FundOpp_DE-FOA-0002934_Amd_000001.pdf

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FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

Department of Energy (DOE) Office of Electricity (OE)

UNDERSERVED AND INDIGENOUS COMMUNITY

MICROGRIDS (UICM)

Funding Opportunity Announcement (FOA) Number: DE-FOA-0002934 FOA Type: Amendment 000001

Assistance Listing Number: 81.122 Electricity Research, Development and Analysis

FOA Issue Date: 7/18/2023 FOA Amendment 000001 Issue Date: 09/11/2023 Submission Deadline for Full Applications: 10/16/2023 11:59 PM ET

Expected Date for Selection Notifications: January 2024 Expected Date for Award: May 2024

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Registration Requirements

There are several one-time actions that must be completed before submitting an application in response to this Funding Opportunity Announcement (FOA) (e.g., register with the System for Award Management (SAM), obtain a Unique Entity Identifier (UEI) number, register with Grants.gov, and register with FedConnect.net to submit questions). It is vital that applicants address these items as soon as possible. Some may take several weeks, and failure to complete them could interfere with an applicant’s ability to apply to this FOA.

➢ SAM Applicants must register with SAM at https://www.sam.gov/ prior to submitting an application in response to this FOA (unless the applicant is exempt from those requirements under 2 CFR 25.110). Designating an Electronic Business Point of Contact (EBiz POC) and obtaining a special password called an MPIN are important steps in SAM registration. Failure to register with SAM will prevent your organization from applying through Grants.gov. The applicant must maintain an active SAM registration with current information at all times during which it has an active Federal award or application under consideration. More information about SAM registration for applicants is found at:

https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105 465eaccac4bcbcb.

NOTE: If clicking the SAM links do not work, please copy and paste the link into your browser.

Due to the high demand of SAM registrations and UEI requests, entity legal business name and address validations are taking longer than expected to process. Entities should start the SAM and UEI registration process as soon as possible. If entities have technical difficulties with the SAM registration or UEI validation process they should utilize the HELP feature on SAM.gov. SAM.gov will work entity 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.

➢ UEI Applicants must obtain an UEI from the SAM to uniquely identify the entity. The UEI is available in the SAM entity registration record.

NOTE: Subawardees/subrecipients at all tiers must also obtain an UEI from the SAM and provide the UEI to the Prime Recipient before the subaward can be issued.

https://www.sam.gov/ https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105465eaccac4bcbcb https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105465eaccac4bcbcb https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1

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➢ Grants.gov - Applicants must register with Grants.gov and set up your WorkSpace. You cannot submit an application through Grants.gov unless you are registered. Please read the registration requirements carefully and start the process immediately.

1) The Authorized Organizational Representative (AOR) must register at:

https://apply07.grants.gov/apply/OrcRegister

2) An email is sent to the E-Business (E-Biz) POC listed in SAM. The E-Biz POC must approve the AOR registration using their MPIN from their SAM registration.

More information about the registration steps for Grants.gov is provided at:

https://www.grants.gov/web/grants/applicants/registration.html

In addition:

o Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all of your grant applications. To add an organizational profile to your Grants.gov account, enter the UEI for the organization in the UEI field while adding a profile.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/registration/add-profile.html o EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant's request for Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

NOTE: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize people who are able to make legally binding commitments on behalf of the organization as a user with the AOR role;

this step is often missed and it is crucial for valid and timely submissions.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html

To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/registration/track-role-status.html https://apply07.grants.gov/apply/OrcRegister https://www.grants.gov/web/grants/applicants/registration.html https://www.grants.gov/web/grants/applicants/registration/add-profile.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html

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Questions relating to the registration process, system requirements, or how an application form works must be directed to Grants.gov at 1-800-518-4726 or support@grants.gov.

➢ FedConnect.net - Applicants must register with FedConnect to submit questions.

FedConnect website: www.fedconnect.net.

See Section IV for Application and Submission Information (including how to create a WorkSpace).

mailto:support@grants.gov http://www.fedconnect.net/

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AMENDMENTS

All changes to the Funding Opportunity Announcement as a result of this amendment are shown in highlighted text.

Amendment No. Date Description of Amendment 000001 09/11/2023 Amendment 000001 was issued to revise the following:

The purpose of this amendment is to grant an extension of the application submission deadline. Applications must now be submitted by 11:59 pm on October 16, 2023.

All changes are highlighted in yellow.

