FundOpp_DE-FOA-0003071_Amd_000001.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

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

Cybersecurity, Energy Security, and Emergency Response

(CESER)

Flexible and Innovative Transformer Technologies

(FITT)

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003071 FOA Type: Modification 000001

Assistance Listing Number: 81.122

FOA Issue Date: 02/13/2024 Submission Deadline for Full Applications: 04/26/2024 - 05:00 PM ET

Expected Date for Selection Notifications: August 2024 Expected Date for Award: December 2024

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Modifications

All modifications to the Funding Opportunity Announcement are highlighted in the body of the

FOA.

Mod. No. Date Description of Modification 000001 The purpose of this amendment is to revise the following:

• Change the Submission Deadline for Full Applications to 04/26/2024 – 05:00 PM ET (Page 1 of 124)

• Change the Expected Date for Award to December 2024 (Page 1 of 124)

• Clarify that the minimum 25% project scope for field demonstration is in terms of time (Page 14 of 124)

• Change Table under Estimated Funding, Number of Awards, and Award Size (Page 19 of 124)

• Change Estimated Project Period of Performance per Area of Interest to 24 to 36 months (Page 20 of 124)

DE-FOA-0003071 Page 3 of 124

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.

➢ 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.

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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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

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.

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 mailto:support@grants.gov

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➢ 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).

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 C. Objectives/Areas of Interest 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 per Area of Interest

III. Eligibility Information

A. General B. Eligible Applicants

i. Domestic Entities

ii. Foreign Entities

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. Insert Additional Eligibility Requirements with Description E. Compliance Criteria F. Responsiveness Criteria G. Number of Submittals Eligible for Review H. 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 (April 2023)

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)

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

xviii. Waiver Requests (if applicable) (April 2023)

xix. Data Management Plan

xx. Current and Pending Support (April 2023)

xxi. U.S. Competitiveness

xxii. Transparency of Foreign Connections

xxiii. Potentially Duplicative Funding Notice

C. Post Selection Information Requests (April 2023) 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 (April 2023) H. Pre-Award Costs I. Pre-Award Costs Related to National Environmental Policy Act (NEPA) Requirements J. Performance of Work in the United States (Foreign Work Waiver) (April 2023)

i. Requirement

ii. Failure to Comply

iii. Waiver

K. Foreign Travel L. Equipment and Supplies M. Buy America Requirements for Infrastructure Projects (April 2023)

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

ii. Risk Assessment (May 2023)

iii. Recipient Responsibility and Qualifications (May 2023)

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 (April 2023)

iii. Uniform Commercial Code (UCC) Financing Statements

iv. Foreign National Participation (April 2023)

v. Export Control (April 2023)

vi. Statement of Federal Stewardship

vii. Statement of Substantial Involvement

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

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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 (April 2023)

xvi. Human Subjects Research (April 2023)

xvii. Flood Resilience (April 2023)

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 (April 2023) 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 Q. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment (April 2023) ..84 R. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs (April 2023) S. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty (November 2020)

T. Affirmative Action and Pay Transparency Requirements U. Foreign Collaboration Considerations

IX. Appendices

Appendix A – Cost Share Information

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

Appendix C – Required Use of American Iron, Steel, Manufactured Products, and Construction Materials - Buy America Requirements for Infrastructure Projects (April 2023)

Appendix D – Statement of Project Objectives Template

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Appendix E – Project Management Plan Template

Appendix F – Data Management Plan

DE-FOA-0003071 Page 10 of 124

I. Funding Opportunity Description

A. Authorizing Statutes

The programmatic authorizing statute is Public Law 95-91, the DOE Organization Act;

Public Law 109-58, EPAct 2005.

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

B. Background/Description

i. Background and Purpose

The Office of Electricity (OE) provides national leadership to ensure that the Nation’s energy delivery system is secure, resilient, and reliable. OE works to develop new technologies to enhance the infrastructure that brings electricity into our homes, offices, and factories and to improve the federal and state electricity policies and programs that shape electricity system planning and market operations. OE also works to bolster the resiliency of the electric grid and assists with restoration when major energy supply interruptions occur.

