DE-FOA-0003323 - Water Power Innovation Network FOA.pdf

EERE T 540.117-01: Funding Opportunity Announcement

U.S. Department of Energy (DOE)

Office of Energy Efficiency and Renewable Energy (EERE)

Water Power Innovation Network

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003323 Assistance Listing Number: 81.087

FOA Issue Date: June 26, 2024 Informational Webinar: July 11, 2024 Submission Deadline for Concept Papers: August 7, 2024, at 5:00 p.m. ET Submission Deadline for Full Applications: September 18, 2024, at 5:00 p.m. ET Expected Date for EERE Selection Notifications: October 2024 Expected Timeframe for Award Negotiations: October 2024 – November 2024

• Applicants must submit a Concept Paper by 5:00 p.m. ET on the due date listed above to be eligible to submit a Full Application.

• To apply to this FOA, applicants must register with and submit application materials through EERE eXCHANGE at https://eere-eXCHANGE.energy.gov, EERE’s online application portal.

• Applicants must designate primary and backup points-of-contact in EERE eXCHANGE with whom EERE will communicate to conduct award negotiations. If an application is selected for award negotiations, it is not a commitment to issue an award. It is imperative that the applicant/selectee be responsive during award negotiations and meet negotiation deadlines. Failure to do so may result in cancelation of further award negotiations and rescission of the selection.

• Unique Entity Identifier (UEI) and System for Award Management (SAM) - Each applicant (unless the applicant is excepted from those requirements under 2 CFR 25.110) is required to: (1) register in the SAM at https://www.sam.gov before submitting an application; (2) provide a valid UEI number in the application; and (3) maintain an active SAM registration with current information when the applicant 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 and, if an applicant has not fully complied with the requirements by the time DOE is ready to make a federal award, DOE will determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

https://eere-exchange.energy.gov/ https://www.sam.gov/

Questions about this FOA? WPTOFOA@ee.doe.gov.

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

NOTE: Due to the high number of UEI requests and SAM registrations, entity legal business name and address validations are taking longer than expected to process.

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 use the HELP feature on SAM.gov. SAM.gov will address service tickets in the order in which they are received and asks that entities not create multiple service tickets for the same request or technical issue. Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base - Validating your Entity.

mailto:EERE-ExchangeSupport@hq.doe.gov https://sam.gov/content/help https://sam.gov/content/home https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1

Questions about this FOA? Email WPTOFOA@ee.doe.gov Problems with EERE Exchange? Email EERE-ExchangeSupport@hq.doe.gov Include FOA name and number in subject line.

i

Table of Contents

Table of Contents ................................................................................................................................................ i I. Funding Opportunity Description

A. Background and Context

i. Background and Purpose

ii. Technology Space and Strategic Goals

iii. Teaming Partner List

B. Topic Areas C. Down-Select D. Applications Specifically Not of Interest E. Diversity, Equity, Inclusion, and Accessibility F. Authorizing Statutes

II. Award Information A. Award Overview

i. Estimated Funding

ii. Period of Performance

iii. New Applications Only

B. EERE Funding Agreements

i. Cooperative Agreements

ii. Funding Agreements with Federally Funded Research and Development Center (FFRDCs)

iii. Grants

III. Eligibility Information A. Eligible Applicants

i. Domestic Entities

ii. Foreign Entities

B. Cost Sharing C. Compliance Criteria D. Responsiveness Criteria E. Other Eligibility Requirements

i. Requirements for DOE/NNSA and Non-DOE/NNSA FFRDCs Included as a Subrecipient F. Limitation on Number of Concept Papers and Full Applications Eligible for Review G. Questions Regarding Eligibility

IV. Application and Submission Information A. Application Process

i. Additional Information on EERE eXCHANGE B. Application Forms C. Content and Form of the Concept Paper D. Content and Form of the Full Application

i. Full Application Content Requirements

ii. SF-424: Application for Federal Assistance (Required)

iii. Technical Volume (Required)

iv. Resumes (Required)

v. Letters of Commitment (Optional)

vi. Statement of Project Objectives (SOPO) (Required)

vii. Diversity, Equity, Inclusion, and Accessibility Plan (Required)

viii. Budget Justification Workbook (Required) subject line.

ii

ix. Summary for Public Release (Required)

x. Summary Slide (Required)

xi. Subrecipient Budget Justification (if applicable)

xii. Budget for DOE/NNSA FFRDC (if applicable)

xiii. Authorization for Non-DOE/NNSA or DOE/NNSA FFRDCs (if applicable)

xiv. SF-LLL: Disclosure of Lobbying Activities (Required)

xv. Waiver Requests (if applicable)

xvi. Locations of Work (Required)

xvii. Transparency of Foreign Connections (if applicable)

xviii. Potentially Duplicative Funding Notice (if applicable)