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Table of Contents

I. Funding Opportunity Description

A. Authorizing Statutes B. Background/Description

i. Background and Purpose

ii. Research and Development Community Benefits Plan (April 2023)

C. Objectives/Areas of Interest D. Teaming Arrangements E. Applications Specifically Not of Interest

II. Award Information

A. Type of Application B. Type of Award Instrument C. Award Overview

i. Estimated Funding, Number of Awards, and Anticipated Award Size

ii. Estimated Project Period of Performance Area of Interest

III. Eligibility Information

A. General B. Eligible Applicants C. Cost Sharing

i. Cost Share Requirements

ii. Legal Responsibility

iii. Cost Share Allocation

iv. Cost Share Types and Allowability

v. Cost Share Verification

vi. Cost Share Contributions by FFRDCs

D. Compliance Criteria E. Responsiveness Criteria F. Number of Submittals Eligible for Review G. Questions Regarding Eligibility

IV. Application and Submission Information

A. Form and Content Requirements B. Full Applications

i. Application Package

ii. Content and Form of Full Application

iii. SF-424: Application for Federal Assistance

iv. Project/Performance Site Location(s)

v. Other Attachments Form

vi. Project Narrative File – Mandatory Other Attachment

vii. Summary for Public Release File

viii. Project Management Plan

ix. Resume File (April 2023)

x. SF 424A Budget Information – Non-Construction Programs (SF424) File

xi. Budget Justification File

xii. Subaward Budget Justification (if applicable)

xiii. Budget for DOE/NNSA FFRDC/NLs or non-DOE/NNSA FFRDC/NLs, (if applicable)

xiv. Authorization for DOE/NNSA FFRDC/NLs or non-DOE/NNSA FFRDCs/NLs (if applicable)

xv. Environmental Questionnaire

xvi. Cost Share Commitment Letters (if applicable)

xvii. SF-LLL: Disclosure of Lobbying Activities (if applicable)

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xviii. Waiver Requests (if applicable)

xix. Data Management Plan

xx. R&D Community Benefits Plan (April 2023)

xxi. Current and Pending Support

xxii. Transparency of Foreign Connections

xxiii. Potentially Duplicative Funding Notice xxiv.U.S. Competitiveness

xxv. Cybersecurity Plan** xxvi.Interoperability Plan**

C. Post Selection Information Requests D. Submission Dates and Times E. Intergovernmental Review F. Other Submission and Registration Requirements

i. Registration Process

ii. Where to Submit

iii. Full Application Proof of Timely Submissions

iv. Electronic Authorization of Applications and Award Documents

G. Funding Restrictions

V. Application Review Information

A. Review Criteria

i. Compliance/Responsiveness Review

ii. Full Application Merit Review Criteria

B. Other Selection Factors

i. Program Policy Factors

C. Other Review Requirements

i. Reporting Matters Related to Recipient Integrity and Performance

D. Review and Selection Process

i. Merit Review

ii. Selection

iii. Discussions and Award

VI. Award Administration Information

A. Notices

i. Ineligible Submissions

ii. Full Application Notifications

B. Administrative and National Policy Requirements

i. Award Administrative Requirements

ii. Unique Entity Identifier Requirements and System for Award Management

iii. Uniform Commercial Code (UCC) Financing Statements

iv. Foreign National Participation (April 2023)

v. Export Control

vi. Statement of Federal Stewardship

vii. Statement of Substantial Involvement

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

ix. Conference Spending

x. Indemnity

xi. Go/No-Go Review

xii. Interim Conflict of Interest Policy for Financial Assistance

xiii. Participants and Collaborating Organizations

xiv. Current and Pending Support

xv. Fraud, Waste and Abuse

xvi. Human Subjects Research

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xvii. Flood Resilience

xviii. Real Property and Equipment

C. Reporting

i. Reporting Requirements

ii. Subaward and Executive Reporting

D. Applicant Representations and Certifications

i. Lobbying Restrictions

ii. Nondisclosure and Confidentiality Agreements Representations

iii. Corporate Felony Convictions and Tax Liabilities Representations (March 2014)

VII. Questions/Agency Contacts

A. Questions B. Agency Contact

VIII. Other Information

A. 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. Intellectual Property Developed Under This Program (September 2021) G. Program Covered Under Special Protected Data Statute (December 2014) H. Notice Regarding Eligible/Ineligible Activities I. Notice of Right to Conduct a Review of Financial Capability J. Notice of Potential Disclosure Under Freedom of Information Act (FOIA) K. Requirement for Full and Complete Disclosure L. Retention of Submissions M. Protected Personally Identifiable Information N. Annual Compliance Audits O. Accounting System P. Indirect Rates

Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment Q. 90 R. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs S. Affirmative Action and Pay Transparency Requirements T. Foreign Collaboration Considerations U. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty (November 2020)93

