DE-FOA-0003460 Solar Module and Solar Hardware (SMASH) Incubator.pdf

Financial Assistance Notice of Funding Opportunity

Part 1

U.S. Department of Energy (DOE)

Office of Energy Efficiency and Renewable Energy

Solar Module and Solar Hardware (SMASH) Incubator

Notice of Funding Opportunity Number: DE-FOA-0003460

Application due: May 30, 2025

Modifications to this NOFO will be posted on eXCHANGE and Grants.gov. Grants.gov will automatically notify applicants when a NOFO modification is processed. Applicants must be registered to this NOFO in Grants.gov to receive email notifications. See Registration Requirements in Part 2 of this NOFO.

Table of Contents

BEFORE YOU BEGIN

A. Navigating the Notice of Funding Opportunity

I. BASIC INFORMATION

B. Key Facts

1. Funding Details

2. Period of Performance

C. Executive Summary

D. Agency Contact Information

II. ELIGIBILITY

A. Eligible Applicants

1. Restricted Eligibility

2. Domestic Entities

3. Foreign Entity Participation

B. Limitation on Number of Concept Papers and Applications Eligible for Review

C. Cost Sharing

1. Cost Share Requirements

2. Unallowable Cost Share Sources, NOFO Specific

D. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient

III. PROGRAM DESCRIPTION

A. Program Purpose

B. Program Goals and Objectives

C. Expected Performance Goals

D. Teaming Partner List

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E. Topic Areas

3. Topic Area 1: Crystalline Silicon Modules

4. Topic Area 2: Cadmium Telluride Modules

5. Topic Area 3: Non-Module Hardware

F. Applications Specifically Not of Interest

G. Statement of Substantial Involvement

H. Statutory Authority

I. R&D Community Benefits Plan

IV. APPLICATION CONTENT AND FORM

A. Summary

B. Concept Paper

C. Application Content Requirements

1. Covered Individual Definition, Designation, and Responsibility

2. Summary of Application Requirements

3. Technical Volume

D. Funding Restrictions

1. Build America Requirement for Infrastructure Projects

V. SUBMISSION REQUIREMENTS AND DEADLINES

A. Required Registrations

1. Unique Entity Identifier (UEI) and System for Award Management (SAM)

2. eXCHANGE

B. Application Package

1. eXCHANGE

C. Submission Date and Times

D. Intergovernmental Review

VI. APPLICATION REVIEW INFORMATION

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A. Standards for Application Evaluation

B. Responsiveness Review

C. Review Criteria

1. Compliance Criteria

2. Technical Review Criteria

D. Other Selection Factors

VII. SELECTION AND AWARD NOTICES

VIII. AWARD ADMINISTRATION INFORMATION

A. Post-Award Requirements and Administration

1. Real Property and Equipment

2. Rights in Technical Data

3. Cost Share Payment

B. Helpful Websites

C. Questions and Support

1. Questions

2. Support

IX. OTHER INFORMATION

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Notice of Funding Opportunity Part 1

Before You Begin

Before You Begin A. Navigating the Notice of Funding Opportunity The OMB Memorandum M-24-11 directs federal agencies to reduce the burden on applicants in the Notice of Funding Opportunity (NOFO) process and limit the length of the NOFO information requests.

With Fiscal Year (FY) 2025 NOFOs, DOE has separated the NOFO into two parts.

The NOFO Part 1 describes the specific DOE programmatic goals and evaluation criteria, eligibility, and other components that are specific to each funding opportunity. The NOFO Part 2 includes the fixed DOE requirements that generally do not change from NOFO to NOFO, including standard information for the application phase, expectations for award negotiations, and post-award requirements. Applicants must review both the NOFO Part 1 and the NOFO Part 2 prior to applying. To facilitate navigation, you will find links throughout this document to additional information found in Part 2.

There are several required one-time actions applicants must take before applying to this NOFO. Some of these actions may take several weeks, so it is vital applicants build in enough time to complete them.

Failure to complete these actions could interfere with application or negotiation deadlines or the ability to receive an award if selected. If you have previously completed the necessary registrations, make sure your registration is active and up to date. All registrations are free. Please refer to NOFO Part 2, Get Registered, for additional information.

This announcement is published in conjunction with NOFO Part 2 version 1.0.

https://www.whitehouse.gov/wp-content/uploads/2024/04/M-24-11-Revisions-to-2-CFR.pdf

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Section I: Basic Information

I. Basic Information B. Key Facts

Issuing Agency

U.S. Department of Energy (DOE), Office of Energy Efficiency and Renewable Energy (EERE), Solar Energy Technologies Office (SETO)

Funding Opportunity Title

Solar Module and Solar Hardware (SMASH) Incubator

Announcement Type Initial Announcement

Funding Opportunity Number

DE-FOA-0003460

Funding Instrument Cooperative agreements

Assistance Listing Number

81.087

Funding Opportunity Description

SMASH Incubator seeks to address the lack of sufficient private investment that is available to successfully commercialize the output of research, development, and demonstration activities and bring innovative solar photovoltaic (PV) technology to market.

