FundOpp_DE-FOA-0002948_Amd_000002.pdf

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FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

Department of Energy (DOE)

Office of Electricity (OE)

Increasing Utilization and Reliability of Electric Infrastructure with Grid-enhancing technologies (GETs)

Funding Opportunity Announcement (FOA) Number: DE-FOA-0002948

FOA Type: Amendment 000002 Assistance Listing Number: 81.122

FOA Issue Date: 02/24/2023

Amendment 000001 Issue Date: 03/10/2023

Amendment 000002 Issue Date: 05/23/2023

Submission Deadline for Concept Papers: 3/16/2023/8:00 PM ET*

3/30/2023/8:00 PM ET*

Submission Deadline for Full Applications: 5/9/2023/8:00 PM ET*

5/23/2023/8:00 PM ET*

6/6/2023 /8:00 PM ET*

Expected Date for Concept Paper Notifications: 4/6/2023 4/20/2023

Expected Date for Selection Notifications: 7/13/2023 7/27/2023 9/22/2023

Expected Date for Award: 9/30/2023 10/16/2023 12/11/2023

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*Applicants who do not submit a concept paper cannot submit a Full Application.

AMENDMENTS

All changes to the Funding Opportunity Announcement as a result of Amendment 000002 are highlighted in yellow.

Amendment No.

Date Description of Amendment

000001 03/10/2023 Due dates are being updated on the cover page of the FOA.

Incorrect reference to Concept Pager Cover Page sample is removed in Section IV.B.i table.

Incorrect reference to Project Narrative Cover Page sample is removed in Section IV.C.vi table.

000002 05/23/2023 Due dates are being updated on the cover page of the FOA.

Added a table in Section IV of APPENDIX D – PROJECT MANAGEMENT PLAN TEMPLATE for SOPO task category and its cost sharing information.

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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. 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.

➢ 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.

➢ 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:

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://apply07.grants.gov/apply/OrcRegister https://www.grants.gov/web/grants/applicants/registration.html

DE-FOA-0002948 Page 5 of 127 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

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).

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

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Table of Contents

I. Funding Opportunity Description

A. Authorizing Statutes B. Background/Description

i. Background and Purpose

ii. Job Growth and Quality

iii. Diversity, Equity, Inclusion, and Accessibility

iv. Justice40 Initiative

C. Objectives/Topic Areas D. 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 Award Size

ii. Estimated Project Period of Performance

III. Eligibility Information

A. General B. Eligible Applicants

i. Individuals

ii. Domestic Entities

iii. Domestic Public Entities (excluding Federal entities)

iv. Federally Funded Research and Development Centers and National Laboratories

v. Federal Entities

vi. Foreign Entities

vii. Incorporated Consortia

viii. Unincorporated Consortia

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. Concept Papers

i. Content and Form Requirements for Concept Papers C. 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)

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v. Other Attachments Form

vi. Project Narrative File – Mandatory Other Attachment

vii. Project Summary for Public Release File viii.Project Management Plan

ix. Resume File

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) xviii.Waiver Requests: Foreign Entity Participation, Performance of Work in the United States, and

Domestic Content Procurement Preference for Buy American Requirement for Infrastructure Projects …………………………………………………………………………………………………………………………………………………..44 xix.Data Management Plan

xx. Diversity, Equity, Inclusion, and Accessibility Plan xxi.Current and Pending Support xxii.U.S. Competitiveness

D. Post Selection Information Requests E. Submission Dates and Times F. Intergovernmental Review G. 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

H. Funding Restrictions I. Pre-Award Costs J. Pre-Award Costs Related to National Environmental Policy Act (NEPA) Requirements K. Performance of Work in the United States L. Foreign Travel M. Equipment and Supplies N. Domestic Preference Standard Buy American Requirement O. Domestic Content Procurement Preference for Buy American Requirement for Infrastructure Projects ... 57