IX. Appendices

Appendix A – Cost Share Information

Appendix B – Waiver Requests: Foreign Entity Participation and Performance of Work in the United States

Appendix C – Required Use of American Iron, Steel, Manufactured Products, and Construction Materials - Buy America Requirements for Infrastructure Projects

Appendix D – Statement of Project Objectives Template

Appendix E – Project Management Plan Template

Appendix F – Data Management Plan

Appendix G – Cybersecurity Plan (not required with application)

Appendix H – Interoperability Plan (not required with application)

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Appendix I – Community Benefits Plan Guidance

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I. Funding Opportunity Description

A. Authorizing Statutes

• Public Law (PL) 95-91, DOE Organization Act, as codified in 42 U.S.C. 7101 et seq.

• Public Law 116-260, Energy Act of 2020 (Division Z of the “Consolidated

Appropriations Act, 2021’’) - PUBL260A.PS (congress.gov)

Awards made under this announcement will fall under the purview of 2 Code of Federal Regulations (CFR) Part 200 as amended by 2 CFR Part 910.

B. Background/Description

i. Background and Purpose

This FOA will support multi-year research, development and demonstration (RD&D) of tools and technologies to enhance the reliability and resilience of the nation’s energy infrastructure. Moreover, this Announcement is in pursuit of the Fiscal Year (FY) 2022 and 2023 (FY22 and FY23 respectively) Congressional Appropriations which stipulate “coordinated research and development of microgrid-related technologies, with a focus on underserved and Indigenous communities. The research shall focus on development and deployment/demonstration of advanced microgrid-enabling technologies, including renewable generation and storage systems, multi-nodal small-scale high-voltage direct current, advanced demand-side management strategies, and microgrid control systems. The research will aim to provide replicable microgrid solutions to address the broad array of challenges facing underserved and Indigenous communities in remote and islanded regions throughout the United States.”

In response to the Appropriations language, the United States (U.S.)

Department of Energy (DOE) – National Energy Technology Laboratory (NETL), on behalf of the DOE Office of Electricity (OE) Microgrid Research and Development (Microgrid R&D) Program, is seeking applications aimed at developing and implementing replicable microgrid solutions for underserved and Indigenous communities in remote, rural and islanded regions throughout the U.S. Moreover, this FOA presents an unprecedented opportunity for impactful and wide-ranging expansion of microgrids in rural, remote, and islanded communities. Benefits include resiliency, aggregation of DERs, voltage and frequency regulation, and deferral of capital upgrades. However, large-scale deployments of microgrids in these communities have faced various barriers, such as interoperability and controllability of legacy electrical

DE-FOA-0002934, 000001 Page 11 of 142 devices; protection coordination of the utility grid, neighboring microgrids and internal distributed energy resources; a lack of technical staff (especially local expertise); and supply chain challenges for key components. All three areas of interest in this FOA are intended to help address these barriers at the regional and local level; technical expertise from the local communities should be utilized and included in the proposed team, to the extent practical.

The microgrid solutions sought are in three areas of interest (AOI) as further defined in Section C. AOI-1 seeks development of modular microgrid systems with standardized functionalities, which have broad replicability for remote and islanded communities and will significantly reduce microgrid costs and project times. AOI-2 seeks development of multi-port medium voltage direct current (MVDC) converters, an enabling technology solution to connect clean energy resources and microgrids in two or more communities, which will enable sharing energy resources and loads for optimized performance to maximize their overall value, beyond the sum of what the individual systems can deliver. Recognizing that skilled human resources are required to develop, deploy, and operate new microgrid solutions, AOI-3 seeks establishment of regional initiatives that focus on human and technical capacity building in underserved and Indigenous communities. Each microgrid system under this FOA should range from 100 kilowatts (kW) to 10 megawatts (MW) of aggregated generation capacity, and support reaching the DOE targets as defined in Section C.

In the context of this FOA, a community is defined as a group of individuals, households, and businesses in geographic proximity to one another. This opportunity is focused on underserved and Indigenous communities in remote, rural and islanded regions throughout the U.S. including tribal nations and territories. For purposes of this FOA “underserved communities” refers to low-income, energy-burdened communities that, at a minimum, meet the criteria below:

• 30% of the community population is classified as low income1; AND

• High or severe energy burden2 (median spending of household income on energy bills ≥6%).