E. Post Selection Information Requests F. Unique Entity Identifier (UEI) and System for Award Management (SAM) G. Submission Dates and Times H. Intergovernmental Review I. Funding Restrictions

i. Allowable Costs

ii. Pre-Award Costs

iii. Performance of Work in the United States (Foreign Work Waiver)

iv. Construction

v. Foreign Travel

vi. Equipment and Supplies

vii. Lobbying

viii. Risk Assessment

ix. Invoice Review and Approval

xi. Affirmative Action and Pay Transparency Requirements

xii. Foreign Collaboration Considerations

V. Application Review Information A. Technical Review Criteria

i. Concept Papers

ii. Full Applications

B. Standards for Application Evaluation C. Other Selection Factors

i. Program Policy Factors D. Evaluation and Selection Process

i. Overview

ii. Pre-Selection Interviews

iii. Pre-Selection Clarification

iv. Recipient Responsibility and Qualifications

v. Selection

E. Anticipated Notice of Selection and Award Negotiation Dates VI. Award Administration Information

A. Award Notices

i. Ineligible Submissions

ii. Concept Paper Notifications

iii. Full Application Notifications

iv. Applicants Selected for Award Negotiations

v. Alternate Selection Determinations

vi. Unsuccessful Applicants

B. Administrative and National Policy Requirements

i. Registration Requirements

ii. Award Administrative Requirements subject line.

iii

iii. Foreign National Participation

iv. Subaward and Executive Reporting

v. National Policy Requirements

vi. Environmental Review in Accordance with National Environmental Policy Act (NEPA)

vii. Applicant Representations and Certifications

viii. Statement of Federal Stewardship

ix. Statement of Substantial Involvement

x. Intellectual Property Provisions

xi. Reporting

xii. Conference Spending

xiii. Uniform Commercial Code (UCC) Financing Statements

xiv. Real Property and Equipment

xv. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty

xvi. Participants and Collaborating Organizations

xvii. Current and Pending Support

xviii. Interim Conflict of Interest Policy for Financial Assistance

xix. Fraud, Waste, and Abuse

xx. Human Subjects Research

C. Project Down-Select VII. Questions/Agency Contacts VIII. Other Information

A. FOA Modifications B. Government Right to Reject or Negotiate C. Commitment of Public Funds D. Treatment of Application Information E. Evaluation and Administration by Non-Federal Personnel F. Notice Regarding Eligible/Ineligible Activities G. Notice of Right to Conduct a Review of Financial Capability H. Requirement for Full and Complete Disclosure I. Retention of Submissions J. Rights in Technical Data K. Copyright L. Export Control M. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment N. Personally Identifiable Information (PII) O. Annual Independent Audits P. Informational Webinar (Optional)

Appendix A – Waiver Requests For: 1. Foreign Entity Participation; and 2. Foreign Work Appendix B – List of Acronyms subject line.

I. Funding Opportunity Description

A. Background and Context

i. Background and Purpose The U.S. Department of Energy’s (DOE) Water Power Technologies Office (WPTO) is issuing this $4.8 million funding opportunity announcement (FOA) “Water Power Innovation Network” to support business creation, entrepreneurship, and regional innovation for water power systems and solutions.

WPTO enables research, development, and testing of emerging technologies to advance marine energy as well as next-generation hydropower and pumped storage systems for a flexible, reliable grid. WPTO defines marine energy and hydropower as follows:

Marine Energy, also known as marine and hydrokinetic energy or marine renewable energy, is a renewable power source that is harnessed from the natural movement of water, including waves, tides, and river and ocean currents. Marine energy can also be harnessed from temperature differences in water through a process known as ocean thermal energy conversion.1

Hydropower, or hydroelectric power, is one of the oldest and largest sources of renewable energy, which uses the flow of moving water to generate electricity.

Hydropower currently accounts for 28.7% of total U.S. renewable electricity generation and about 6.2% of total U.S. electricity generation.2

Through this FOA, WPTO seeks to fund new and/or expanded incubator or accelerator programs that enable entrepreneurship and accelerate water power innovation, business creation, and growth in communities and regions throughout the United States. Through this FOA, new and/or expanded incubators and accelerators in water power will be able to collaborate with one another and build a stronger water power innovation network in support of accelerating water power technologies to market.

Both the marine energy and hydropower sectors pose tremendous opportunities for innovation. Providing unique commercialization services and support to

1 Water Power Technologies Office, Marine Energy Basics, https://www.energy.gov/eere/water/marine-energy-basics 2 Water Power Technologies Office, Hydropower Basics, https://www.energy.gov/eere/water/hydropower-basics subject line.

entrepreneurs and small businesses in water power can accelerate innovation and enhance economic development and resiliency of communities and regions.

Additionally, new and/or expanded incubators and accelerators in water power will be able to collaborate with one another and build a water power innovation network towards accelerating water power technologies to market.