The Office of Cybersecurity, Energy Security, and Emergency Response (CESER) mission is to strengthen the security and resilience of the U.S. energy sector from cyber, physical, and climate-based risks and disruptions. CESER works to provide a secure, reliable, and resilient energy sector for the American people by providing policy and risk analysis; developing and implementing new and/or improved tools and technologies; and performing Federal level emergency response coordination.

The Nation's sustained economic prosperity, quality of life, and global competitiveness depend on access to an abundance of secure, reliable, and affordable energy resources. Through a mix of technology and policy solutions, DOE is addressing the changing dynamics and uncertainties in which the future electric system will need to operate. DOE leverages effective partnerships, solid research, and best practices to support diverse interests in achieving economic, societal, and environmental objectives.

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Within OE, the TRAC program1 supports modernization and resiliency of the grid by addressing the unique challenges facing transformers and other critical components (i.e., grid hardware) that are responsible for carrying and controlling electricity from where it is generated to where it is needed. As the electric power system evolves to enable a more resilient and clean energy future, RD&D (research, development, and demonstration) will be needed to understand the physical impact these changes have on transformers and other vital grid components and to encourage adoption of new technologies and approaches. Development of advanced components will provide the physical capabilities required in the future grid and help avoid inflexible infrastructure lock-in with outdated technologies that are long-lived and expensive.

The Applied Grid Transformation Solutions (AGTS) program addresses the pressing need for rapidly assessing new grid systems and subsystems (including energy storage, transmission, distribution, and power control and conversion hardware and associated software) by testing the integrated technology suites in pilot environments prior to industry deployment in operational environments. These assessments provide utilities with the information they need to quantify and validate functionality, performance, and economic benefits before deploying new technologies. Today, the benefits of new grid technologies are difficult to extrapolate when tested in isolation, and difficult to quantify when measured against socio-economic benefits such as resilience or equity. AGTS pilot integrations will yield the actionable information desired by utilities and regulators to drive new technology adoption, including performance under various conditions, specific validated data about technology costs, uses, and capabilities; investment value and feasibility; cost recovery during changing times; and requirements for integration with other systems. The results of the pilot demonstration will validate the techno-socio-economic performance of the systems and will help to accelerate the adoption of new technology by the industry.

The Natural Hazards Program in CESER focuses on funding research and development of tools and technologies used for; preparing for and mitigating effects prior to an event, response during an event, and recovery post event. The Natural Hazards Program focuses on threats to the energy sector, such as those due to climate change, extreme weather, wildfires, and seismic events. These threats include but are not limited to: hurricanes, flooding, drought, tornados, extreme hot and cold, snowstorms, and earthquakes. Efforts focus on enhancing knowledge of complex grid-environment interactions as well as developing methods, tools, and technologies for de-risking these interactions.

1 Transformer Resilience and Advanced Components (TRAC) Program | Department of Energy https://www.energy.gov/oe/transformer-resilience-and-advanced-components-trac-program https://www.energy.gov/oe/transformer-resilience-and-advanced-components-trac-program

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TRAC and AGTS released a Request for Information (RFI)2 in April 2023 on RD&D opportunities for advanced transformers. Following that, a number of industry outreach efforts were conducted to collect more information, including the Advanced Transformers Workshop 3in May 2023. One of the RD&D opportunities areas often mentioned by participants were on novel designs/prototypes that can promote greater standardization (i.e., commoditization) to increase grid resilience (i.e., faster recovery through greater interchangeability) in the event of the loss of one or more transformers.

Transformers are one of the fundamental building blocks of the electric grid;

essentially all electric energy delivered flows through at least one. Through electromagnetic coupling, these components change the voltage of electric power, increasing it to transmit electricity more efficiently over long distances and decreasing it to a safe level for final delivery to end users. Power transformers are optimized for high efficiencies and are typically located at generator plants and within substations, making them critical infrastructure assets from a resiliency standpoint. Distribution transformers are designed to accommodate a wide range of loading conditions and are typically located on poles and in enclosures within industrial, residential, and commercial areas, directly supplying power to the end user at low or medium voltages. Table 1 provides an overview of the different transformer classes and applicable voltage ratings.