Indigenous communities include, but are not limited to, communities of Tribal Nations, Native Americans, Alaska Natives, and Native Hawaiians. Prospective

1 The “low income” criteria will be based on information/data developed for the DOE Communities LEAP (Local Energy Action Program) Pilot (Datasets for DOE 2021 Communities LEAP Pilot - Submissions - EDX

2 Energy burden is defined as the percentage of gross household income spent on energy costs.

Information about community energy burden can be found at Low-Income Energy Affordability Data (LEAD) Tool | Department of Energy https://edx.netl.doe.gov/dataset/datasets-for-doe-2021-communities-leap-pilot https://edx.netl.doe.gov/dataset/datasets-for-doe-2021-communities-leap-pilot https://www.energy.gov/eere/slsc/low-income-energy-affordability-data-lead-tool https://www.energy.gov/eere/slsc/low-income-energy-affordability-data-lead-tool

DE-FOA-0002934, 000001 Page 12 of 142 applicants responding to this FOA will need to describe how the participating community/communities meet the eligibility criteria even if these data may not specifically show that they are eligible.

The term “microgrid” is defined, under this FOA, as a group of interconnected loads and distributed energy resources (DERs) within clearly defined electrical boundaries that acts as a single controllable entity with respect to the grid. A microgrid can operate autonomously when disconnected from the grid or when there is no grid to connect to, as is the case in some rural and remote communities. When connected and operated with the grid, a microgrid can provide grid ancillary services.

ii. Research and Development Community Benefits Plan (April 2023)

DOE is committed to investing in research and development (R&D) innovations that deliver benefits to the American public and leads to commercialization of technologies and products that foster sustainable, resilient, and equitable access to clean energy. Further, DOE is committed to supporting the development of more diverse, equitable, inclusive, and accessible workplaces to help maintain the nation’s leadership in science and technology.

To support the goal of building a clean and equitable energy economy, projects funded under this Funding Opportunity Announcement are expected to (1) advance diversity, equity, inclusion, and accessibility (DEIA);

(2) contribute to energy equality; and (3) invest in America’s workforce. To ensure these objectives are met, applications must include a R&D Community Benefits Plan (R&D Community Benefits Plan) that addresses the three objectives stated above. See Section IV, “Application and Submission Information, R&D Community Benefits Plan” and the “R&D Community Benefits Plan” Appendix for more information on the R&D Community Benefits Plan content requirements.

C. Objectives/Areas of Interest

The DOE OE Microgrid R&D Program vision is to facilitate the nation’s transition to (1) a more resilient and reliable electricity delivery system (EDS), and (2) more decarbonized electricity infrastructure. The Program vision also encourages development/deployment of microgrids that are lower in cost, have shorter implementation times, and support an equitable energy transition through prioritized provision of at least 40% of microgrid benefits going to disadvantaged communities

DE-FOA-0002934, 000001 Page 13 of 142 in a secure manner. The objectives of this FOA are to have the awarded projects support the three main goals of the Program as shown below:

Goal 1: Promote microgrids as a core solution for increasing the resilience and reliability of the EDS, supporting critical infrastructure and reducing social burdens during “blue-” and “black-sky” events.

Goal 2: Ensure that microgrids serve as a driver of decarbonization for the U.S. EDS by acting as a point of aggregation for a larger number of distributed energy resources (DERs), with 50% of new installed DER capacity within microgrids coming from carbon-free energy sources by 2030.

Goal 3: Decrease microgrid capital costs by 15% by 2031, while reducing project development, construction and commissioning times by 20%.

Further, this FOA supports Executive Order (E.O.) 14008 to achieve or facilitate a carbon pollution-free electricity sector no later than 2035, by having microgrids serve as an effective platform for aggregation and integration of renewable energy and energy storage to meet the E.O.’s decarbonization goal. In addition, the FOA supports the Justice40 Initiative, created under the E.O., by making Federal investments to benefit disadvantaged communities, which will help the Microgrid R&D Program exceed the 40-percent goal of all Program investments towards disadvantaged communities.

As previously stated, applications sought under this FOA are in three Areas of Interest as further defined in the following sub-paragraphs.

Area of Interest 1 (AOI-1) titled Modular Microgrid Systems with Standardized Control/Communication Functionalities for a Range of System Sizes and Renewable Contributions

Research Sought: Remote and electrically islanded microgrids have diverse load capacity and types that can range from a few hundred kilowatts (kWs) to multiple megawatts (MWs). These systems currently rely on fossil fuels for electricity generation, building energy use (such as heating, lighting, etc.), and transportation.

These fuels are imported over long distances at high cost, resulting in a large majority of residents living in energy poverty and energy insecurity. Remote and electrically isolated communities often experience extremely high and volatile energy prices, several times the national average. Transitioning to more sustainable energy sources, such as solar photovoltaic (PV), small wind, marine and hydrokinetic (MHK) technology, and energy storage, is being pursued as a key strategy to lower costs.