Building a clean and equitable energy economy and addressing the climate crisis is a top priority of the Biden Administration. This FOA will advance the Biden Administration’s goals to achieve carbon pollution-free electricity by 2035 and to “deliver an equitable, clean energy future, and put the United States on a path to achieve net-zero emissions, economy-wide, by no later than 2050“3 to the benefit of all Americans. The U.S. Department of Energy is committed to pushing the frontiers of science and engineering, catalyzing clean energy jobs through research, development, demonstration, and deployment (RDD&D), and ensuring environmental justice and inclusion of underserved communities.

This FOA supports the administration’s goals laid out above by accelerating innovations in marine energy and hydropower that contribute to decarbonized and reliable energy. Innovations in water power can lower energy costs for American families and business and increase both resiliency and economic development in communities and regional economies.

The incubation and acceleration activities to be funded under this FOA will support the government-wide approach to the climate crisis by driving the innovation that can lead to the deployment of clean energy technologies, which are critical for climate protection. Specifically, this FOA will fund incubator or accelerator programs that support entrepreneurship and the commercialization of water power technologies.

ii. Technology Space and Strategic Goals This FOA seeks applications for new and/or expanded water power incubation or accelerator programs to address the commercialization needs of entrepreneurs and small businesses in marine energy and/or hydropower. The strategic goals of this FOA are to:

• Foster business creation, innovation, and competition in the water power field.

• Increase the diversity of people, perspectives, and ideas in water power.

• Ease commercialization pathways for water power entrepreneurs and small businesses to accelerate the commercialization of water power systems and solutions.

3 Executive Order 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

Detailed technical descriptions of the specific Topic Areas are provided in the sections that follow.

iii. Teaming Partner List

DOE is compiling a Teaming Partner List to facilitate the formation of project teams for this FOA. The Teaming Partner List allows organizations that may wish to participate on a project to express their interest to other applicants and explore potential partnerships.

The Teaming Partner List will be available on EERE eXCHANGE and will be regularly updated to reflect new teaming partners who provide their organization’s information.

SUBMISSION INSTRUCTIONS: View the Teaming Partner List by visiting the EERE eXCHANGE homepage and clicking on “Teaming Partners” within the left-hand navigation pane. This page allows users to view published Teaming Partner Lists.

To join the Teaming Partner List, submit a request within eXCHANGE. Select the appropriate Teaming Partner List from the drop-down menu and fill in the following information: Investigator Name, Organization Name, Organization Type, Topic Area, Background and Capabilities, Website, Contact Address, Contact Email, and Contact Phone.

DISCLAIMER: By submitting a request to be included on the Teaming Partner List, the requesting organization consents to the publication of the above-referenced information. By facilitating the Teaming Partner List, DOE is not endorsing, sponsoring, or otherwise evaluating the qualifications of the individuals and organizations that are identifying themselves for placement on this Teaming Partner List. DOE will not pay for the provision of any information, nor will it compensate any applicants or requesting organizations for the development of such information.

B. Topic Areas This FOA includes one topic area.

Topic Area 1: Water Power Incubation and Acceleration This topic area will fund programs that accelerate the commercialization and adoption of water power systems and solutions through incubation and acceleration programming and services that support entrepreneurs and small businesses in marine energy and/or hydropower.

subject line.

Programming and services may include, but are not limited to, business development support and training, private sector fundraising readiness, public funding education and workshops (e.g., Small Business Innovation Research/Small Business Technology Transfer [SBIR/STTR] workshops), end-user engagement and partnerships to advance water power solutions, and connections between entrepreneurs, technology developers, academic institutions, and state, local, and Tribal entities toward building a water power innovation ecosystem. Programming and services should address identified needs in water power commercialization pathways.

All work under EERE funding agreements must be performed in the United States.

See Section IV.I.iii. and Appendix A.

C. Down-Select This Topic Area consists of two budget periods. Applicants selected for award will be selected for Budget Period 1. At the end of Budget Period 1 there will be a down-select of recipients that will continue forward into Budget Period 2. The down-select will be based on the Budget Period 1 deliverables and down-select criteria described in the sections below. Subject matter experts from academia, national laboratories, and industry may be used as reviewers, subject to conflict of interest and non-disclosure considerations. Only Recipients of Budget Period 1 funding may apply for funding for Budget Period 2. The table below describes the budget periods, anticipated awards, and anticipated award duration.

Table 1: Budget periods, anticipated number of awards, anticipated amounts per award, and anticipated award duration.

Budget Periods Anticipated Number of Awards

Anticipated Amount per Award

Anticipated Award Duration

Budget Period 1 Up to 8 awards $100,000 6-9 months Budget Period 2 Up to 4 awards $1,000,000 2-3 years

Budget Period 1: In the first budget period of the award (approximately 6-9 month duration), funded applicants will develop water power incubation and/or acceleration programming and services for entrepreneurs and small businesses.

These should be based on gap assessments, include appropriate strategic partnerships, and demonstrate sustainable program models ready to pilot.

Budget Period 2: In the second budget period of the award (approximately 2-3 year duration), funded applicants will implement and pilot the incubation and acceleration programming and services developed in Budget Period 1.