Specifically, this NOFO will encourage innovations in PV manufacturing with the aim of reducing reliance on imported materials and technologies.

Program Goals & Objective(s)

The activities to be funded through this NOFO will support the government’s goal to deploy solar energy technologies with a resilient and domestic supply chain. These activities are expected to deliver jobs and economic growth in the clean energy sector while adding to our nation’s energy security.

Topic Areas

1. Crystalline silicon solar module technology, covering all segments of the supply chain from input materials and production equipment through module assembly.

2. Cadmium telluride solar module technology, covering all segments of the supply chain including improvements in

KEY DATES

Notice of Funding Opportunity Issue Date:

January 8, 2025

Informational Webinar:

January 23, 2025

Concept Paper Deadline:

March 21, 2025

Application Deadline:

May 30, 2025

Anticipated Selection Notification Date:

November 2025

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3. Non-module solar hardware technology, including structural and electrical components and tools that improve performance, functionality, reliability, or ease of installation for solar energy systems.

Eligible Applicants Private, for-profit entities as prime recipient eXCHANGE URL and Helpdesk eere-exchange.energy.gov/

EERE-ExchangeSupport@hq.doe.gov

Include the NOFO title and number in the subject line of all emails.

1. Funding Details

Multiple Topic Areas Approximate total available funding including all topic areas: $20 million in FY 2025

Topic Area 1: Crystalline Silicon Modules

• Approximate total available funding: $8 million in FY 2025

• Approximate number of awards: 1–4

• Approximate dollar amount of individual awards: $1 million–$4 million

• Minimum cost share required:

o 20% of the total project costs (R&D activities) o 50% of the total project costs (demonstration activities)

• Approximate award project period: 18–36 months

• Anticipated length of budget periods: 12–24 months

Topic Area 2: Cadmium Telluride Modules

• Approximate total available funding: $8 million in FY 2025

• Approximate number of awards: 1–4

• Approximate dollar amount of individual awards: $1 million–$4 million

• Minimum cost share required:

o 20% of the total project costs (R&D activities) o 50% of the total project costs (demonstration activities)

• Approximate award project period: 18–36 months

• Anticipated length of budget periods: 12–24 months

Topic Area 3: Non-Module Hardware

• Approximate total available funding: $4 million in FY 2025

• Approximate number of awards: 1–2

• Approximate dollar amount of individual awards: $1 million–$4 million https://eere-exchange.energy.gov/ mailto:EERE-ExchangeSupport@hq.doe.gov

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• Minimum cost share required:

o 20% of the total project costs (R&D activities) o 50% of the total project costs (demonstration activities)

• Approximate award project period: 18–36 months

• Anticipated length of budget periods: 12–24 months

2. Period of Performance

DOE anticipates making awards composed of multiple budget periods. If applicable, project continuation will be contingent upon DOE’s Go/No-Go decision. For a complete list and more information on the Go/No-Go review, see the NOFO Part 2, Award Administration Information. Funding for all budget periods, including the initial budget period, is not guaranteed.

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C. Executive Summary The Solar Module and Solar Hardware (SMASH) Incubator notice of funding opportunity (NOFO) will support R&D and demonstration activities that will drive the innovation necessary to accelerate deployment of affordable solar energy in the United States.

The Department of Energy Solar Energy Technology Office’s Incubator funding programs provide early-stage assistance to help solar companies cross technological barriers to commercialization while encouraging private-sector investment. By taking breakthrough innovations and putting them through a rigorous de-risking process, Incubator allows entrepreneurs to focus on activities that can lead to rapid technology commercialization. Once these key risks are addressed, the businesses are ideally suited for private follow-on funding and commercial success.

Specifically, projects funded through this NOFO will encourage innovations in solar photovoltaic (PV) manufacturing across the supply chain, with the aim of reducing U.S. reliance on imported materials and technologies. This NOFO also encourages the development of new solar hardware and technology for domestic use and potential export. These activities are expected to deliver jobs and economic growth in the clean energy sector, while increasing national energy security.

Topic Area 1 seeks to conduct early-stage pilot-scale testing and demonstration of innovative processes or products that can substantively increase domestic manufacturing in all segments of the crystalline silicon solar module supply chain. Each segment also includes the manufacturing equipment used in that segment, input materials for that segment, process control and characterization tools, and consumables used in that segment, which today are predominantly made outside the United States.

Topic Area 2 aims to support the cadmium telluride (CdTe) PV industry, an increasingly valuable part of the U.S. economy and leading domestic renewable energy technology. All segments of the CdTe PV module supply chain are of interest, including improvements in materials, processes, manufacturing, components, metrology, demonstration, recycling, and reclamation.