However, integration of these DERs into remote microgrids is hampered by the lack of standardized technology, designs, and development approaches, and widely different and proprietary control systems. This results in high development, DE-FOA-0002934, 000001 Page 14 of 142 construction, and operational costs, which diminishes the value from energy transitioning and limits the potential for broad deployment of microgrids integrated with DERs in remote, rural and islanded communities.

Modular microgrid systems are needed, which will lower design, engineering, construction, and operational costs. While modularity has proven successful for smaller remote power systems (PV home or small, DC-based minigrid systems), it is not yet proven that modular concepts can be applied across the range of microgrid system sizes, renewable contributions, and manufacturers.

The designs of renewable-based microgrids are also changing rapidly, starting from relatively simple configurations that incorporate low contributions of variable power, now to high variable renewable contribution systems with active electric and thermal load control, short-term electrical storage, and multiple sources of energy generation.

The deployment of renewable technology in remote areas is also a driver of costs, with each project requiring detailed engineering and infrastructure development.

While the technology to operate microgrid systems with varying levels of renewable contribution has largely been demonstrated, it is typically developed and deployed in single projects with limited direct replicability. To lower costs while providing replicable microgrid solutions, further R&D is needed to understand and implement modularity concepts.

Technical Elements that Must be Included in Applications: AOI-1 seeks applications that (at a minimum) include the following activities/elements:

• Assess and categorize microgrid system configurations for replicable applications in remote and electrically islanded regions—each configuration characterized with a defined percentage range of renewable contributions AND the types and size ranges of renewables, energy storage, and non-renewables.

• Include stakeholder engagement component that considers the needs of the community in designs. This should include plans for how the field demonstration and associated equipment will benefit the specific community where it will be deployed over the lifetime of the assets.

• Where possible, technical expertise from the local communities should be utilized and included in the proposed team. The application should ensure that the technical expertise (for use and maintenance of the technology) is developed in the community.

• Develop modular microgrid technology solutions with standardized control/communication and plug-and-play functionalities for one or more system configurations, based on current engineering, deployment, and operational procedures. These designs should consider that communities can have different peak load conditions, and different energy resource availability.

• Conduct hardware-in-the-loop (HIL) validation testing of modular microgrid solutions with standardized control/communication functionalities for the system

DE-FOA-0002934, 000001 Page 15 of 142 configuration(s). Each application must describe how system protection and performance metrics such as reliability, resilience, and sustainability, will be achieved via validation testing.

• Conduct field demonstration of modular microgrid technology solutions at a remote and electrically islanded site where underserved and Indigenous communities reside.

• Identify other sites for replicating the demonstrated, modular microgrid technology solutions with details that clearly support the replication potential.

Each application must identify and standardize control requirements for the microgrid system configurations that will be developed. All applications should also identify common size ratios for different components, such as the size of electrical storage, relative to resource type and renewable contribution. This will lead to further standardization of component sizing, and a clear articulation of both communication requirements (speed, type, security) and key commands (start/stop, power level, response time) that can be used in generic or proprietary controllers.

Area of Interest 2 (AOI-2) titled Multi-port Medium Voltage DC (MVDC) Converter R&D for Integration of Microgrids and Clean Energy

Research Sought: Microgrids and DERs are becoming increasingly integrated in conventional alternating current (AC) distribution networks when they are sited in the vicinity of the grid infrastructure. However, in remote communities, energy resources can be distant and a backbone AC infrastructure in most cases is lacking. In such instances, integrating distantly located microgrids/DERs through Medium Voltage Direct Current (MVDC) is emerging as a new and efficient way to increase clean energy integration while boosting resilience and keeping interconnection costs low.

Microgrid resiliency and stability can be further enhanced if there is flexibility of operating it in coherence with other microgrids/distribution networks. Thus, the ability to connect a variety of microgrids in diverse permutations and combinations can contribute significantly to improved distribution system reliability. Many DERs generate DC power, and many advanced loads such as electric vehicles consume power in DC form. Consequently, there is renewed interest in DC technology that offers an innovative alternative to integrate renewables and distributed power. This gives rise to multiple hybrid power distribution system architectures consisting of AC microgrids, DC microgrids, and hybrid microgrids with MVDC distribution technology to connect these microgrids. MVDC distribution technology essentially relies on power electronics-based converters to integrate renewables and microgrids.