Each budget period will have a schedule, budget, scope, set of deliverables, and programmatic objectives and metrics that applicants must deliver as summarized in the section below.

i. Down-Select Application: Budget Period 1 Deliverables Recipients seeking additional funding will submit a competitive application for an additional budget period within a previously approved project period. Only Recipients of Budget Period 1 funding will be eligible to submit a Down-Select Application for Budget Period 2 funding. At least ninety (90) days before the end of Budget Period 1, the Recipient must submit to EERE its down-select application, which includes the following information:

• Gap Assessment: This deliverable should include:

o Identification, with supporting evidence, of the gaps in commercialization support for water power entrepreneurs and small businesses informed by stakeholder engagement and other research.

o Details on the outreach activities performed and engagements with relevant stakeholders and interested parties. Describe the findings, including interests, buy-in, and feedback. Include any metrics recorded from the outreach and engagement activities.

o Details and findings of any additional research performed in Budget Period 1.

• Program Design and Services: The deliverable should include:

o An updated program description based on the findings from the gap assessment.

o An outline and details on the programming and/or services the team intends to run in Budget Period 2.

o An identification of the programmatic goals to be achieved by the end of Budget Period 2.

o A discussion of target program participants and the anticipated communication channels—such as website and recruitment strategies—to reach target program participants. Include a discussion of known or perceived barriers to program participation for target program participants and mitigation plans to lower or eliminate barriers to participation.

o If applicable, a discussion of evaluation practices that prospective participants will be graded against that ensures fairness and unbiased evaluations.

subject line.

o A discussion of the existing and recruited resources and expertise that are necessary for successfully creating, implementing, and financially sustaining the proposed program. If applicable, include an explanation of how the team will obtain access to any new resources and expertise needed.

o A discussion of how the program will be implemented in Budget Period 2 and by whom. Include details on how the program will be managed, estimated implementation timelines, and how the program’s progress and accomplishments will be reported to the stakeholders, including the DOE.

• Updated Budget, SOPO, and Project Schedule: If applicable, update information in the Budget, Statement of Project Objectives (SOPO4) and project schedule.

• Updated Diversity, Equity, Inclusion, and Accessibility Plan: The updated plan should include:

o A description of how the program would support investment in America’s workforce and labor engagement, advance diversity, equity, inclusion, and accessibility (DEIA) and direct material benefits to local or disadvantaged communities and/or small or disadvantaged businesses.

o A clear, actionable, and measurable plan to incorporate DEIA into program policies, practices, and activities.

o A clear, actionable, and measurable plan to bring in more diverse people, perspectives, and ideas to the water power field through the proposed program and activities.

o At least one SMART (Specific, Measurable, Assignable, Realistic and Time-Related) milestone per budget period supported by metrics to measure the success of the proposed actions.

• Presentation: Recipients will present their proposed programs to WPTO individually (not to other Recipients). WPTO will schedule 30-minute sessions with Recipients who have successfully submitted the written Budget Period 1 deliverables detailed above. Presentations should be 20 minutes long, allowing room for up to 10 minutes of Q&A. The presentation content should include:

o A summary of Budget Period 1 accomplishments including any significant milestones accomplished, findings, conclusions, or developments.

4 For information about the SOPO, see Section IV.D.vi.

subject line.

o An overview of the program design, structure, and programming and/or services to be offered to prospective program participants, and evaluation practices (if applicable).

o Information on how the program will meet specific gaps in commercialization support for water power entrepreneurs and small businesses informed by stakeholder engagement and other research.

o A discussion of target program participants, anticipated communication channels, such as website and recruitment strategies, to reach target program participants. Include a discussion of known or perceived barriers to program participation for target participants and mitigation plans to lower or eliminate barriers to participation.

o A discussion of how DEIA will be incorporated into the program and activities.

o The programmatic goals to be achieved by the end of Budget Period 2.

ii. Down-Select Process WPTO intends to conduct a competitive project review (down-select process) upon the completion of Budget Period 1. Recipients will submit Budget Period 1 deliverables and present to WPTO individually (not to other Recipients). Subject matter experts from academia, national laboratories, and industry may be used as reviewers, subject to conflict of interest and non-disclosure considerations. Projects will be evaluated based on the following criteria:

Criterion 1: Critical Gaps (30%)

• All Budget Period 1 deliverables are complete and of high quality.

• Extent to which the team meaningfully facilitated engagements and interactions with new or existing relevant stakeholders and interested parties, gathered buy-in, and incorporated feedback on the proposed program.

• Extent to which the details, findings, and supporting evidence from the Gap Assessment clearly identify critical gaps in commercialization support for water power entrepreneurs and small businesses.

Criterion 2: Program Alignment, Readiness, and Sustainability (45%)

About the Program

• Degree to which the proposed program description, design, and structure are clearly described and aligned with the goals of the FOA.

subject line.