Table 1: Overview of General Grid Transformer Groups

Type Class Voltage Ratings Extra High Voltage 345-765 kV High Voltage 115-230 kV

Power Transformers

Medium Voltage 34.5-115 kV Distribution Transformers

Distribution Voltage

2.3-34.5 kV

In addition to conventional transformers, solid state transformers (SSTs) and hybrid transformers can also be important components of the grid modernization process due to their advanced functionalities.

Traditionally, an SST is composed of front-end and back-end power electronic converters, coupled through an isolation transformer that can connect two different AC voltages (see Figure 1). The primary benefit of this design, compared to a

2 Energy Department Seeks Input on Distribution and Large Power Transformers | Department of Energy

3 2023 OE Transformer Technologies Workshop | netl.doe.gov https://www.energy.gov/oe/articles/energy-department-seeks-input-distribution-and-large-power-transformers https://netl.doe.gov/events/23TRAC https://www.energy.gov/oe/articles/energy-department-seeks-input-distribution-and-large-power-transformers https://www.energy.gov/oe/articles/energy-department-seeks-input-distribution-and-large-power-transformers https://netl.doe.gov/events/23TRAC

DE-FOA-0003071 Page 13 of 124 conventional line frequency (e.g., 60 Hz) transformer, is the ability to use a high frequency (HF) link that enables significant size and weight reductions at the same power rating. In addition to the increased power density, these power electronic systems can provide a range of capabilities depending on their design and configuration. It is important to note that the HF transformer is not mandatory in an SST design, and other device architectures are possible. Advanced functions and features of these systems include allowing bidirectional power flow, input or output of AC or DC power, and active control of frequency and voltage, which can be used to improve power quality. These capabilities have implications for the adoption of microgrids, enabling seamless islanding and reconnections, and advance system topologies such as hybrid grids (i.e., combination of AC and DC circuits). Despite their flexibility and potential benefit to grid-scale applications, SSTs developed to-date have encountered challenges with higher costs, lower efficiency, and lower reliability than conventional transformers.

Figure 1: Different Block Diagrams for SSTs4

Hybrid transformers, on the other hand, involve the integration of conventional line frequency transformers with power electronic converters to achieve advanced functionalities. While similar in principle to SSTs, the key difference is that hybrid transformers do not require converters to be rated at the full power of the system or the voltage levels they are connecting. Utilizing fractionally rated converters or converters only on the low voltage end of the system enables mature power electronic technologies to be combined with legacy component designs. This simplifies the system and helps address concerns of the high costs and typically lower reliability of traditional SSTs.

C. Objectives/Areas of Interest

The objective of this Funding Opportunity Announcement (FOA) is to stimulate innovative designs, prototypes, and field demonstration exercises for advanced distribution and/or power transformers (e.g., flexible, modular, scalable, hybrid, and solid-state transformers) that can be readily utilized across a range of distribution to transmission scale applications.

4 2020 Solid State Power Substation Technology Roadmap (energy.gov) https://www.energy.gov/oe/articles/solid-state-power-substation-technology-roadmap

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Proposals must be able to demonstrate a process for evaluating the performance and extrapolating results to the targeted power and voltage ratings of the final design demonstrating high efficiency, variable/controllable impedance, and the ability to accommodate a range of high-side and low-side voltages. Table 2 provides initial data on U.S substations with voltage changes, and where the greatest opportunities for prototype voltage flexibly are.

Table 2: Approximate Number of U.S. Substations with a Voltage Change5

Low Side High Side 345 kV 230 kV 161 kV 138 kV 115 kV 69 kV 35 kV 4 kV

765 kV 9 1 1 14 3 7 1 15 500 kV 3 107 16 43 69 43 3 153 345 kV - 18 27 269 185 136 10 336 230 kV - - 87 226 628 422 56 528 161 kV - - - 44 162 336 14 158 138 kV - - - - 365 1129 35 476 115 kV - - - - - 390 213 337

Therefore, this FOA is divided into two Area of Interests: (1) RD&D for Distribution Transformers, and (2) RD&D for Power Transformers.