V. Application Review Information

A. Review Criteria

i. Compliance/Responsiveness Review

ii. Concept Paper Review

iii. Full Application Merit Review Criteria

B. Other Selection Factors

i. Program Policy Factors

C. Other Review Requirements

i. Risk Assessment

ii. 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

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A. Notices

i. Ineligible Submissions

ii. Concept Paper Notifications

iii. Full Application Notifications

B. Administrative and National Policy Requirements

i. Award Administrative Requirements

ii. System for Award Management and Unique Entity Identifier Requirements (November 2021)

iii. Uniform Commercial Code (UCC) Financing Statements

iv. Foreign National Participation (September 2021)

v. Export Control Responsibilities (September 2021)

vi. Statement of Substantial Involvement

vii. Statement of Federal Stewardship 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

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)

E. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment (October 2020) - ………………………………………………………………………………………………………………………………………………………………………80

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)

i. Title to Subject Inventions

ii. Government Rights in Subject Inventions

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

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P. Indirect Rates Q. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs R. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty (November 2020) ………………………………………………………………………………………………………………………………………………………………..92

IX. Appendices

Appendix A – Cost Share Information

Appendix B – Waiver Requests: Foreign Entity Participation as the Prime Recipient, Performance of Work in the United States, and Domestic Content Procurement Preference for Buy American Requirement for Infrastructure Projects

i. Waiver for Foreign Entity Participation as the Prime Recipient

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

iii. Waiver for Domestic Content Procurement Preference for Buy American Requirement for

Infrastructure Projects

Appendix C – Statement of Project Objectives Template

Appendix D – Project Management Plan Template

Appendix E – Cybersecurity Plan

APPENDIX F – Interoperability Plan

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I. Funding Opportunity Description

A. Authorizing Statutes

This Funding Opportunity Announcement (FOA) is issued in accordance with statutory authority provided by:

• Public Law (PL) 95-91, DOE Organization Act

• Energy Act of 2020 (Division Z of the “Consolidated Appropriations Act, 2021”)

• PL 109-58, Energy Policy Act 2005,

• PL 102-486, Energy Policy Act 1992, 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

Transferring a large amount of power from renewable energy resources such as wind and solar to load centers will require upgrades or expansion to the nation’s electric transmission infrastructure potentially across long distances and across balancing authorities. New transmission infrastructure can be difficult to build, often taking many years to properly plan, site, permit, and gain community acceptance. Taking full advantage of existing corridors will be critical for enabling renewable deployment.

Grid Enhancing Technologies (GETs), such as dynamic line rating and power flow controls, have been shown to improve the energy transfer capabilities of existing transmission paths and are able to be deployed more quickly than building new lines at costs significantly below traditional upgrades. However, transmission organizations and system operators across the country have been slow to adopt Grid Enhancing Technologies for a variety of reasons, including data availability and a lack of rigorous, independent testing of the devices. Often, utility decision makers are left with little more than trust of the vendor to assuage concerns about price, true economic benefits, deployment schemes, deployment usage characteristics, and challenges in integrating the technology with existing systems and business/market practices.

This Funding Opportunity Announcement attempts to address the findings of the 2022 U.S. Department of Energy (DOE) Report Grid Enhancing Technologies: A Case Study on Ratepayer Impact [1]. In addition, this also helps further efforts for Non-Wire

1 Grid Enhancing Technologies – A Case Study on Ratepayer Impact.

https://www.energy.gov/oe/articles/doe-study-shows-maximizing-capabilities-existing-transmission-lines-through-grid

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Solutions (NWS), and DOE Electricity Advisory Committee (EAC) recommendation:

“Increase the R&D emphasis on NWS, e.g., use of synchrophasor measurement based tools and real-time thermal rating, to optimize the carrying capacity of existing and new transmission assets by providing better knowledge of the situation of the grid.”

EAC Recommendations for DOE Action on Non-Wires Solutions published on October 17, 2012 can be found here.

The Department of Energy’s (DOE’s) National Energy Technology Laboratory (NETL), on behalf of the Office of Electricity (OE) and the Office of Energy Efficiency and Renewable Energy’s Wind Energy Technologies Office and Solar Energy Technologies Office, is seeking applications under this Funding Opportunity Announcement (Announcement) to conduct research, development, and demonstrations (RD&D) for innovative approaches that demonstrate real world benefits and usage of GETs.

This RD&D will lead to next generation GETs tools and technologies that are not widely available today to become broadly adopted throughout the energy sector.