Topic Area 3 is focused on R&D and demonstration activities with the goal of de-risking new non-module PV components and manufacturing processes, while developing and validating a realistic pathway to commercial success. This includes structural and electrical components and tools that can be made domestically and improve performance, functionality, reliability, or ease of installation for PV systems.

Because Incubator emphasizes bringing technology to market, eligibility for this NOFO is restricted to for-profit entities as the prime recipient. Federally funded research and development centers, institutions of higher education, for-profit organizations, nonprofit organizations, state and local government entities, federally recognized Indian Tribes, and federal agencies and instrumentalities are eligible subrecipients.

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D. Agency Contact Information Office of Energy Efficiency and Renewable Energy U.S. Department of Energy 1000 Independence Ave SW Washington, D.C. 20585

For questions relating to this specific NOFO, please send emails to solar.incubator@ee.doe.gov. Include the NOFO title and number in the subject line of all emails.

DISCLAIMER: Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. If the application contains information that the applicant organization considers to be trade secrets, information that is commercial or financial, or information that is privileged or confidential, the pages containing that information must be identified as specified in the application instructions. When such information is included in the application, it will be withheld from public disclosure to the extent permitted by law, including the Freedom of Information Act, with the understanding that the information will be used or disclosed only for evaluation of the application. The information contained in the application will be protected by DOE from unauthorized disclosure, consistent with the need for merit review of applications of financial assistance awards to assure the integrity of the competitive process and the accuracy and completeness of the information. If a federal financial assistance award is made as a result of or in connection with an application, the federal government has the right to use or disclose the information to the extent authorized by law. This restriction does not limit the federal government’s right to use the information if it is obtained without restriction from another source.

mailto:solar.incubator@ee.doe.gov

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II. Eligibility 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 and ineligible for any award. The Department of Energy (DOE) will not make eligibility determinations for potential applicants prior to the date on which applications to this notice of funding opportunity (NOFO) must be submitted. The decision whether to apply in response to this NOFO lies solely with the applicant. The information included here is specific to eligibility requirements for this NOFO. For eligibility requirements applicable to all NOFOs, please consult the NOFO Part 2, Eligibility.

A. Eligible Applicants 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.

1. Restricted Eligibility

In accordance with 2 CFR 910.126, Competition, eligibility for this NOFO is restricted because the objective of this NOFO is to bring innovative technology to the market. For-profit entities have the capacity to rapidly commercialize new technologies in the solar energy supply chain. SETO believes that for-profit entities are most likely to achieve the objectives of this NOFO. DOE is restricting eligibility to the entities identified below.

2. Domestic Entities

Domestic entities are eligible to apply as recipients or subrecipients. The following types of domestic entities are eligible to participate as a recipient of this NOFO:

• For-profit organizations.

The following types of domestic entities are eligible to participate as a subrecipient of this NOFO:

• Federally funded research and development centers

• Institutions of higher education

• For-profit organizations

• Nonprofit organizations

• State and local governmental entities

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• Indian Tribes1

• Federal agencies and instrumentalities.

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 or under the laws of the United States; have majority domestic ownership and control; and have a physical place of business in the United States.

3. Foreign Entity Participation

In general, foreign entities are not eligible to apply as either a recipient or subrecipient. In limited circumstances, DOE may approve a waiver to allow a foreign entity to participate as a recipient or subrecipient.

A foreign entity may submit an application to this NOFO, but the application must be accompanied by an explicit written waiver request. Likewise, if the applicant seeks to include a foreign entity as a subrecipient, the applicant must submit a separate explicit written waiver request in the application for each proposed foreign subrecipient. Please see NOFO Part 2, Application Content Requirements for the requirements for submission of a foreign-entity waiver request. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

Recipients must only be legally formed in the United States and have a physical location for business operations in the United States.

Entities that are organized, chartered, or incorporated (or otherwise formed) under the laws of the United States or a particular state or territory of the United States and have a physical location for business operations in the United States are eligible to apply for funding as a recipient or subrecipient.

Foreign Entity Participation A foreign entity is eligible to apply for funding as a recipient if it designates in the application a subsidiary or affiliate incorporated (or otherwise formed) under the laws of a state or territory of the United States to be the recipient. The application must state the nature of the corporate relationship between the foreign entity and domestic subsidiary or affiliate.

Foreign entities may request a waiver of the requirement to designate a subsidiary in the United States as the recipient in the application (i.e., a foreign entity may request that it be the recipient). To do so, the applicant must submit an explicit written waiver request in the application.