For the purposes of this FOA, the definition of these two transformer classes is derived from the IEEE C57.12.80-2010 as follows:

Distribution Transformers are transformers used for transferring electrical energy from a primary distribution circuit to a secondary distribution circuit or consumer’s service circuit.

Power Transformers are transformers that transfer electric energy in any part of the circuit between the generator and the distribution primary circuits.

Projects must include a phase for field demonstration of a relevant technology, power or distribution service transformers – this demonstration phase should be no less than 25% of the project scope in terms of time.

Area of Interest 1 (AOI-1) titled RD&D for Distribution Transformers

5 Data pulled from ABB Velocity Suites (Note: There can be multiple transformers located within a given substation).

DE-FOA-0003071 Page 15 of 124

Research Sought: This Area of Interest seeks applications to carry out RD&D activities related to advanced distribution transformers to support the following FOA objectives:

• Flexible and adaptable designs that promote interchangeability and greater standardization

• High-efficiency, long-lifetime, and modular prototypes that can facilitate replacement

• More efficient designs that incorporate additional functionalities, sensing, and communications, including the use of power electronics

• Novel converter topologies with efficient thermal management to expand Solid State Transformer (SST) functionalities

• Techno-economic analyses to determine value propositions

• Opportunities that can leverage the next-generation materials, innovations in components and support systems (e.g., bushings, cooling systems), and advanced monitoring and control technologies (e.g., sensors, communications, data analytics)

• Desired technical specifications are competitive with those seen in conventional distribution transformers

• Demonstrate how advanced distribution transformers at scale perform, and its benefits in a real world environment providing a solution to an problem.

Additional capabilities and characteristics that may be addressed include, but are not limited to:

• Modularity

• Scalability

• Backwards compatibility

• Interoperability

• Voltage regulation

• Power flow control

• Bidirectional Power Flow Control

• Overload capability

• Storage integration

• Fault current limiting

• Protection

• Fail normal designs

• Manufacturability

• OEM requirements

Technical Elements that Must be Included in Applications:

Proposals responding to this Area of Interest must be able to demonstrate a process for evaluating the prototype performance and extrapolating results to the targeted power and voltage ratings of the final design. Prototypes must also demonstrate high efficiency, variable/controllable impedance, and the ability to accommodate a range of high-side and low-side voltages.

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Sensors, communications, and analytics that enhance the operation and performance of the final transformer should also be integrated into the prototype and assessed. Projects are expected to involve hardware development, testing and model validation, and modeling and analysis to evaluate the performance and economics of proposed designs. Development of suitable use cases and scenarios that help assess the impact and penetration level of the final design is also expected to evaluate cost-effectiveness compared to traditional power transformers. Other important aspects to compare include but are not limited to additionality of enhanced functions and features, installation costs, operating lifetime, maintenance, size and weight (for transportation), and installed footprint.

Area of Interest 2 (AOI-2) titled RD&D for Power Transformers

Research Sought: This Area of Interest seeks applications to carry out RD&D activities related to advanced power transformer designs to promote flexibility and greater standardization while maintaining high efficiencies and long-life operations.

Technical criteria for the proposed advanced power transformer designs support the following FOA objectives:

• Flexible and adaptable designs that promote interchangeability and greater standardization

• High-efficiency, long-lifetime, and modular prototypes that facilitate replacement and reduce transportation costs, transportation duration, and installation times. Applications should address how these new designs and features will facilitate installation, commissioning, and integration into existing substations as well as opportunities to increase cyber-physical security (e.g., maintaining safe operations when relays have been compromised)

• Techno-economic analyses of systems to determine value propositions

• Opportunities that can leverage the next-generation materials, innovations in components and support systems (e.g., bushings, cooling systems), and advanced monitoring and control technologies (e.g., sensors, communications, data analytics)

• Demonstrate how advanced power transformers at scale perform, and its benefits in a real world environment providing a solution to a problem.