These technologies will help improve reliability, optimize utilization of infrastructure in existing rights of way, and facilitate renewable resource interconnection and market access by improving the reliability and efficiency of power transfer. Projects should also help advance technologies through demonstration and validation, after which, the GETs technologies should be ready for deployment type activities.

ii. Job Growth and Quality

Strengthening prosperity – by expanding good-paying, safe union jobs accessible to all workers and supporting job growth through investments in domestic supply chains – are key goals set by President Biden, discussed in depth in his Executive Orders (E.O.) on Ensuring the Future Is Made in All of America by All of America's Workers (E.O. 14005), Tackling the Climate Crisis at Home and Abroad (E.O. 14008), Worker Organizing and Empowerment (E.O. 14025), Boosting Quality of Federal Construction Contracts (E.O.

14063), and Promoting Competition in the American Economy (E.O. 14036).

In keeping with the administration’s goals, and as an agency whose mission includes strengthening our country’s energy prosperity, the DOE strongly supports investments that expand good-paying jobs that offer workers the free and fair choice to form, join, or assist a union, improve job quality through the adoption of strong labor standards and labor-management partnerships, and support responsible employers. The DOE also supports opportunities that foster safe, healthy, and inclusive workplaces and communities and strategies that develop a diverse workforce well-qualified to build and maintain the country’s energy infrastructure and grow domestic https://www.energy.gov/sites/default/files/EAC%20Paper%20-%20Recommendations%20on%20Non-Wires%20Solutions%20-%20%20Final%20-25-Oct-2012.pdf

DE-FOA-0002948 Page 12 of 127 manufacturing. Applicants to this FOA are encouraged to include information about how their project will support these goals.

iii. Diversity, Equity, Inclusion, and Accessibility

DOE strongly encourages efforts to reach historically underserved populations, racial minorities, and women. These strategies should create the connectivity and conditions for growth where they may not exist, such as in rural and underserved communities. A project’s plan should articulate a strategy for sharing and maximizing the project’s benefits across DACs and include a discussion of how resident, worker, and community leadership will be engaged throughout the project’s duration.

It is the policy of the Biden Administration that:

[T]he Federal Government should pursue a comprehensive approach to advancing equity2 for all, including people of color and others who have been historically underserved, marginalized, and adversely affected by persistent poverty and inequality. Affirmatively advancing equity, civil rights, racial justice, and equal opportunity is the responsibility of the whole of our Government. Because advancing equity requires a systematic approach to embedding fairness in decision-making processes, executive departments and agencies must recognize and work to redress inequities in their policies and programs that serve as barriers to equal opportunity.

By advancing equity across the Federal Government, we can create opportunities for the improvement of communities that have been historically underserved, which benefits everyone.3

As part of this whole of government approach, this FOA seeks to encourage the participation of underserved communities4 and underrepresented

2 The term “equity” means the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been historically denied such treatment, such as Black, Latino, and Indigenous and Native American persons, Asian Americans and Pacific Islanders and other persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by persistent poverty or inequality. Executive Order 13985.

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

4 The term “underserved communities” refers to populations sharing a particular characteristic, as well as geographic communities, that have been systematically denied a full opportunity to participate in aspects of economic, social, and civic life, as exemplified by the list of in the definition

DE-FOA-0002948 Page 13 of 127 groups, and deliver benefits to DACs. Applicants are highly encouraged to include individuals from groups historically underrepresented5,6 in STEM on their project teams. As part of the application, applicants are required to describe how diversity, equity, and inclusion objectives will be incorporated in the project. Specifically, applicants are required to submit a Diversity, Equity, and Inclusion (DEI) Plan that describes the actions the applicant will take to foster a welcoming and inclusive environment, support people from underrepresented groups in STEM, advance equity, and encourage the inclusion of individuals from these groups in the project; and the extent the project activities will be located in or benefit underserved communities. The concept proposal and outcomes should include historically excluded geographies, racial minorities, and women inclusive of letters of support from groups representing those communities. The plan should include at least one SMART (Specific, Measurable, Assignable, Realistic and Time- Related) milestone per budget period supported by metrics to measure the success of the proposed actions. This plan will be evaluated as part of the technical review process and incorporated into the award if selected.

of “equity.” E.O. 13985. For purposes of this FOA, as applicable to geographic communities, applicants can refer to economically distressed communities identified by the Internal Revenue Service as Qualified Opportunity Zones; communities identified as disadvantaged or underserved communities by their respective States; communities identified on the Index of Deep Disadvantage referenced at https://news.umich.edu/new-index-ranks-americas-100-most-disadvantaged-communities/, and communities that otherwise meet the definition of “underserved communities” stated above.