Novel multi-port converters with modular topologies that can enable seamless integration of DERs into MVDC systems for remote, rural, and islanded communities are needed. These multi-port converters will enable plug-and-play integration of DERs over long distances from communities to provide clean energy with high

DE-FOA-0002934, 000001 Page 16 of 142 stability, reliability, and resilience. Integrating diverse renewable technologies and sharing power with different communities can be achieved by connecting community microgrids. Technologies like MVDC can be crucial in flexibly connecting diverse communities, enhancing their resiliency and controllability. MVDC can allow loose coupling between communities with relative ease of integration and low overhead communication and controls. Several load applications, including fish processing, refineries, tourism, remote marine loads, etc. can benefit from such interconnections to boost economic development and job creation.

Technical Elements that Must be Included in Applications: AOI-2 seeks development of novel, multi-port MVDC converters to seamlessly connect DERs and microgrids for applications in remote, rural and islanded regions. Standard, modular MVDC design configurations and topologies are sought to enable DC interconnections of Inverter- Based Resources (IBRs) such as solar photovoltaic (PV), small wind, hydropower, Marine Hydrokinetic (MHK), and energy storage located within a few tens of miles from communities in a cost-effective manner. This includes the development of use cases, reference systems, and scenarios considering peculiarities of remote and islanded system conditions, as well as a cost comparison of MVDC versus typical AC technologies for connecting remote communities/microgrids.

R&D proposed for AOI-2 should build on previous work relating to MVDC networks.

For example, researchers successfully developed and demonstrated MVDC-integrated power systems and controls for the All-Electric Ship (AES) through advanced real-time simulations and hardware prototyping. Distributed adaptive control architecture was used for control operations in zone disaggregated MVDC ship power systems (“zonal approach”). Leveraging past work from AES and other related fields, algorithms for power-sharing in the MVDC network among DERs need to be developed, especially for geographically distributed systems. The approaches should enable the integration of a wide variety of DERs without increasing the complexity of interconnection. The algorithms to be developed must enable power sharing among zones (isolated community microgrids), leading to more reliable interconnected power system operations.

To enable integration of the microgrids with the utility’s distribution network via an MVDC connection, a line protection scheme for multi-terminal flexible MVDC distribution systems should be evaluated. Algorithms should be able to isolate faults by coordinating existing protection schemes with DC circuit breakers. Initially, the architecture of the DC distribution system needs to be evaluated to provide a baseline. Subsequently, fast-operating main protection needs to be designed for line-to-line faults and line-to-ground faults with low fault resistance. Quantifying reliability of the underground cable, detection of fault location, and repair times, under all seasonal scenarios are all important.

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Hardware-in-the-loop (HIL) evaluation of the MVDC design configurations and topologies in a high-fidelity environment should be performed for rapid prototyping of MVDC controls while validating under realistic operating conditions. Validation for coordination controls should evaluate what-if scenarios (harsh operating conditions/environment, extreme events, remote installed locations and servicing, fault-tolerance, reconfigurability, blackouts in islanded remote microgrids) to de-risk deployment in remote locations. Performance assessment through HIL simulations must help in quantification and evaluation of reliability, maintainability, scalability for MVDC solutions in a real-world environment.

Verification and validation of deployable solutions should be conducted by performing an at-scale assessment of the proposed MVDC solution along with multiple, potential DER applications. Working with communities to demonstrate these potential solutions to integrate microgrids and clean energy with existing remote energy systems for increased stability, resilience, and reliability is the desired outcome. Each application should include a description of the target communities for a field demonstration of the technology. Applications should describe the benefit(s) that the developed solution (if deployed) will provide to the community over the lifetime of the assets.

Area of Interest 3 (AOI-3) titled Regional Initiatives to Support Microgrid Deployments within Underserved and Indigenous Communities

Research Sought: Numerous projects have helped propel development of energy technology solutions, including microgrids, for remote and electrically islanded communities. However, these solutions have often been developed and deployed as part of single demonstration projects with limited direct replicability. Both resources and efforts are lacking in adapting new microgrid solutions to address local needs for underserved and Indigenous communities, and supporting full lifecycle development through operations and maintenance to ensure they operate more reliably than existing technologies with a substantially lower lifecycle cost. A significant challenge faced by remote communities is the lack of skilled human resources to develop and sustain new microgrid solutions.

Underserved and Indigenous communities in remote, rural and islanded regions may be ill-equipped to deal with the complex questions and challenges around energy transitioning. These communities may need support to help them significantly improve their human and technical capacity and capabilities in utilizing new energy systems like microgrids, ranging from clear processes for decision making in planning and design to management practices for harsh deployment and operating conditions, along with the operating and maintenance expertise. Deployment of microgrids at scale in these communities requires human and technical capacity building that encompasses all aspects of microgrid development, broader regional partnerships to

DE-FOA-0002934, 000001 Page 18 of 142 share information and best practices, and access to outside experts with knowledge of microgrid energy systems.