• Extent to which the proposed programming and/or services are clearly described and likely to fill critical commercialization gaps posed by water power entrepreneurs and small businesses.

• Extent to which the appropriate target program participants and adequate communication and distribution channels have been identified and thoughtfully considered known or perceived barriers to program participation, including mitigation plans.

• Sufficiency of the resources and expertise to implement a water power incubator or accelerator program and are likely to result in the longevity of the program beyond Budget Period 2 funding.

Budget, SOPO, Project Schedule

• Degree to which SOPO and Project Schedule are clear, detailed, timely, and reasonable and the proposed program will result in a high likelihood of success in Budget Period 2.

• Relative to a clearly defined project baseline, the strength of the milestones and quantifiable metrics that will be used in Budget Period 2 to measure and track meaningful progress.

• Discussion and demonstrated understanding of potential risks and challenges involved in the proposed work and the “timely,” appropriate, and quality of the mitigation strategies to address them.

• Applicants demonstrate financial readiness to proceed into Budget Period 2.

Criterion 3: Diversity, Equity, Inclusion, and Accessibility (25%)

• Extent to which the program benefits disadvantaged communities and/or small and disadvantaged businesses.

• The quality and manner in which the plan to incorporate DEIA into program policies, perspectives, practices, and activities is clear, feasible, actionable, and measurable.

• The proposed DEIA plan and activities are likely to bring in more diverse people, perspectives, and ideas to the water power field.

• The milestones described outline a clear, feasible, actionable, and measurable pathway to success and are supported by metrics.

Upon completion of the competitive project review (down-select process), EERE will select which projects will receive federal funding beyond Budget Period 1. Due to the availability of funding and program considerations, only a portion of the recipients will be selected to receive funding for project continuation. As a result of this down-select process, certain projects will not receive federal funding beyond Budget Period 1 even if the project is meeting the predefined metrics.

WPTO will down-select up to 4 programs to proceed into Budget Period 2. DOE reserves the right to select no programs for funding beyond Budget Period 1.

D. Applications Specifically Not of Interest The following types of applications will be deemed nonresponsive and will not be reviewed or considered (see Section III.D. of the FOA):

• Applications that fall outside the parameters specified in Sections I.A. and I.B. of the FOA.

• Applications that do not support either marine energy or hydropower systems and solutions, as defined by WPTO in Section I.A. of the FOA.

• Applications that fall outside the purview of incubation, acceleration, and commercialization support programs for entrepreneurship and small business support.

• Applications that include activities that fall outside the purview of outreach and engagement activities, including:

o Applications for research and development of a proposed technology.

o Applications that involve demonstration-scale or commercial-scale deployments of a proposed technology.

o Applications that involve new construction or modifications of existing facilities.

o Applications that involve field studies and/or field testing of prototypes and/or equipment.

E. Diversity, Equity, Inclusion, and Accessibility

It is the policy of the Biden Administration that:

[T]he Federal Government should pursue a comprehensive approach to advancing equity5 for all, including people of color and others who have been historically underserved, marginalized, and adversely affected by persistent poverty and inequality. Affirmatively advancing equity, civil rights, racial justice, and equal opportunity is the responsibility of the whole of our government. Because advancing equity requires a systematic approach to embedding fairness in decision-making processes, executive departments, and agencies (agencies) must recognize and work

5 The term “equity” means the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment, such as Black, Latino, and Indigenous and Native American persons, Asian Americans and Pacific Islanders, and other persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by persistent poverty or inequality.

subject line.

to redress inequities in their policies and programs that serve as barriers to equal opportunity.

By advancing equity across the Federal Government, we can create opportunities for the improvement of communities that have been historically underserved, which benefits everyone.6

As part of this whole of government approach, this FOA seeks to encourage the participation of underserved communities7 and underrepresented groups.

Applicants are highly encouraged to include individuals from groups historically underrepresented8,9 in STEM on their project teams. As part of the application, applicants are required to describe how diversity, equity, inclusion, and accessibility objectives will be incorporated in the project, particularly in Budget Period 2.

Specifically, applicants are required to submit a Diversity, Equity, Inclusion, and Accessibility Plan that describes the actions the applicant will take to foster a welcoming and inclusive environment, support people from underrepresented

6 Executive Order 13985, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government” (Jan. 20, 2021).

7 The term “underserved communities” refers to populations sharing a particular characteristic, as well as geographic communities, that have been systematically denied a full opportunity to participate in aspects of economic, social, and civic life, as exemplified by the list of in the definition of “equity.” E.O. 13985. For purposes of this FOA, as applicable to geographic communities, applicants can refer to economically distressed communities identified by the Internal Revenue Service as Qualified Opportunity Zones; communities identified as disadvantaged or underserved communities by their respective States; communities identified on the Index of Deep Disadvantage referenced at https://news.umich.edu/new-index-ranks-americas-100-most-disadvantaged-communities/, and communities that otherwise meet the definition of “underserved communities” stated above.