• Desired technical specifications and overall cost are competitive with those seen in conventional power transformers as shown in Table 3.

Table 3: Other Technical Specifications for Conventional Power Transformers Range of Impedances 5% to 21%

Design Lifetime 40 years Average Capital Cost $15/kVA

Efficiency > 99%

DE-FOA-0003071 Page 17 of 124

Average Max. Operating Temperature 95°C

Additional capabilities and characteristics that may be addressed include, but are not limited to:

• Modularity

• Scalability

• Backwards compatibility

• Interoperability

• Voltage regulation

• Power flow control

• Storage integration

• Overload capability

• Fault current limiting

• Protection

• Fail normal designs

• Manufacturability

• Transportability

• OEM requirements

Technical Elements that Must be Included in Applications:

Proposals responding to this Area of Interest must be able to demonstrate a process for evaluating the prototype performance and extrapolating results to the targeted power and voltage ratings of the final design. Prototypes must also demonstrate high efficiency, variable/controllable impedance, and the ability to accommodate a range of high-side and low-side voltages.

Sensors, communications, and analytics that enhance the operation and performance of the final transformer should also be integrated into the prototype and assessed. Projects are expected to involve hardware development, testing and model validation, and modeling and analysis to evaluate the performance and economics of proposed designs. Development of suitable use cases and scenarios that help assess the impact and penetration level of the final design is also expected to evaluate cost-effectiveness compared to traditional power transformers. Other important aspects to compare include but are not limited to additionality of enhanced functions and features, installation costs, operating lifetime, maintenance, size and weight (for transportation), and installed footprint.

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, Eligibility Information; Responsiveness Criteria):

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

• Submissions that have been submitted in response to other currently issued DOE FOAs;

DE-FOA-0003071 Page 18 of 124

• Submissions that are not scientifically distinct from those submitted in response to other currently issued FOAs;

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

• 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

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

• Submissions for proposed technologies that are not transformational, as described in Section I of the FOA;

• Submissions for proposed technologies that do not have the potential to become disruptive in nature, as described in Section I of the FOA. Technologies must be scalable such that they could be disruptive with sufficient technical progress;

• Submissions that are not scientifically distinct from existing funded activities supported elsewhere, including within the Department of Energy;

• Submissions that describe a technology but do not propose a R&D plan that allows DOE to evaluate the submission under the applicable merit review criteria provided in Section V of the FOA.

DE-FOA-0003071 Page 19 of 124

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 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

(R&D) DOE Share

(R&D) Cost Share

(Demo) DOE Share

(Demo) Cost Share

Anticipated Individual Award Size

Total Award Value (DOE Share + Cost

Share) $

1 $8M 3 to 5 Maximum 80%

Minimum 20%

Maximum 50%

Minimum 50% up to $4.5M

2 $10M 2 to 4 Maximum 80%

Minimum 20%

Maximum 50%

Minimum 50% up to $7M

Total $18M 5 to 9

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

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.

Cooperative Agreements that result from this FOA will be structured to include the R&D effort and the Demonstration effort as separate Phases and will include a go/no-go decision point prior to initiation of the demonstration phase. Accordingly, applications need to be prepared so that R&D and Demonstration tasks (along with associated budget estimates) are

DE-FOA-0003071 Page 20 of 124 segregated and can be readily identified. Moreover, since cost share requirements differ for R&D (20%) and demonstration (50%) projects, the ability to distinguish between R&D and demonstration work will result in a more accurate determination of overall project cost share for non-government project team members.

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 per Area of Interest

The anticipated project period of performance for projects under each Area of Interest in this announcement is:

Typically, budget periods are established on an annual basis. In some cases, shorter or longer budget periods may be established for compelling programmatic or administrative reasons, such as to allow for project phases not evenly divisible with 12-month increments or to provide program personnel with logical decision points to evaluate whether the project should proceed.

