Have necessary permits been obtained? If no, what is needed to obtain them?

20. Describe how the project will be maintained after operation begins and the grant ends. This could include a summary of an operations and maintenance plan, operations and maintenance workforce needs, the intent to hire/contract operations and maintenance, or some other explanation.

Total Pre-Application Maximum Page Limit 10 pages

5 Clean energy projects funded under this FOA must satisfy at least one of the objectives listed in BIL Section 40103(c)(3). These "resilient clean energy objectives” are: (A) Improving overall cost-effectiveness of energy generation, transmission, or distribution systems; (B) Siting or upgrading transmission and distribution lines; (C) Reducing greenhouse gas emissions from energy generation in rural or remote areas; (D) Providing or modernizing electric generation facilities; (E) Developing microgrids; and (F) Increasing energy efficiency.

4.5.2 Full Application

Only applicants who have submitted an eligible Pre-Application and received an invitation from DOE will be eligible to submit a Full Application. To remain competitive, a Full Application must reflect the project presented in the Pre-Application.

Applicants will have approximately 60 days 8 weeks from DOE’s invitation to prepare and submit a Full Application through OCED eXCHANGE. Regardless of the date the applicant receives the invitation, the submission deadline for the Full Application remains the date and time stated on the FOA cover page.

Each Full Application must be limited to a single proposal. Full Applications must conform to the content and form requirements listed below and must not exceed the stated page limits.

Applicants must provide sufficient citations and references to justify the claims and approaches made to DOE. However, DOE and reviewers are under no obligation to review cited sources.

4.5.2.1 Application for Federal Assistance (SF-424)

(PDF) File Naming Convention: ControlNumber_LeadOrganization_App424.pdf

The Standard Form (SF-424) represents the government-wide standard form for grant application packages, and requires basic information about the applicant (name, address, telephone number, type of applicant, etc.), including a list of sources of proposed funding and a description of the proposed project. Complete all required fields in accordance with the instructions on the form.

In Field 21 of the SF-424, the authorized representative must certify and agree with the Certification and Assurances found at http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms.

Note: The dates and dollar amount on the SF-424 are for the complete project.

4.5.2.2 Project and Community Benefits Plan

(PDF) File Naming Convention: ControlNumber_LeadOrganization_ProjectPlan.pdf

The Project and Community Benefits Plan must include all the components listed below, including a project overview, workplan, business and management, and Community Benefits Plan. The Applicant should consider the weighting of each of the review criterion (see Section

5.1.2 of the FOA) when preparing the Project and Community Benefits Plan.

BIL-funded projects are expected to:

1) Support meaningful community and labor engagement.

2) Invest in the American workforce.

https://www.grants.gov/web/grants/forms/sf-424-family.html http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms

3) Advance diversity, equity, inclusion, and accessibility.

4) Contribute to the President’s goal that 40% of overall benefits of certain federal investments flow to disadvantaged communities (the Justice40 Initiative).

Applications must include a Community Benefits Plan (CBP) that addresses questions in the table below. The plan should explain how and when the project will incorporate these four objectives. CBP milestones and outcomes should be incorporated into the project schedule, workplan, budget, and other key documents. For projects impacting multiple communities, CBPs should address all four objectives across all communities. CBPs must address the technical review criterion titled, “Community Benefits” (see Section 5.1.2). Applicants are encouraged to provide Community and Labor Partnership Documentation (submitted under the Community Partnership Documentation, Section 4.5.2.3) from organizations reflecting support for the project.

CBP requirements are flexible to allow project teams to respond to communities, workers, and impacted groups. In case of incomplete information, applicants should explain the reason and describe plans to address gaps.

Please refer to the more detailed Guidance for Creating a CBP for ERA, which is available on OCED Exchange website at https://oced-Exchange.energy.gov. Applicants are encouraged to read this guidance, which includes examples of CBP milestones, goals, outcomes, benefits, and potential negative impacts.

All elements of the table below must be addressed; however, it is expected the applicant will tailor the information provided in the Project and Community Benefits Plan to the size and complexity of the proposed project.

Section and Content Approximate length

a) Project Overview 1 page

1. Provide contact information for both Project Manager and the Project Business Contact, including, name, phone number, email address.

2. Project location(s) information including, city, state, and zip code of community or communities benefitting from the proposed project, population of community (must be less not more than 10,000 inhabitants to qualify, project location(s), physical address (or crossroads or other identifying geographic feature), city, state, and zip code, if project will be constructed outside the community that will benefit.

3. Provide a link(s) to Census Bureau figures confirming the populations of the community(ies) that will benefit from the project and state the entity type benefitted (e.g., city, town, borough, parish, CCD or CDP). https://data.census.gov/.

4. Community point of contact, if different from applicant, including name, title, email address, phone number, project title

5. Describe the proposed clean energy project, including a summary of the energy technology or infrastructure to be constructed or improved.

https://data.census.gov/

6. Identify which of the “resilient clean energy objectives” will be addressed by the proposed project6.

7. What is the capacity of the proposed system? Specify capacity for each of the elements below, if applicable for your project:

a. Power generated in kW or MW.

b. Energy stored kWh or MWh.

c. Energy saved annually in kWh or MWh.

d. Distance (in miles) and voltage (in kV) of transmission and/or distribution lines provided.

8. What is the estimated system lifetime (in years)?

9. What is the system scale; Facility Scale, Community Scale or Utility Scale?

10. Will the project be connected to the grid? Yes/No

b) Work Plan 8 pages

This section requests details on how each of the following tasks will be completed throughout the duration of the project: site preparation, engineering, permitting, procurement, construction, interconnection (if required), and management and operation of the project.