8 According to the National Science Foundation’s 2019 report titled, “Women, Minorities and Persons with Disabilities in Science and Engineering”, women, persons with disabilities, and underrepresented minority groups—blacks or African Americans, Hispanics or Latinos, and American Indians or Alaska Natives—are vastly underrepresented in the STEM (science, technology, engineering and math) fields that drive the energy sector.

That is, their representation in STEM education and STEM employment is smaller than their representation in the U.S. population. https://ncses.nsf.gov/pubs/nsf19304/digest/about-this-report For example, in the United States, Hispanics, African Americans, and American Indians or Alaska Natives make up 24 percent of the overall workforce, yet only account for 9 percent of the country’s science and engineering workforce. DOE seeks to inspire underrepresented Americans to pursue careers in energy and support their advancement into leadership positions. https://www.energy.gov/articles/introducing-minorities-energy-initiative 9 See also. Note that Congress recognized in section 305 of the American Innovation and Competitiveness Act of 2017, Public Law 114-329:

(1) [I]t is critical to our Nation’s economic leadership and global competitiveness that the United States educate, train, and retain more scientists, engineers, and computer scientists; (2) there is currently a disconnect between the availability of and growing demand for STEM-skilled workers;

(3) historically, underrepresented populations are the largest untapped STEM talent pools in the United States; and (4) given the shifting demographic landscape, the United States should encourage full participation of individuals from underrepresented populations in STEM fields.

https://news.umich.edu/new-index-ranks-americas-100-most-disadvantaged-communities/ https://news.umich.edu/new-index-ranks-americas-100-most-disadvantaged-communities/ https://ncses.nsf.gov/pubs/nsf19304/digest/about-this-report https://www.energy.gov/articles/introducing-minorities-energy-initiative subject line.

groups in STEM, advance equity, and encourage the inclusion of individuals from these groups in the project, along with the extent project activities will be located in or benefit underserved communities (see Section IV.D.vii.). The plan should include at least one SMART (Specific, Measurable, Assignable, Realistic and Time-Related) milestone per budget period supported by metrics to measure the success of the proposed actions. This plan will be evaluated as part of the technical review process and incorporated into the award if selected.

Further, minority-serving institutions10, minority business enterprises, minority-owned businesses, woman-owned businesses, veteran-owned businesses, or entities located in an underserved community that meet the eligibility requirements (see Section III.) are encouraged to apply as the prime applicant or participate on an application as a proposed partner to the prime applicant. The Selection Official may consider the inclusion of these types of entities as part of the selection decision (see Section V.C.i.).

F. Authorizing Statutes The programmatic authorizing statute is Energy Independence and Security Act (EISA) of 2007, Public Law 110-140, sections 633 and 637. Added by Energy Act of 2020, Public Law 116-260, Division Z, Title III, Section 3001 (Dec. 27, 2020). Codified at 42 U.S.C § 17212(4) and § 17216(e).

Awards made under this announcement will fall under the purview of 2 CFR Part 200 as amended by 2 CFR Part 910.

II. Award Information

A. Award Overview

i. Estimated Funding EERE expects to make a total of approximately $4.8 million of federal funding available for new awards under this FOA, subject to the availability of appropriated funds. EERE anticipates making approximately 8 initial awards under this FOA. EERE may issue one, multiple, or no awards. Individual awards are anticipated to be approximately $100,000 for Budget Period 1 and approximately $1,000,000 for Budget Period 2.

10 Minority-serving institutions (MSIs), including historically Black colleges and universities/other minority institutions as educational entities recognized by the Office of Civil Rights (OCR), U.S. Department of Education, and identified on the OCR's Department of Education U.S. accredited postsecondary minorities’ institution list. See https://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html.

https://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html

EERE may issue awards in one, multiple, or none of the following topic areas:

Table 2: Estimated Funding

Topic Area

Number Topic Area Title

Anticipated Number of

Awards

Anticipated Award Size for Any One Individual

Award (Fed Share)

Approximate Total

Federal Funding

Available for All Awards

Anticipated Period of

Performance (months)

Topic Area 1

Water Power Incubation and Acceleration

Budget Period 1:

Up to 8

Budget Period 2:

Up to 4

Budget Period 1:

$100,000

Budget Period 2:

$1,000,000

$4,800,000

Budget Period 1:

6-9 months

Budget Period 2:

2-3 years

EERE may establish more than one budget period for each award and fund only the initial budget period(s). Funding for all budget periods, including the initial budget period, is not guaranteed. Before the expiration of the initial budget period(s), EERE may perform a down-select among different recipients and provide additional funding only to a subset of recipients.

ii. Period of Performance

EERE anticipates making awards that will run from six months duration up to three years duration, comprised of two budget periods. Project continuation will be contingent upon several elements, including satisfactory performance and the continuation application scored against the down-select criteria. For a complete list, see Section I.C.

iii. New Applications Only EERE will accept only new applications under this FOA. EERE will not consider applications for renewals of existing EERE-funded awards through this FOA.