Area of Interest Project Period of Performance 1 24 to 36 months 2 24 to 36 months

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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 Indian tribes.

To qualify as a domestic entity, the entity must be organized, chartered or incorporated (or otherwise formed) under the laws of a particular state or territory of the United States; have majority domestic ownership and control; and have a physical place of business in the United States.

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

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 as the Prime Recipient and Performance of Work in the United States” 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.

C. Cost Sharing

i. Cost Share Requirements

The cost share must be at least 20% of the total allowable costs6 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.)

DOE understands that projects selected under this FOA may require the use of existing data. For purposes of this FOA, DOE will consider data that is commercially available at an established market price to be an allowable cost under the project (either as DOE share or non-federal cost share) but DOE will not consider in-kind data (e.g., data, owned by an entity, that is not routinely sold commercially but is instead donated to the project and

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

DE-FOA-0003071 Page 23 of 124 assigned a value) to be an allowable cost under the project, including as Recipient cost share. Estimation methods used by the Recipient to assign a value to in-kind data cannot be objectively verified by DOE and therefore will not be accepted by DOE as an allowable cost under any project selected from this FOA. Consequently, DOE will not recognize in-kind data costs in any resulting approved DOE budget.

To assist applicants in calculating proper cost share amounts, DOE has included a cost share information sheet and sample cost share calculation in the “Cost Share Information” Appendix of this FOA.

ii. Legal Responsibility

Applicants will be bound by the cost share proposed in their applications and incorporated into their award.

The cost share requirement applies to the project as a whole, including work performed by members of the project team other than the Prime Recipient.

The Prime Recipient is legally responsible for paying the entire cost share.

The Prime Recipient’s cost share obligation is expressed in the Assistance Agreement as a static amount in U.S. dollars (cost share amount) and as a percentage of the Total Project Cost (cost share percentage). If the funding agreement is terminated prior to the end of the project period, the Prime Recipient is required to contribute at least the cost share percentage of total expenditures incurred through the date of termination.

The Prime Recipient is solely responsible for managing cost share contributions by the Project Team and enforcing cost share obligation assumed by Project Team members in subawards or related agreements.

iii. Cost Share Allocation

Each Project Team is free to determine how best to allocate the cost share requirement among the team members. The amount contributed by individual Project Team members may vary, as long as the cost share requirement for the project as a whole is met.

iv. Cost Share Types and Allowability

Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV, “Application and Submission Information; Funding Restrictions”. In addition, cost share must be verifiable upon submission of the Full Application. Cost share may be provided in the form

DE-FOA-0003071 Page 24 of 124 of cash or cash equivalents, or in-kind contributions. Cost share must come from non-federal sources (unless otherwise allowed by law), such as project participants, state or local governments, or other third-party financing. DOE Loan Guarantee, cannot be leveraged by applicants to provide the required cost share or otherwise support the same scope that is proposed under a project.

Cost share may be provided by the prime recipient, subrecipients, or third parties (entities that do not have a role in performing the scope of work).

Vendors/contractors may not provide cost share. Any partial donation of goods or services is considered a discount and is not allowable.

Cash contributions include, but are not limited to: personnel costs, fringe costs, supply and equipment costs, indirect costs and other direct costs.

In-kind contributions are those where a value of the contribution can be readily determined, verified and justified but where no actual cash is transacted in securing the good or service comprising the contribution. Allowable in-kind contributions include but are not limited to:

the donation of volunteer time or the donation of space or use of equipment.

Project teams may use funding or property received from state or local governments to meet the cost share requirement, so long as Federal Government did not provide the funding to the state or local government.

The Recipient may not use the following sources to meet its cost share obligations including, but not limited to:

• Revenues or royalties from the prospective operation of an activity beyond the project period;

• Proceeds from the prospective sale of an asset of an activity;

• Federal funding or property (e.g., Federal grants, equipment owned by the Federal Government); or

• Expenditures that were reimbursed under a separate Federal

Program.