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

https://ncses.nsf.gov/pubs/nsf19304/digest/about-this-report For example, in the U.S., Hispanics, African Americans and American Indians or Alaska Natives make up 24 percent of the overall workforce, yet only account for 9 percent of the country’s science and engineering workforce. DOE seeks to inspire underrepresented Americans to pursue careers in energy and support their advancement into leadership positions. https://www.energy.gov/articles/introducing-minorities-energy-initiative 6 See also. Note that Congress recognized in section 305 of the American Innovation and Competitiveness Act of 2017, Public Law 114-329:

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

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

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

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Further, Minority Serving Institutions7, Minority Business Enterprises, Minority Owned Businesses, Woman Owned Businesses, Veteran Owned Businesses, or entities located in an underserved community that meet the eligibility requirements (See Section III.) are encouraged to apply as the prime applicant or participate on an application as a proposed partner to the prime applicant. The Selection Official may consider the inclusion of these types of entities as part of the selection decision.

iv. Justice40 Initiative

In addition to the Federal government’s initiative to achieve greater participation from underserved communities and underrepresented groups, 40% of the overall benefits under this FOA should flow to DACs to support DOE’s commitment to the Justice40 Initiative.8 Benefits include (but are not limited to) measurable direct or indirect investments or positive project outcomes that achieve or contribute to the following in DACs: (1) a decrease in energy burden; (2) a decrease in environmental exposure and burdens; (3) an increase in access to low-cost capital; (4) an increase in job creation, the clean energy job pipeline, and job training for individuals; (5) increases in clean energy enterprise creation and contracting (e.g., minority-owned or diverse business enterprises); (6) increases in energy democracy, including community ownership; (7) increased parity in clean energy technology access and adoption; and (8) an increase in energy resilience.

Executive Order 14008 states that:

• (Sec 219) "Agencies shall make achieving environmental justice part of their missions by developing programs, policies, and activities to address the disproportionately high and adverse human health, environmental, climate-related and other cumulative impacts on disadvantaged communities, as well as the accompanying economic challenges of such impacts."

7 Minority Serving Institutions (MSIs), including Historically Black Colleges and Universities/Other Minority Institutions as educational entities recognized by the Office of Civil Rights (OCR), U.S.

Department of Education, and identified on the OCR's Department of Education U.S. accredited postsecondary minorities’ institution list. See https://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html.

8 The Justice40 initiative, created by E.O. 14008, establishes a goal that 40% of the overall benefits of certain federal investments flow to (DACs). The Justice40 Interim Guidance provides a broad definition of DACs (Page 2): https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21- 28.pdf. The DOE, OMB, and/or the Federal Council for Environmental Quality (CEQ) may issue additional and subsequent guidance regarding the designation of DACs and recognized benefits under the Justice40 Initiative.

https://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html https://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf

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• (Sec 223; Justice40 Initiative) “Within 120 days of the date of this order, the Chair of the Council on Environmental Quality, the Director of the Office of Management and Budget, and the National Climate Advisor, in consultation with the Advisory Council, shall jointly publish recommendations on how certain Federal investments might be made toward a goal that 40 percent of the overall benefits flow to disadvantaged communities. The recommendations shall focus on investments in the areas of clean energy and energy efficiency; clean transit; affordable and sustainable housing; training and workforce development; the remediation and reduction of legacy pollution; and the development of critical clean water infrastructure."

To support the Justice40 (J40) Initiative financial assistance awards must be associated with a J40 category. Awards made under this AOI will be most applicable to the category check marked below.