11. Describe the site and facilities associated with the proposed project. Attach a map of the proposed site showing the location of the proposed project in Section 4.5.2.8.

a. Clarify ownership of the proposed site. If the project team does not currently have control of the site, list the steps required to buy, lease, or otherwise access the proposed site. Identify milestones to achieve site control.

b. Is this project a portion of a larger project? If so, describe how this project fits into the larger project.

12. The project team should describe why they selected the proposed technology and outline a plan to procure and install the proposed technology.

a. Describe the technology proposed and why it is appropriate for your site selection. In Section

4.5.2.7, attach any studies you have completed illustrating the technology selected is likely to succeed. These could include options (alternative technology) analyses, feasibility studies, energy assessments or audits, or results from previously completed technical assistance.

b. Identify milestones required to achieve a 90% engineering design and attach any previously completed engineering evaluations and designs. In Section 4.5.2.7, attach copies of any hardware performance specifications, warranties, engineering drawings, and or any other design files that support your proposal.

13. Are interconnection agreements, net energy metering agreements, or arrangements/agreements for the sale or purchase of energy required as part of this project?

a. If yes, identify the agreements or permissions required to complete the proposed project and the process required to obtain these documents. Clarify if agreements or permissions are currently obtained or identify the milestone date(s) when they would need to be obtained. Attach any agreements that have been obtained in Section 4.5.2.5.

14. Describe permits required to construct the project. If permits are required, include a permitting workflow overview that identifies the anticipated federal, state, and local codes, regulations, and permitting requirements applicable to siting, construction, and operation of the proposed project. If

6 Clean energy projects funded under this FOA must satisfy at least one of the objectives listed in BIL Section 40103(c)(3). These "resilient clean energy objectives” are: (A) Improving overall cost-effectiveness of energy generation, transmission, or distribution systems; (B) Siting or upgrading transmission and distribution lines; (C) Reducing greenhouse gas emissions from energy generation in rural or remote areas; (D) Providing or modernizing electric generation facilities; (E) Developing microgrids; and (F) Increasing energy efficiency.

an application is selected for negotiation of award, applicants will be required to complete an

Environmental Considerations Summary in support of National Environmental Policy Act (NEPA) compliance. Identify milestones to obtain all required permits.

15. Outline construction and commissioning steps for the proposed project. Clarify how much of the project construction will be managed by the project team and how much will be contracted.

Construction and commissioning requirements identified here should be noted as milestones.

16. Describe operations and maintenance needs of this project for the life of the project. Will the operations and maintenance be managed by the project team, by contract, or other? If additional staff will be hired for operations and maintenance, describe how staff will be recruited, hired, and trained.

17. Identify any barriers or obstacles that could impede the project. Examples of barriers or obstacles might include weather, permitting or approval delays, supplier/vendor contracts, pending net metering or interconnection agreements, supply chain delays, lack of site control, or system integration. For each barrier or obstacle, explain potential impacts and how impacts can be made less severe.

18. Use the milestones identified above to generate an Integrated Schedule for the Project. The schedule should illustrate all milestones required for project success.

c) Business and Management 5 pages

19. Provide an organizational chart of the project’s management structure. The chart should identify the owner, project manager, business contact, and other key personnel or organizations required to complete the proposed project.

a. Identify the key personnel responsible for site preparation, engineering, permitting, procurement, construction, interconnection (if required), and management and operation of the project.

Resumes are required in Section 4.5.2.4.

b. For any tasks not yet contracted, identify the key personnel responsible for securing future contracts.

c. Identify which position in the organizational chart is responsible for procurement of the proposed technology and the vendor or procurement method to obtain the proposed technology. If the procurement of technology will be contracted, describe the project’s contract process. Applicants may reference any Diversity, Equity, Inclusion, and Accessibility goals, described in the Community

Benefits Plan section, to contract minority or underrepresented businesses.

d. List any letters of commitment (see Section 4.5.2.5) or formal partnerships required for the proposed project and whether they have been obtained. For letters you have obtained, provide them as attachments. For letters not yet obtained, include when they will be obtained as milestones.

20. Describe the project’s financial plan, including descriptions of the following:

a. Ownership, off-takers, and co-parties such as critical suppliers

b. Estimated revenue and use of the revenue

c. How taxes, tax credits, incentives, or fees will be managed

d. List any letters of commitment or formal partnerships required for these tasks and whether or not they have been obtained. For letters you have obtained, provide them as attachments in Section

4.5.2.5. For letters not yet obtained, include when they will be obtained as milestones.

21. Include an annual estimate of operations and maintenance (O&M) costs and staffing needs for the life of the project.

22. Using the Integrated Schedule and key project milestones provided in the last section, propose payment milestones (which must be included in the Budget, see Section 4.5.2.6). Payment milestones are dollar values associated with the achievement of one or several workplan milestones.

d) Community Benefits Plan 4 pages

23. Project Benefits

a. Describe how the project will benefit the community, including the ways in which the proposed project location and related infrastructure, skilled workforce, etc. will contribute to the success of the overall project. Describe any actions the project team will take to ensure benefits are realized.

Note that the description of benefits provided in the Pre-Application, question 10, may be used as a starting point for this question. Ensure actions are presented as milestones and incorporated in the Integrated Schedule provided under question 19 above.

24. Community, Labor, and Tribal Engagement

a. Describe how the project will…