B. EERE Funding Agreements Through cooperative agreements and other similar agreements, EERE provides financial and other support to projects that have the potential to realize the FOA objectives. EERE does not use such agreements to acquire property or services for the direct benefit or use of the U. S. government.

subject line.

i. Cooperative Agreements EERE generally uses cooperative agreements to provide financial and other support to prime recipients.

Through cooperative agreements, EERE provides financial or other support to accomplish a public purpose of support or stimulation authorized by federal statute. Under cooperative agreements, the government and prime recipients share responsibility for the direction of projects.

EERE has substantial involvement in all projects funded via cooperative agreement. See Section VI.B.ix. of the FOA for more information on what substantial involvement may involve.

ii. Funding Agreements with Federally Funded Research and

Development Center (FFRDCs)11 In most cases, FFRDCs are funded independently of the remainder of the project team. The FFRDC then executes an agreement with any non-FFRDC project team members to arrange work structure, project execution, and any other matters.

Regardless of these arrangements, the entity that applied as the prime recipient for the project will remain the prime recipient for the project. See Section III.E.

iii. Grants Although EERE has the authority to provide financial support to prime recipients through grants, EERE generally does not fund projects through grants. EERE may fund a limited number of projects through grants, as appropriate.

III. Eligibility Information To be considered for substantive evaluation, an applicant’s submission must meet the criteria set forth below. If the application does not meet these eligibility requirements, it will be considered ineligible and removed from further evaluation.

A. Eligible Applicants

i. Domestic Entities

The proposed prime recipient and subrecipient(s) must be domestic entities. The following types of domestic entities are eligible to participate as a prime recipient or subrecipient of this FOA:

11 FFRDCs are public-private partnerships that conduct research for the U.S. government. A listing of FFRDCs can be found at http://www.nsf.gov/statistics/ffrdclist/.

http://www.nsf.gov/statistics/ffrdclist/

1. Institutions of higher education

2. For-profit entities

3. Nonprofit entities

4. State and local governmental entities and federally recognized Indian

Tribes (Indian Tribes).

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.

DOE/NNSA FFRDCs are eligible to apply for funding as a subrecipient but are not eligible to apply as a prime recipient.

Non-DOE/NNSA FFRDCs are eligible to participate as a subrecipient but are not eligible to apply as a prime recipient.

Federal agencies and instrumentalities (other than DOE) are eligible to participate as a subrecipient but are not eligible to apply as a prime recipient.

Entities banned from doing business with the U.S. government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in federal programs are not eligible.

Nonprofit organizations described in Section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995, are not eligible to apply for funding.

ii. Foreign Entities In limited circumstances, DOE may approve a waiver to allow a foreign entity to participate as a subrecipient. If the applicant seeks to include a foreign entity as a subrecipient, the applicant must submit a separate explicit written waiver request in the Full Application for each proposed foreign subrecipient.

Appendix A lists the information that must be included in a foreign entity waiver request. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

subject line.

B. Cost Sharing Applicants are bound by the cost share proposed in their Full Applications if selected for award negotiations.

Cost sharing is not required under this FOA.

C. Compliance Criteria

All applicant submissions must:

• Comply with the applicable content and form requirements listed in Section IV.

of the FOA.

• Include all required documents.

• Be uploaded and submitted to EERE eXCHANGE https://eere-eXCHANGE.energy.gov.

• Be submitted by the deadline stated in the FOA.

EERE will not review or consider submissions submitted through means other than EERE eXCHANGE, submissions submitted after the applicable deadline, or incomplete submissions.

Applicants are strongly encouraged to submit their Concept Papers and Full Applications at least 48 hours in advance of the submission deadline. Under normal conditions (i.e., at least 48 hours before the submission deadline), applicants should allow at least one hour to submit a Concept Paper or Full Application. Once the Concept Paper or Full Application is submitted in EERE eXCHANGE, applicants may revise or update that submission until the expiration of the applicable deadline. If changes are made to any of these documents, the applicant must resubmit the Concept Paper or Full Application before the applicable deadline. EERE will not extend the submission deadline for applicants that fail to submit required information by the applicable deadline due to server/connection congestion.

D. Responsiveness Criteria

All “Applications Specifically Not of Interest,” as described in Section I.D. of the FOA, are deemed nonresponsive and are not reviewed or considered.