1 “Indian Tribe,” for the purposes of this NOFO and as defined in in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. § 5304), means any Indian Tribe, band, nation, or other organized group or community, including any Alaska Native village or regional or village corporation as defined in or established pursuant to the Alaska Native Claims Settlement Act (85 Stat. 688) (43 U.S.C. § 1601, et seq.), which is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians. Federally Recognized Indian Tribes are also considered disadvantaged communities for the purposes of Justice40 requirements in this NOFO per www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf.

https://uscode.house.gov/view.xhtml?req=(title:25%20section:5304%20edition:prelim) https://uscode.house.gov/statutes/pl/92/203.pdf#:%7E:text=688%20PUBLIC%20LAW%2092-203-DEC.%2018%2C%201971%20%5B85%20STAT.,and%20for%20other%20purposes.%20Alaska%20Native%20Claims%20Settlement https://uscode.house.gov/view.xhtml?req=(title:43%20section:1601%20edition:prelim) http://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf

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NOFO Part 2, Application Content Requirements lists the information that must be included in a request to waive this requirement. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

Participant Limitations Participation of the following entities are limited as follows.

• DOE federally funded research and development centers (FFRDCs)2 are eligible to apply for funding as a subrecipient but are not eligible to apply as a recipient.

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

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

Performance of Work in the United States All work for the awards under this NOFO must be performed in the United States. To request a waiver of this requirement, the applicant must submit an explicit waiver request in the application. Absent an approved waiver, such costs will not be allowable under the award. The NOFO Part 2, Application Content Requirements lists the requirements for submission of a foreign work waiver request.

Ineligible Participants The following entities are ineligible for participation in this NOFO as a recipient, subrecipient, or subcontractor:

• In accordance with 2 CFR 200.214, 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.

• Entities identified on the Department of the Treasury Office of Foreign Assets Control Treasury’s Sanctions Program Specially Designated Nationals list are prohibited from doing business with the U.S. government and are not eligible. See sanctionslist.ofac.treas.gov/Home/SdnList.

• 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.

Entity of Concern Prohibition Entities of Concern are prohibited from participating in projects selected under this NOFO (see NOFO Part 2, Eligibility, Other Eligibility Information, Entity of Concern Prohibition for details and definitions).

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

https://sanctionslist.ofac.treas.gov/Home/SdnList http://www.nsf.gov/statistics/ffrdclist/

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B. Limitation on Number of Concept Papers and Applications Eligible for Review

An entity may submit more than one concept paper and associated application to this NOFO if each describes a unique, scientifically distinct project concept and an eligible concept paper was submitted for each full application.

C. Cost Sharing Applicants are expected to follow through on estimated cost share commitments proposed in their applications if selected for award negotiations. Please refer to the NOFO Part 2, Eligibility for more information on Cost Sharing.

1. Cost Share Requirements

The cost share must be not less than 20% of the total project costs3 for R&D activities and not less than 50% of the total project costs for demonstration activities.4 Projects with a combination of R&D activities and demonstration activities are permissible under this NOFO, resulting in a blended cost share. In the case of a project with a combination of R&D activities and demonstration activities, the breakdown of tasks in the project must be such that only one type of activity occurs in each budget period. For example, a project with two budget periods might have R&D activities in the first budget period, at not less than 20% cost share, and demonstration activities in the second budget period, at not less than 50% cost share. The resulting blended cost share would be calculated based on the portion of the budget allocated to each type of activity. Please see Section III.A. below for more information on the types of activities that would be considered R&D and demonstration.

Applications that do not meet the minimum required cost share may be deemed ineligible during the initial compliance review and will not be further reviewed.

The cost share percentage is calculated by dividing the non-federal cost share by the total allowable project costs for the award, where the total allowable project costs include government share (including FFRDC costs if applicable) and non-federal cost share. To help applicants calculate proper cost share amounts, DOE has included a cost share information sheet and sample cost share calculation in the NOFO Part 2, Eligibility—Cost Sharing, Cost Share Calculation Examples. Example 2 of that section shows a blended cost share calculation.

2. Unallowable Cost Share Sources, NOFO Specific

Refer to NOFO Part 2, Eligibility--Cost Sharing, Unallowable Cost Share Sources for unallowable cost share sources applicable to all NOFOs.

3 Total project costs are the sum of the government share, including FFRDC costs if applicable, and the recipient share of project costs.

4 Energy Policy Act of 2005, Pub. L. 109-58, sec. 988. Also see 2 CFR 200.306 and 2 CFR 910.130 for additional cost sharing requirements.

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D. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient

As long as they have no conflict, DOE and non-DOE FFRDCs may be proposed as a subrecipient on another entity’s application subject to the following guidelines:

Authorization for non-DOE 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.

Authorization for DOE 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.

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 FFRDCs participating as a subrecipient on a project will be funded directly through the DOE Work Authorization process in accordance with DOE O 412.1A. Non-DOE 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.