[ ] Affordable and Sustainable Housing [ ] Clean Energy and Energy Efficiency [ ] Clean Transportation [ ] Climate Change [ ] Critical Clean Water and Waste Infrastructure [ ] Remediation and Reduction of Legacy Pollution [ ] Training and Workforce Development [x] Non-J40 [ ] To be determined (i.e., the AOI scope is too indefinite to determine which category will be applicable, thus the J40 category will be determined after the specific project is selected for negotiation for award)

C. Objectives/Topic Areas

The objective of this FOA is to address the findings of the 2022 DOE Report “Grid Enhancing Technologies: A Case Study on Ratepayer Impact”. Specifically, the FOA aims to fill gaps in information on the real-world benefits and usage of GETs through at-scale field demonstrations. The impact of GETs technologies like Dynamic Line Rating (DLR) and Power Flow Controllers (PFC) is highly location-dependent, and so demonstrations across a variety of systems differing in scale, geography, topology, and connected renewable generation resources would be useful in determining important aspects for the location specific impact of GETs.

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Projects must include both DLR and PFC demonstration. For the purposes of this FOA, the definition of these two technologies are as follows:

• Dynamic Line Rating (DLR) – Hardware and/or software used to appropriately update the calculated thermal limits of existing transmission lines based on real-time and forecasted weather conditions. In most cases, these schemes establish new limits that safely allow more energy transfer across existing infrastructure.

This could be as simple as utilizing existing line measurements and incorporating forecasted weather conditions to continually update the calculation of line thermal ratings. More advanced methods could include utilization of advanced grid sensors and real-time weather data.

• Power Flow Controllers (PFC) – Hardware and software used to push or pull power, helping to balance overloaded lines and underutilized corridors within the transmission network. Power flow controllers (PFCs) are a family of technologies that can actively change the way power flows through the transmission system without making changes to generator dispatch or the topology of the network. The AC power flowing on a given transmission line is driven by four key parameters based on physics of the power system: the voltage on each end of the line, the reactance of the line, and the voltage phase angle difference between both ends. AC PFCs operate by adjusting one or more of these parameters.

The bulk of the demonstrations should be on DLR and PFC, but projects are not limited to only these two GETs. The holistic operation of an advanced and modern grid would include the GETs to be studied here (PFCs and DLR) along with Dynamic Transformer Rating (DTR), equipment asset monitoring for active management, and energy storage. Multiple GETs technologies, both networks of the same GETs technologies and of different GETs technologies working in concert, are encouraged as part of these demonstrations. Finally, utilization of advanced sensors for better data, analysis, and methods for system observability are important components of GETs solutions, and thus relevant data analysis tool development and demonstration is also encouraged.

The focus of the demonstrations should be on transmission systems, however projects that include both transmission and distribution GETs, and explore coordinated planning and operation across these boundaries, are encouraged.

There is only one topic area in this FOA: Grid Enhancing Technologies Demonstration at Scale.

This topic area seeks applications to carry out Research and Development (R&D) and Demonstration activities to support the following FOA objectives:

https://www.energy.gov/sites/default/files/2022-04/Grid%20Enhancing%20Technologies%20-%20A%20Case%20Study%20on%20Ratepayer%20Impact%20-%20February%202022%20CLEAN%20as%20of%20032322.pdf https://www.energy.gov/sites/default/files/2022-04/Grid%20Enhancing%20Technologies%20-%20A%20Case%20Study%20on%20Ratepayer%20Impact%20-%20February%202022%20CLEAN%20as%20of%20032322.pdf

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• Demonstrate how DLR and/or PFC at scale can improve infrastructure utilization and reliability.

• Demonstrate how GETs can impact integration of renewable energy, particularly demonstration of potentially synergistic technologies (e.g. wind with DLR, or helping facilitate solar integration by reducing congestion).

• Demonstrate methodologies and procedures for integrating grid GETs (such as

DLRs and PFCs at a minimum) at scale into utility operations to improve efficiency, utilization, and reliability of existing infrastructure.

• Assess the performance of GETs in the field and the reliability of such options in utility-specific resource planning; the assessment should include how GETs relate to the full set of solutions (storage, DTR, etc.) alongside traditional upgrades.

• Develop understanding of how GETs can be integrated into protection planning.

• Develop understanding of communication and network requirements and/or specifications for different GETs.

• Develop new tools and/or enhance existing operational tools to improve the reliability and response time for power line hosting capacity mapping.