E. Other Eligibility Requirements subject line.

i. Requirements for DOE/NNSA and Non-DOE/NNSA FFRDCs Included as a Subrecipient DOE/NNSA and non-DOE/NNSA FFRDCs may be proposed as a subrecipient on another entity’s application subject to the following guidelines:

a. Authorization for non-DOE/NNSA FFRDCs

The federal agency sponsoring the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted with the application. The use of a FFRDC must be consistent with its authority under its award.

b. Authorization for DOE/NNSA FFRDCs

The cognizant Contracting Officer for the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted with the application. The following wording is acceptable for this authorization:

Authorization is granted for the Laboratory to participate in the proposed project. The work proposed for the Laboratory is consistent with or complementary to the missions of the Laboratory and will not adversely impact execution of the DOE assigned programs at the Laboratory.

c. Funding, Cost Share, and Subaward with FFRDCs

The value of and funding for the FFRDC portion of the work will not normally be included in the award. DOE/NNSA FFRDCs participating as a subrecipient on a project will be funded directly through the DOE field work proposal (WP) process. Non-DOE/NNSA FFRDCs participating as a subrecipient will be funded through an interagency agreement with the sponsoring agency.

Although the FFRDC portion of the work is excluded from the award, the applicant’s cost share requirement will be based on the total cost of the project, including the applicant’s, the subrecipient’s, and the FFRDC’s portions of the project.

Unless instructed otherwise by the DOE Contracting Officer for the DOE award, all FFRDCs are required to enter into a Cooperative Research and Development Agreement12 (CRADA) or, if the role of the DOE/NNSA FFRDC is

12 See OFCCP’s Technical Assistance Guide at:

https://www.dol.gov/sites/dolgov/files/ofccp/Construction/files/ConstructionTAG.pdf?msclkid=9e397d68c4b111e c9d8e6fecb6c710ec Also see the National Policy Assurances http://www.nsf.gov/awards/managing/rtc.jsp https://www.dol.gov/sites/dolgov/files/ofccp/Construction/files/ConstructionTAG.pdf?msclkid=9e397d68c4b111ec9d8e6fecb6c710ec https://www.dol.gov/sites/dolgov/files/ofccp/Construction/files/ConstructionTAG.pdf?msclkid=9e397d68c4b111ec9d8e6fecb6c710ec http://www.nsf.gov/awards/managing/rtc.jsp subject line.

limited to technical assistance and intellectual property is not anticipated to be generated from the DOE/NNSA FFRDC’s work, a Technical Assistance Agreement (TAA), with at least the prime recipient before any project work begins. Any questions regarding the use of a CRADA or TAA should be directed to the cognizant DOE field intellectual property (IP) counsel.

The CRADA or TAA is used to ensure accountability for project work and provide the appropriate management of IP, e.g., data protection and background IP. The CRADA or TAA must be agreed upon by all parties and submitted to DOE or other sponsoring agency, when applicable, for approval, or submitted to DOE for notice under the Master Scope of Work process, when applicable, using any DOE or other sponsoring agency approved CRADA or TAA template without substantive changes by the time the award is made to the prime recipient.

d. Responsibility

The prime recipient will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues including, but not limited to, disputes and claims arising out of any agreement between the prime recipient and the FFRDC.

e. Limit on FFRDC Effort

The scope of work to be performed by the FFRDC should not be more significant than the scope of work to be performed by the applicant.

F. Limitation on Number of Concept Papers and Full Applications

Eligible for Review

An entity may submit only one Concept Paper and one Full Application to this FOA. The Concept Paper and Full Application must address no more than one topic area identified in Section I.B. of the FOA. If an entity submits more than one Concept Paper and Full Application, EERE will request a determination from the applicant’s authorizing representative as to which application should be reviewed. Any other submissions received listing the same entity as the applicant will not be eligible for further consideration. This limitation does not prohibit an applicant from collaborating on other applications (e.g., as a potential subrecipient or partner) so long as the entity is only listed as the applicant on one Concept Paper and one Full Application submitted under this FOA.

subject line.

G. Questions Regarding Eligibility EERE will not make eligibility determinations for potential applicants prior to the date on which applications to this FOA must be submitted. The decision whether to apply in response to this FOA lies solely with the applicant.

IV. Application and Submission Information

A. Application Process The application process includes multiple submission phases: Concept Paper and Full Application. Only applicants who have submitted an eligible Concept Paper will be eligible to submit a Full Application.

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

• Each must be submitted in Adobe PDF format unless stated otherwise.

• Each must be written in English.

• All pages must be formatted to fit on 8.5” x 11” 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). A symbol font may be used to insert Greek letters or special characters, but the font size requirement still applies. References must be included as footnotes or endnotes in a font size of 10 or larger. Footnotes and endnotes are counted toward the maximum page requirement.

• A control number will be issued when an applicant begins the EERE 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_Full Application).

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

• 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, EERE will review only the authorized number of pages and disregard any additional pages.

i. Additional Information on EERE eXCHANGE

EERE eXCHANGE is designed to enforce the deadlines specified in this FOA. The “Apply” and “Submit” buttons will automatically disable at the defined submission deadlines.

Applicants who experience technical difficulties with submission PRIOR to the FOA deadline should contact the EERE eXCHANGE helpdesk for assistance (EERE-eXCHANGESupport@hq.doe.gov).

B. Application Forms The application forms and instructions are available at EERE Funding Application and Management Forms and on EERE eXCHANGE.