All DOE FFRDCs are required to enter into a Cooperative Research and Development Agreement5 (CRADA) or, if the role of the DOE FFRDC is limited to technical assistance and intellectual property is not anticipated to be generated from the DOE FFRDC’s work, a Technical Assistance Agreement (TAA), with at least the recipient. A fully executed CRADA or TAA must be in place or be compliant with a Master Scope of Work process prior to the FFRDC starting work directly allocable to the FA award.

A CRADA is used to ensure accountability for project work and provide the appropriate management of IP, e.g., data protection and background IP. A Data Management Plan is not suited for this purpose.

5 A cooperative research and development agreement is a contractual agreement between a national laboratory contractor and a private company or university to work together on research and development. For more information, see www.energy.gov/gc/downloads/doe-cooperative-research-and-development-agreements.

http://www.energy.gov/gc/downloads/doe-cooperative-research-and-development-agreements

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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.

Limit on FFRDC Effort The FFRDC effort, in aggregate, shall not exceed 20% of the total project cost.3

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Section III: Program Description

III. Program Description A. Program Purpose The DOE Solar Energy Technologies Office (SETO) is issuing the Solar Module and Solar Hardware (SMASH) Incubator NOFO, which seeks to address the lack of sufficient private investment available to successfully commercialize and bring to market innovative solar photovoltaic (PV) technologies that can be domestically manufactured. Through this NOFO, SETO intends to advance DOE’s commitment to pushing the frontiers of science and engineering to support America’s clean energy industry. Efforts funded through this NOFO will fall into two broad areas:

• R&D activities that aim to improve all aspects of the PV supply chain at laboratory scale. These activities address underlying technical barriers to reducing the cost, improving the performance, and developing a path to commercialization for technologies related to PV and PV systems, such as materials, manufacturing processes, architectures, subsystems, and components.

• Demonstration activities that involve the design, construction, and operation of a prototype of a technology at pre-commercial scale with the purpose of providing technical, economic, environmental, or other information under real-world conditions to validate performance, identify and help overcome both technical and non-technical barriers, and de-risk further investment to accelerate the transition to the private sector. These activities might include manufacturing or process innovations throughout the supply chain, field testing and validation of PV modules and components, and demonstration of economically viable recycling and reclamation of PV modules and materials.

The activities to be funded under this NOFO will drive the deployment of clean energy technologies.

Specifically, this NOFO will encourage innovations in PV manufacturing across the crystalline silicon and cadmium telluride solar supply chains, with the aim of reducing U.S. reliance on imported materials and technologies. This NOFO also encourages the development of new solar hardware and technology.

These activities are expected to deliver jobs and economic growth in the clean energy sector, while increasing national energy security.

B. Program Goals and Objectives Federal investments in clean energy technology have spurred historic levels of private-sector investments in the United States, bringing manufacturing back to America after decades of offshoring, and creating good-paying clean energy jobs across the nation. Since 2020, the PV industry has announced nearly $20 billion in planned investments, 144 new and expanded manufacturing plants, over 405 gigawatts (GW) of manufacturing capacity across the entire solar supply chain, and enough solar module manufacturing capacity to power 22 million additional homes each year.6

In September 2021, DOE released the Solar Futures Study,7 which provides a vision for solar power’s role in cost-effectively contributing to the nation’s clean energy goals. According to the study, solar power will need to grow from supplying 5% of U.S. electricity demand in 2022 to 40% by 2035. This will require

6 DOE. “Building America’s Clean Energy Future.” www.energy.gov/invest.

7 SETO. 2021. Solar Futures Study. www.energy.gov/eere/solar/solar-futures-study.

http://www.energy.gov/invest http://www.energy.gov/eere/solar/solar-futures-study

Version 1.0 Page 19 of 52 the United States to install 30 GW of solar generating capacity8 each year between now and 2025 and ramp up to 60 GW per year from 2025 to 2030. With supportive policies, electrification, and aggressive cost reductions, solar installations in the United States could supply 1 terawatt (TW) of generating capacity for the power grid by 2035 and 1.6 TW by 2050.

PV is an essential technology for the clean energy transition, but most PV modules currently installed in the United States are imported—nearly 90% from 2020 through the first half of 2024.9 In February 2022, DOE’s Solar Photovoltaics Supply Chain Review10 mapped the global PV supply chain and identified significant disruption risk, especially due to the high concentration of companies with close ties to China in the crystalline silicon module supply chain. In addition, domestic production of solar components is far below current demand and without significant new investment cannot supply the parts necessary for increased deployment. A more secure solar supply chain will help the nation meet renewable energy goals, establish the United States as a global leader in clean energy innovation and manufacturing, and create millions of high-quality jobs for American workers.11

There are multiple pathways to increase clean energy deployment, but all require sustained innovation across solar energy technologies. SETO supports solar energy advancements in seven areas— photovoltaics, concentrating solar-thermal power, systems integration, manufacturing and competitiveness, soft costs, solar workforce development, and access to solar energy—to improve the affordability, reliability, and domestic benefit of solar technologies on the electric grid.