• Collect sharable data in respect to the cost and installation of the GETs through the installation and demonstration so that the benefits can be quantified, and data can be accessed by industry.

• Understand how GETs can support the market mechanism of generation dispatch.

• Demonstrate how GETs has a financial impact on the reduction of energy cost and avoided costs.

This FOA aims to accelerate development and demonstrations of GETs technologies, specifically DLR and PFC, so the technologies are ready for wide deployment. GETs technologies RD&D address challenges associated with:

• Reliability, through improved operation and observability of grid conditions

• Environment and Equity, through optimized utilization of existing rights of way

• Decarbonization, through improved integration of renewable resources

The impact of GETs technologies such as DLRs and PFCs is highly location-dependent, and so demonstrations across a variety of system scale, geography, and topology will be useful in determining important aspects for the location specific impact of GETs.

Information sought for each demonstration includes, but is not limited to:

• Budgetary Cost Estimates, both in terms of time and money for the demonstration

• Hour by Hour Usage and operation metrics

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• Information on impact of the GETs technology on system reliability, sch as increases in line capacity utilization, thermal violation identification, and other relevant metrics.

• Deployment Challenges including environmental, permitting, construction, etc.

• Workforce/Business Development, including required training, operational procedures for GETs

Applications should include how the project will address the holistic integration of grid enhancing technologies into system planning, this includes but is not limited to:

• Study of quantitative and qualitative impact of GETs on system efficiency, reliability, and affordability for the demonstration.

• Plan for coordination among regional planning institutions, at Federal, state, and/or tribal level.

• Methods for identification of the optimal GETs solution set, which should include all commercially available alternatives including storage and potentially DTR.

• Demonstrations should evaluate the full set of solutions (DTR, storage, etc.)

alongside traditional upgrades. This evaluation should show how GETs can serve as an alternative and reduce needs for new transmission. The bulk of the demonstration should be on DLR and PFC. While these two should be the focus of the demonstrations other GETs are not excluded. The holistic operation of an advanced and modern grid would include the GETs to be studied here (PFCs and

DLR) along with DTR, and energy storage.

• Projects study of how GETs can be integrated into planning at different levels:

o Within a specific service territory o Across service territory boundaries and o Inter-regional planning

Applications should also include how the project will address the integrated grid enhancing technologies into operations, including but not limited to:

• Procedures for operations during normal conditions

• Stress testing of the GETs technologies to inform operations during extreme weather and emergency conditions.

• Understanding how GETs operational impacts could impact market dispatching mechanisms. For example, generation injection time delays from DLR could potentially change the dispatching order.

• Any equipment installation requirement, estimated schedule, as well as any supply chain challenges and its mitigation plan.

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

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

• Submission with the advanced conductor solution to improve infrastructure utilization and reliability. This is an AOI under subtopic 1.1 of EERE FOA DE-

FOA-0002864.

• Submissions with demonstration conducted at a national laboratory or using hardware-in-the-loop (HIL). Demonstrations should be conducted in the field at transmission or distribution electricity utilities, or system operators.

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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 Statement of Substantial Involvement).

C. Award Overview

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

DOE anticipates selecting no more than five awards with a single, coextensive budget period.

Project continuation into the demonstration portion 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. Each project should start demonstration portions of the work no later than the beginning of year two of the effort.

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

Estimated Federal Funding

Anticipated No. of

Awards

Anticipated Individual Award Size

DOE Share (R&D)

Cost Share (R&D)

DOE Share (Demo)

Cost Share (Demo)

Total

Maximum

DOE

Share of Award

$6.5M

3 to 5 up to $700,000/ 80% up to $200,000/

20% up to $1,400,000/

50% up to $1,400,000/

50% up to $4,000,000

$2,100,000

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APPLICATIONS WHICH EXCEED THE “MAXIMUM DOE SHARE OF AWARD”

SPECIFIED ABOVE WILL BE CONSIDERED NONCOMPLIANT (SEE SECTION III

COMPLIANCE CRITERIA). DOE WILL NOT REVIEW OR CONSIDER NONCOMPLIANT

APPLICATIONS.

ii. Estimated Project Period of Performance

DOE anticipates making awards with an estimated project period of performance not to exceed three years.