Technical Elements that Must be Included in Applications: AOI-3 seeks applications to establish regional, two-year pilot initiatives that focus on new technical assistance services and resources to help underserved and Indigenous communities in remote, rural and islanded regions build local expertise on adoption of microgrid energy systems as an effective pathway for energy transitions. Each initiative will involve at least five (5) communities that are co-located in a geographic, remote and/or rural region and are electrically islanded. Each community involved must commit to considering microgrid energy systems as a pathway to energy transition efforts.

Each initiative should focus on developing/enhancing human and technical capacity in the local communities involved, through activities including awareness, education, training, energy advocacy training, workshops, apprentice programs, entrepreneurship development, etc. The regional initiatives should leverage and build on existing federal, state, and local programs in technical assistance and workforce development for energy transition efforts.

More specifically, each application should provide details on how the activities listed above will be carried out, supported by descriptions of the resources, capabilities, and experience the applicant team has and/or can leverage. Information on how the plan will help support local jobs, economic development, and educational opportunities should be described. Each application should also include descriptions of the applicant team’s access to experts with knowledge of microgrid energy systems.

Each application must identify all communities under the regional initiatives and which communities to focus on, the reason for selecting them, the degree of involvement by the communities in the application development process, and the plans for additional community outreach. Further, each application should include how best practices and the information gained will be shared, not just among the communities involved in the proposed Initiative, but with other regional initiatives and other underserved and Indigenous communities

D. Teaming Arrangements

DOE encourages that community multi-stakeholder project teams will be organized to participate in this FOA. As such, applicants must identify a single recipient and further the team should, at a minimum:

1. Include at least one community-based organization with a demonstrated track record of working with community stakeholders.

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2. Include a local, tribal, territorial, regional, or state government entity serving the community.

3. Include a local electric utility serving the community.

4. Include at least one microgrid technology product provider (manufacturers, vendors, and commercialization entities).

5. Include at least one microgrid technology developer (universities, national laboratories, and other research institutions).

Applications that involve two or more communities must include the respective entities listed in items 1-3 above for all involved communities. These community entities must have substantive participation in the project including, but not limited to, project reviews, project advisory committee, support or commitment to documenting and sharing best practices and lessons learned, support or commitment to implementing, operating, and/or replicating microgrid (technology) solutions validated from the FOA project.

E. Applications Specifically Not of Interest

Applications that do not satisfy criteria specified in Section III, Eligibility Information, Part E, Responsiveness Criteria will be deemed nonresponsive and will not be reviewed or considered. Similarly, submissions will not be reviewed or considered that fall outside the technical parameters specified in Section I, “Funding Opportunity Description; Objectives/Areas of Interest” of the FOA. Examples of these parameters include, but are not limited to:

• Submissions proposing to use custom microgrid solutions, with one-off applications and limited replication potential.

• Submissions that do not show active community engagement.

• Submissions that would create, rather than remove, data silos among stakeholder groups.

• Submissions that would not agree to share best practices and lessons learned with other underserved and Indigenous communities or other regional initiatives.

• Projects that only focus on the resilience of already highly resilient communities due to proximity to critical infrastructure or high-priority customers.

• Submissions for proposed technologies that are not based on sound scientific principles (e.g., violates the laws of thermodynamics).

• Submissions for basic research aimed solely at discovery and/or fundamental knowledge generation.

• Submissions for large-scale demonstration projects of existing technologies.

• Submissions that describe a technology but do not propose an R&D plan that allows DOE to evaluate the submission under the applicable merit review

DE-FOA-0002934, 000001 Page 20 of 142 criteria provided in Section V, “Application Review Information; Review Criteria” of the FOA.

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II. Award Information

A. Type of Application

DOE will accept only new applications under this announcement.

B. Type of Award Instrument

DOE anticipates awarding cooperative agreements under this funding opportunity announcement (See Section VI, “Award Administration Information; Statement of Substantial Involvement”).

C. Award Overview

i. Estimated Funding, Number of Awards, and Anticipated Award Size

DOE expects to make Federal funding available for new awards under this FOA as follows:

Area of Interest

Estimated Federal Funding

Anticipated No.

of Awards

Maximum DOE Funding per Award

1 $8,700,000 5-6 $1,450,000 2 $2,000,000 1 $2,000,000 3 $4,000,000 4-5 $800,000

Total $14,700,000 10-12

DOE may issue awards in one, multiple or none of the areas of interests.