SETO’s investments and assistance have facilitated lower manufacturing costs, increased product efficiency and performance, and improved the reliability of solar technologies. SETO awardees have founded hundreds of companies that are pushing the boundaries of innovation and bringing new products and services to the market. Currently, SETO supports more than 500 solar energy R&D and demonstration projects in the United States. Over the past 15 years, the SETO Manufacturing and Competitiveness program,12 which focuses on de-risking the transition of technology for private investment, has invested over $370 million in the U.S. innovation community, leading to nearly $12 billion in follow-on private funding. These investments have helped secure American leadership in solar innovation and increased energy affordability across the country.13

SETO’s Incubator funding programs provide early-stage assistance to help companies cross technological barriers to commercialization while encouraging private-sector investment. By taking breakthrough innovations and putting them through a rigorous de-risking process, Incubator allows entrepreneurs to

8 Solar generating capacity values are given in watts of alternating current (AC).

9 National Renewable Energy Laboratory. “Fall 2024 Solar Industry Update.” To be published December 2024.

www.energy.gov/eere/solar/quarterly-solar-industry-update.

10 DOE. 2022. Solar Photovoltaics: Supply Chain Deep Dive Assessment. www.energy.gov/eere/solar/solar-photovoltaics-supply-chain-review-report.

11 DOE Office of Policy. 2022. “America’s Strategy to Secure the Supply Chain for a Robust Clean Energy Transition.”

www.energy.gov/policy/articles/americas-strategy-secure-supply-chain-robust-clean-energy-transition-fact-sheet.

12 SETO. “Manufacturing and Competitiveness.” www.energy.gov/eere/solar/manufacturing-and-competitiveness.

13 Pecora, E. F., and J. P. Trinastic. “Location-Dependent Public-Private Interaction in Catalyzing Solar Technology Commercialization.” DOE, Office of Energy Efficiency and Renewable Energy. doi.org/10.2172/1863491.

http://www.energy.gov/eere/solar/quarterly-solar-industry-update http://www.energy.gov/eere/solar/solar-photovoltaics-supply-chain-review-report http://www.energy.gov/eere/solar/solar-photovoltaics-supply-chain-review-report http://www.energy.gov/policy/articles/americas-strategy-secure-supply-chain-robust-clean-energy-transition-fact-sheet https://www.energy.gov/eere/solar/manufacturing-and-competitiveness https://doi.org/10.2172/1863491

Version 1.0 Page 20 of 52 focus on rapid commercialization. Once these key risks are addressed, the businesses are ideally suited for private follow-on funding and success.

Since the first Incubator program was launched in 2007, more than 150 Incubator-funded companies have received awards, working to develop and launch transformative products and services.14 By supporting a broad range of solar technologies at both the R&D and demonstration stages, Incubator projects have the potential to significantly lower the total installed cost of solar energy systems and energy costs for American households and businesses.

The Incubator program emphasizes manufacturing and bringing technology to market, so eligibility for this NOFO is restricted to for-profit entities as the prime recipient. FFRDCs, institutions of higher education, for-profit organizations, nonprofit organizations, state and local government entities, and federally recognized Indian Tribes are eligible as subrecipients.

This NOFO includes three topic areas:

1. Crystalline silicon (c-Si) module technology, covering all segments of the c-Si PV module supply chain from input materials and production equipment through module assembly.

2. Cadmium telluride (CdTe) module technology, covering all segments of the CdTe PV module supply chain, including improvements in materials, processes, manufacturing, components, metrology, demonstration, recycling, and reclamation.

3. Non-module hardware technology, including structural and electrical components and tools that improve performance, functionality, reliability, or ease of installation for PV systems.

Successful applicants for R&D work under this NOFO will be companies with an existing technology at the early proof-of-concept stage that can function in a controlled environment. The technology could be the basis for a hardware product, a new manufacturing process, or a new system installation process.

The technology must provide advantages compared to the state of the art at a laboratory or prototype scale, where the technology readiness level (TRL)15 ranges from 3 to 5 at the time of application. There must be significant technical and business risks that still need to be retired for which private funding is unlikely due to the early-stage nature of the proposed product or process. R&D work should bring the technology to at least TRL 5 by the end of the project.

Projects that extend beyond R&D to technology demonstration should be at sufficient scale to provide data for quality, yield, uptime, and other manufacturing considerations. Demonstration activities typically begin at TRL 5, and the work should bring the technology to TRL 7 by the end of the project.