Project Teams may not use the same cash or in-kind contributions to meet cost share requirements for more than one project or program.

Cost share contributions must be specified in the project budget, verifiable from the Prime Recipient’s records, and necessary and reasonable for proper and efficient accomplishment of the project. As all sources of cost share are considered part of total project cost, the cost share dollars will be scrutinized under the same Federal regulations as Federal dollars to the project. Every cost share contribution must be reviewed and approved in advance by the

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Contracting Officer and incorporated into the project budget before the expenditures are incurred.

Applicants are encouraged to refer to 2 CFR 200.306 as amended by 2 CFR

910.130 for additional cost sharing requirements.

Please refer to the “Cost Share Information” Appendix of the FOA.

v. Cost Share Verification

Applicants are required to provide written assurance of their proposed cost share contributions in their Full Applications.

Upon selection for award negotiations, applicants are required to provide additional information and documentation regarding their cost share contributions. Please refer to the “Cost Share Information” Appendix of the

FOA.

vi. Cost Share Contributions by FFRDCs

Because FFRDCs and NLs are funded by the Federal Government, costs incurred by FFRDCs and NLs generally may not be used to meet the cost share requirement. FFRDCs and NLs may contribute cost share only if the contributions are paid directly from the contractor’s Management Fee or another non-Federal source. In such instance, the FFRDC and NLs must certify in writing that the cost share comes from non-Federal sources.

D. Insert Additional Eligibility Requirements with Description

The following special requirement will apply to all applications submitted in response to this FOA:

Project Team:

As noted, various constructs for teaming are acceptable, however a vendor/manufacturer team member is required with the requisite capability to advise and/or perform the fabrication of the proposed solution. Utility participation is also strongly encouraged.

E. Compliance Criteria

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A review of all submitted documents and information is performed to determine if the submissions are in compliance with the FOA requirements. All submitted information and documents must meet all Compliance Criteria listed below to be eligible for review or the submission will be considered noncompliant. DOE will NOT review or consider noncompliant submissions.

Full Applications are deemed compliant if:

• The Full Application complies with the DOE share of the individual award size in Section II, “Award Information; Award Overview” of the FOA;

• The Full Application complies with the content and form requirements in Section IV, “Application and Submission Information; Form and Content Requirements,” and Section IV, “Application and Submission Information;

Full Applications” of the FOA; and

• The applicant successfully uploaded all required documents and clicked the “Submit” button in Grants.gov by the deadline stated in the FOA. DOE will not extend the submission deadline for applicants that fail to submit required information by the applicable deadline due to server/connection congestion.

F. Responsiveness Criteria

A review of all submitted documents and information is performed to determine if the submissions are responsive to the FOA requirements. All submitted information and documents must meet all of the Responsiveness Criteria listed below to be eligible for review or the submission will be considered non-responsive. DOE will NOT review or consider non-responsive submissions.

Full Applications are deemed responsive if:

- The application meets the technical requirements as described in the “Objectives/Areas of Interest” contained in Section I, “Funding Opportunity Description” of the FOA; and

- The Applicant/application meets the Eligibility Criteria in Section III, “Eligibility Information” of the FOA.

Only compliant/responsive applications will be eligible for a comprehensive merit review.

G. Number of Submittals Eligible for Review

Applicants may submit multiple applications under each area of interest of this FOA;

HOWEVER, applicants may not submit duplicate applications under multiple areas of

DE-FOA-0003071 Page 27 of 124 interest. Put simply, each submitted application should be distinct and tailored to the specific area of interest.

H. Questions Regarding Eligibility

DOE will not make eligibility determinations for potential applicants prior to the date on which applications to this FOA must be submitted. The decision whether to submit an application in response to this FOA lies solely with the applicant.

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IV. Application and Submission Information

A. Form and Content Requirements

All submissions must conform to the following form and content requirements, including maximum page limits (described below) and must be submitted as specifically stated. DOE will not review or consider submissions submitted through means other than specifically stated in the FOA, submissions submitted after the applicable deadline, and incomplete submissions.