APPLICATIONS WHICH EXCEED THE “MAXIMUM DOE SHARE OF AWARD”

SPECIFIED ABOVE WILL BE CONSIDERED NONCOMPLIANT (SEE SECTION III,

“ELIGIBILITY INFORMATION; COMPLIANCE CRITERIA”). DOE WILL NOT

REVIEW OR CONSIDER NONCOMPLIANT APPLICATIONS.

DOE 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. Funding for all awards and future budget periods are contingent upon the availability of funds appropriated by Congress for the purpose of this program and the availability of future-year budget authority.

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Project continuation will be contingent upon satisfactory performance and go/no-go decision review. At the go/no-go decision points, DOE will evaluate project performance, project schedule adherence, meeting milestone objectives, compliance with reporting requirements, and overall contribution to the program goals and objectives. As a result of this evaluation, DOE will make a determination to continue the project, re-direct the project, or discontinue funding the project.

ii. Estimated Project Period of Performance Area of Interest

The anticipated project period of performance for projects under each Area of Interest in this announcement is 24 months. Applicants are expected to prepare a work plan and corresponding budget breakdown consisting of two 12-month increments with a logical decision point (Go/No-Go decision) at the end of month 12 for DOE to evaluate whether the project should proceed.

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III. Eligibility Information

A. General

To be considered for substantive evaluation, an applicant‘s submission must meet the criteria set forth below. If the application does not meet these initial requirements, it will be considered non-responsive, removed from further evaluation, and ineligible for any award.

B. 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:

1. Institutions of higher education;

2. For-profit entities;

3. Non-profit entities; and

4. State and local governmental entities, and tribal nations.

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 prime recipient or subrecipient.

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 United States government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in Federal programs are not eligible.

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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 prime recipient or subrecipient. A foreign entity may submit a Full Application to this FOA, but the Full 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 Full Application for each proposed foreign subrecipient.

The ”Waiver Requests: Foreign Entity Participation and Performance of Work in the United States” in the Appendix 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.

iii. Federally Funded Research and Development Centers and National Laboratories

DOE/National Nuclear Security Administration (NNSA) Federally Funded Research and Development Centers (FFRDCs) and National Laboratories (NL) are eligible to apply for funding as a Prime Recipient or Subrecipient. Non- DOE/NNSA FFRDCs and National Laboratories are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

NETL is not eligible for award under this announcement and may not be proposed as a subrecipient on another entity’s application. An application that includes NETL as a prime recipient or subrecipient will be considered non-responsive.

Authorization. The cognizant contracting officer for the DOE/NNSA FFRDC/NL or the non-DOE/NNSA Federal agency sponsoring the FFRDC/NL contractor must authorize in writing the use of the FFRDC/NL on the proposed project and this authorization must be submitted with the application. The use of a FFRDC/NL must be consistent with its authority under its award and will not place the laboratory in direct competition with the domestic private sector.

The following wording is acceptable for this authorization:

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"Authorization is granted for the [Name] Laboratory to participate in the proposed project. The work proposed for the laboratory is consistent with or complimentary to the missions of the laboratory, will not adversely impact execution of the [DOE/NNSA/or FEDERAL AGENCY] assigned programs at the laboratory, and will not place the laboratory in direct competition with the domestic private sector."

Value/Funding. DOE will NOT fund DOE/NNSA FFRDCs participating as a subrecipient through the DOE field work authorization process. DOE will NOT fund non-DOE/NNSA FFRDCs through an interagency agreement with the sponsoring agency. Therefore, the prime recipient and FFRDC are responsible for entering into an appropriate subaward that will govern, among other things, the funding of the FFRDC portion of the work from the prime recipient under its DOE award. Such an agreement must be entered into before any project work begins.

Cost Share. The applicant should prepare the budgets utilizing rates appropriate for funding the FFRDCs through subawards. 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.

Responsibility. The applicant, if successful, 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 applicant and the FFRDC/NL.

C. Cost Sharing

i. Cost Share Requirements

The cost share must be at least 20% of the total allowable costs for research and development projects and 50% of the total allowable costs for demonstration and commercial application projects and must come from non-Federal sources unless otherwise allowed by law. The sum of the Government share, including FFRDC/NL costs if applicable, and the recipient share of allowable costs equals the total allowable cost of the project. (See 2 CFR part 200.306 as amended by 2 CFR part 910.130 for the applicable cost sharing requirements).

For this FOA, the Assistant Secretary for OE has issued a Cost Share Elimination Determination (Determination) pursuant to Section 988(b)(3) of the Energy Policy Act of 2005 that is applicable to certain entities applying under this FOA.

Additionally, the recently enacted “Creating Helpful Incentives to Produce

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Semiconductors (CHIPS) for America Fund” (CHIPS Act of 2022) (U.S.