Although a well-established metric, TRL does not capture essential risk factors for the commercialization of technology. The adoption readiness level16 (ARL) framework assesses 17 key risks related to commercialization and translates the assessment into a score from 1 to 9. Applications to this NOFO

14 SETO. “Incubator Program.” www.energy.gov/eere/solar/incubator-program.

15 DOE. “Technology Readiness Assessment Guide.” www.directives.doe.gov/directives-documents/400-series/0413.3-EGuide-04a-admchg1.

16 DOE Office of Technology Transitions. “Adoption Readiness Levels (ARL) Framework.”

www.energy.gov/technologytransitions/adoption-readiness-levels-arl-framework.

http://www.energy.gov/eere/solar/incubator-program http://www.directives.doe.gov/directives-documents/400-series/0413.3-EGuide-04a-admchg1 http://www.directives.doe.gov/directives-documents/400-series/0413.3-EGuide-04a-admchg1 http://www.energy.gov/technologytransitions/adoption-readiness-levels-arl-framework

Version 1.0 Page 21 of 52 must include a completed ARL assessment17 that captures the risks at the beginning of the proposed project. At the end of the project, the ARL score should be at least ARL 6 for R&D and at least ARL 7 for demonstration, with the following specific requirements on the four core risk areas:

Table 1. Requirements of the Four Core Risk Areas

R&D Demonstration

Value proposition No high risks No high risks

Market acceptance No medium or high risks No medium or high risks

Resource maturity No more than one high risk No high risks

License to operate No high risks No high risks

Through this award, the recipient will advance their technology to a stage where it can successfully attract additional private investment to bring it to market. The R&D or demonstration activities will seek to prove all of the technology’s commercially relevant functionalities as well as feasibility of any critical, high-risk manufacturing steps. The project must be structured to answer critical questions required to reduce the associated technical and business risks of the product.

Applicants must include in their project plans a systematic evaluation methodology, such as design of experiments, statistical process control, or verification and validation testing. Well-designed test plans should examine the expected range of operation and generate statistical confidence in the results.

Applications developing new module or inverter products must include Electronic Product Environmental Assessment Tool (EPEAT)18 listing as an end-of-project objective. If the proposed project does not move a module or inverter product to the pre-commercialization stage, it must be compliant with EPEAT listing requirements by the end of the project.

Applications developing new cell and module technologies must include a plan for deploying them at the DOE-funded outdoor test site appropriate for the readiness level of the technology. Early-stage minimodules (less than 1-square-meter [m2] area) should be fielded at the PV Accelerator for Commercializing Technologies (PACT).19 Larger near-commercial modules (over 1-m2 area) should be fielded at the PV Proving Grounds.20

SETO encourages collaborations between companies (and other research organizations such as universities, national laboratories, and relevant nonprofits) and across the supply chain to investigate

17 DOE Office of Technology Transitions. “Adoption Readiness Assessment.”

www.energy.gov/sites/default/files/2024-10/ARL%20Assessment%2010-10-24.pdf.

18 Global Electronics Council. “EPEAT Registry.” www.epeat.net.

19 Sandia National Laboratories. “PACT.” pvpact.sandia.gov.

20 Sandia National Laboratories. “Projects.” energy.sandia.gov/programs/renewable-energy/photovoltaic-solar-energy/projects.

http://www.energy.gov/sites/default/files/2024-10/ARL%20Assessment%2010-10-24.pdf http://www.epeat.net/ https://pvpact.sandia.gov/ https://energy.sandia.gov/programs/renewable-energy/photovoltaic-solar-energy/projects https://energy.sandia.gov/programs/renewable-energy/photovoltaic-solar-energy/projects

Version 1.0 Page 22 of 52 new technology development opportunities related to silicon PV. Use of domestic or friend-shored21 equipment in the manufacturing process is of particular interest.

Engaging in R&D activities with the support of public funds comes with the responsibility of disseminating the outcomes through accessible and effective engagement strategies. Projects that are selected through this NOFO will be asked to prepare detailed communications plans.

C. Expected Performance Goals Successful projects funded through this NOFO will provide the following short-term outcomes:

• Introduction of new products into the market and validation of innovative manufacturing technologies.

• Prime recipients that will still be in business and operating in the solar industry 5 years after the end of the award.

• New private funding within 5 years of the award for further technology development and product commercialization.

• Generation of intellectual property.

Beyond these outcomes, successful projects will have the following long-term impacts on U.S.

manufacturers, upstream and downstream supply chains, nonprofit and community-based organizations, and the public at large:

• Build a resilient domestic solar supply chain to enhance energy security.

• Support entrepreneurs and the investment ecosystem across the country.

• Create U.S. jobs.

• Increase workforce diversity.

• Reduce costs of solar and solar-plus-storage systems.

• Improve functionality of solar and solar-plus-storage systems.

• Expand emerging solar market segments and product offerings.

D. Teaming Partner List DOE is compiling a Teaming Partner List to facilitate the formation of project teams for this NOFO. 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 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 eXCHANGE homepage22 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.