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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. Individuals

U.S. citizens and lawful permanent residents are eligible to apply for funding as a Prime Recipient or Subrecipient.

ii. Domestic Entities

For-profit entities, educational institutions, and nonprofits that are incorporated (or otherwise formed) under the laws of a particular State or territory of the United States are eligible to apply for funding as a Prime Recipient or Subrecipient.

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.

iii. Domestic Public Entities (excluding Federal entities)

State, local, and tribal government entities are eligible to apply for funding as a Prime Recipient or Subrecipient.

Federal entity eligibility is discussed below.

iv. 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 Subrecipient (only) but are not eligible to apply as a Prime Recipient. Non-DOE/NNSA FFRDCs and National

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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:

"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. The value of, and funding for, the FFRDC/NL portion of the work will be included in the award to a successful applicant. DOE/NNSA will not fund a DOE/NNSA FFRDC/NL through the DOE field work authorization process and other FFRDC/NLs through an interagency agreement with the sponsoring agency. FFRDCs/NLs will be treated as subawards for applicants.

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's cost share requirement will be based on the total cost of the project, including the applicant's and the FFRDC/NL's portions of the effort.

FFRDC/NL Effort as a Subrecipient. The scope of work to be performed by the FFRDC/NL may not be more significant than the scope of work to be performed by the applicant. The FFRDC/NL’s effort, in aggregate, shall not

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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.

v. Federal Entities

Federal agencies and instrumentalities (other than DOE) are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

vi. Foreign Entities

Foreign entities, whether for-profit or otherwise, are eligible to apply for funding as a Prime Recipient or Subrecipient under this FOA. Other than as provided in the “Individuals” or “Domestic Entities” sections above, all Prime Recipients receiving funding under this FOA must be incorporated (or otherwise formed) under the laws of a State or territory of the United States.

If a foreign entity applies for funding as a Prime Recipient, it must designate in the Full Application a subsidiary or affiliate incorporated (or otherwise formed) under the laws of a State or territory of the United States to be the Prime Recipient. The Full 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 Prime Recipient in the Full Application (i.e., a foreign entity may request that it remains the Prime Recipient on an award). To do so, the Applicant must submit an explicit written waiver request in the Full Application. The Appendix lists the necessary 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.

In the waiver request, the applicant must demonstrate to the satisfaction of DOE that it would further the purposes of this FOA and is otherwise in the economic interests of the United States to have a foreign entity serve as the Prime Recipient. DOE may require additional information before considering the waiver request.

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vii. Incorporated Consortia

Incorporated consortia, which may include domestic and/or foreign entities, are eligible to apply for funding as a Prime Recipient or Subrecipient. For consortia incorporated (or otherwise formed) under the laws of a State or territory of the United States, please refer to “Domestic Entities” above. For consortia incorporated in foreign countries, please refer to the requirements in “Foreign Entities” above.

Each incorporated consortium must have an internal governance structure and a written set of internal rules. Upon request, the consortium must provide a written description of its internal governance structure and its internal rules to the DOE Contracting Officer.

viii. Unincorporated Consortia

Unincorporated Consortia, which may include domestic and foreign entities, must designate one member of the consortium to serve as the Prime Recipient/consortium representative. The Prime Recipient/consortium representative must be incorporated (or otherwise formed) under the laws of a State or territory of the United States. The eligibility of the consortium will be determined by the eligibility of the Prime Recipient/consortium representative under Section III of the FOA.

Upon request, unincorporated consortia must provide the DOE Contracting Officer with a collaboration agreement, commonly referred to as the articles of collaboration, which sets out the rights and responsibilities of each consortium member. This agreement binds the individual consortium members together and should discuss, among other things, the consortium’s:

• Management structure;

• Method of making payments to consortium members;

• Means of ensuring and overseeing members’ efforts on the project;

• Provisions for members’ cost sharing contributions; and

• Provisions for ownership and rights in intellectual property developed previously or under the agreement.

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C. Cost Sharing

i. Cost Share Requirements

The cost share must be at least 20% of the total allowable costs for research and development activities and 50% of the total allowable costs for demonstration activities 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.)

DOE understands that projects selected…