21 DOE Office of Manufacturing and Energy Supply Chains. “Foreign Entity of Concern Interpretive Guidance.”

www.energy.gov/mesc/foreign-entity-concern-interpretive-guidance.

22 DOE. “EERE eXCHANGE: Teaming Partners.” eere-exchange.energy.gov/TeamingPartners.aspx.

http://www.energy.gov/mesc/foreign-entity-concern-interpretive-guidance https://eere-exchange.energy.gov/TeamingPartners.aspx

Version 1.0 Page 23 of 52

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.

Private, for-profit manufacturing entities—the target applicants for this NOFO—would benefit greatly from developing strong partnerships within this ecosystem. As such, applicants are strongly encouraged to form teams for projects under this NOFO. Applicants are encouraged to partner with academia, national laboratories, other industry members, supply chain partners, equipment developers, and institutions representing a diversity of individuals, such as Tribal communities, minority-serving institutions,23 minority business enterprises, minority-owned businesses, woman-owned businesses, veteran-owned businesses, or entities located in underserved communities. Applicants are particularly encouraged to partner with a diverse set of organizations for demonstration and field-testing activities.

E. Topic Areas

3. Topic Area 1: Crystalline Silicon Modules

This topic area seeks to conduct early-stage pilot-scale testing and demonstration of innovative processes or products that can substantively increase domestic manufacturing in all segments of the c-Si module supply chain. One to four awards of $1 million to $4 million each are anticipated for this topic area. In this NOFO, the segments of the supply chain are defined as:

• Metallurgical-grade silicon24

• Polysilicon25

• Silicon wafers26

• Silicon solar cells27

• Module assembly28

23 “Minority-serving institution” is defined in 7 CFR § 3430.302 (www.ecfr.gov/current/title-7/subtitle-B/chapter- XXXIV/part-3430/subpart-G/section-3430.302).

24 Exceeding 98% purity by mass, also known as silicon metal.

25 Exceeding 8-nines purity, meaning less than 5 x 1014 electrically active impurities per cm3.

26 Single-crystal growth, cropping, and slicing. Only wafers with a bulk carrier lifetime over 1 millisecond are of interest.

27 Only solar cells having a rated efficiency over 23% are of interest.

28 Key input materials are solar glass, frames, encapsulants, backsheets, interconnection wiring, and junction boxes.

https://www.ecfr.gov/current/title-7/subtitle-B/chapter-XXXIV/part-3430/subpart-G/section-3430.302 http://www.ecfr.gov/current/title-7/subtitle-B/chapter-XXXIV/part-3430/subpart-G/section-3430.302 http://www.ecfr.gov/current/title-7/subtitle-B/chapter-XXXIV/part-3430/subpart-G/section-3430.302

Version 1.0 Page 24 of 52

SETO provides ongoing support for R&D efforts that focus on innovative ways to reduce costs, increase efficiency, and reduce the environmental impact of c-Si solar cells and modules. 29 Crystalline silicon PV is a mature technology with highly optimized manufacturing processes. Silicon solar cells offer excellent performance and have proven reliability with module lifespans exceeding 25 years.

Crystalline silicon PV modules rely on several manufacturing steps to process the raw feedstock materials into finished products.30 First, polycrystalline silicon, or polysilicon, is manufactured using methods that often rely on highly reactive gases, synthesized primarily using metallurgical-grade silicon (obtained from quartz), hydrogen, and chlorine. The polysilicon is melted, and an ingot of monocrystalline silicon is formed as the molten material cools and solidifies. The ingot is sliced into very thin wafers. The silicon sawdust is called kerf, and methods of producing wafers without creating kerf (kerfless wafer production) would eliminate waste in the manufacturing process. The silicon wafers are then fabricated into PV cells using processes that are like those used to manufacture semiconductor computer chips. Finally, the PV cells are assembled into a module by connecting the cells together electrically, sealing them in a waterproof stack of materials, and typically adding a metal frame.

Beyond manufacturing of the stated product, each segment also includes the manufacturing equipment used in that segment, input materials for that segment (in addition to the product of the preceding segment), process-control and characterization tools, and consumables used.

As explored in detail in DOE’s Solar Photovoltaics Supply Chain Review,10 the domestic c-Si solar manufacturing sector is composed primarily of established polysilicon production facilities, and some module assembly plants relying heavily on imported components, with neither sector of sufficient scope to meet U.S. demand. The United States currently lacks sufficient wafer and cell capacity in the silicon PV module supply chain to meet domestic deployment needs, and most of the manufacturing equipment, input materials, and consumables used throughout the supply chain are not produced domestically. Growth in these areas will help drive an increase in domestic manufacturing jobs.

Areas of Interest for Topic Area 1 (R&D)

•…