FundOpp_DE-FOA-0003384.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

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

Critical Facility Energy Resilience (CiFER)

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003384 FOA Type: Initial

Assistance Listing Number: 81.122 Electricity Research Development and Analysis

FOA Issue Date: 8/5/2024

Submission Deadline for Full Applications: 10/4/2024/5:00 PM ET

Expected Date for Selection Notifications: 2/18/2025

Expected Date for Award: 5/19/2025

* Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. If the application contains information that the applicant organization considers to be trade secrets, information that is commercial or financial, or information that is privileged or confidential, the pages containing that information should be identified as specified in the application instructions. When such information is included in the application, it is furnished to the Federal government in confidence, with the understanding that the information will be used or disclosed only for evaluation of the application. The information contained in the application will be protected by DOE from unauthorized disclosure, consistent with the need for merit review of applications of financial assistance awards to assure the integrity of the competitive process and the accuracy and completeness of the information. If a Federal financial assistance award is made as a result of or in connection with an application, the Federal government has the right to use or disclose the information to the extent authorized by law. This restriction does not limit the Federal

DE-FOA-0003384 Page 2 of 120 government’s right to use the information if it is obtained without restriction from another source.

Registration Requirements

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

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

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

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

Due to the high demand of SAM registrations and UEI requests, entity legal business name and address validations are taking longer than expected to process. Entities should start the SAM and UEI registration process as soon as possible. If entities have technical difficulties with the SAM registration or UEI validation process they should utilize the HELP feature on SAM.gov. SAM.gov will work entity service tickets in the order in which they are received and asks that entities not create multiple service tickets for the same request or technical issue. Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base - Validating your Entity.

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

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

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

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

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

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

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

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

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

In addition:

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

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

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

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

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

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

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

To track your role request, refer to:

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

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

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

FedConnect website: www.fedconnect.net.

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

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

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Table of Contents

I. Funding Opportunity Description

A. Authorizing Statutes B. Background/Description

i. Background and Purpose C. Objectives 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 C. Cost Sharing

i. Cost Share Requirements

ii. Legal Responsibility

iii. Cost Share Allocation

iv. Cost Share Types and Allowability

v. Cost Share Verification

vi. Cost Share Contributions by FFRDCs

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

IV. Application and Submission Information

A. Form and Content Requirements B. Full Applications

i. Application Package

ii. Content and Form of Full Application

iii. SF-424: Application for Federal Assistance

iv. Project/Performance Site Location(s)

v. Other Attachments Form

vi. Project Narrative File – Mandatory Other Attachment

vii. Summary for Public Release File (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)

xvii. Team Member Commitment Letter(s) (if applicable)

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

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

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xx. Data Management Plan

xxi. Current and Pending Support (April 2023)

xxii. U.S. Competitiveness

xxiii. Transparency of Foreign Connections xxiv.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

i. Risk Assessment (May 2023)

ii. Recipient Responsibility and Qualifications (May 2023)

D. Review and Selection Process

i. Overview

ii. Merit Review

iii. Selection

iv. 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)

ix. Conference Spending

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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)

xviii. Real Property and Equipment

C. Reporting

i. Reporting Requirements

ii. Subaward and Executive Reporting

D. Applicant Representations and Certifications

i. Lobbying Restrictions

ii. Nondisclosure and Confidentiality Agreements Representations

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

VII. Questions/Agency Contacts

A. Questions B. Agency Contact

VIII. Other Information

A. Modifications B. Government Right to Reject or Negotiate C. Commitment of Public Funds D. Treatment of Application Information (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) .. 80 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

Appendix B – Waiver Requests: Foreign Entity Participation and Performance of Work in the United States . 90

i. Waiver for Foreign Entity Participation

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

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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

Appendix E – Project Management Plan Template

Appendix F – Data Management Plan

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I. Funding Opportunity Description

A. Authorizing Statutes

The programmatic authorizing statutes are:

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

• Energy Act of 2020 Pub. L. 116–260, div. Z, title III, §3201, 42 U.S.C. § 17232

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

The Office of Electricity (OE) provides leadership to ensure that the Nation’s energy delivery system provides reliable, resilient, secure, and affordable electricity.

Maintaining a robust electricity grid is critical as the Nation experiences rapid transformation in how electricity is both generated and consumed due to trends in how the generation mix is changing, the amount and location of electricity demand, and increasing number of threats to infrastructure security and reliability. Numerous energy storage technology classes and varieties hold promise for stationary applications but face significant cost and deployment barriers. In OE, the Energy Storage Division accelerates development of bi-directional electrical energy storage technologies to serve as a key component of a reliable, resilient, and affordable future-ready grid. The Energy Storage Division supports applied materials development to identify safe, low-cost, and earth-abundant elements that enable cost-effective stationary storage. The Critical Facility Energy Resilience (CiFER) FOA will support large-scale deployment of innovative storage technologies at host sites containing critical infrastructure to support demonstration of promising technologies and validate their ability to provide resiliency benefits. This FOA is being released in coordination with The Office of Clean Energy Demonstrations (OCED) Pilot Grant Program, FOA DE-FOA-0003399. Both CiFER and the Pilot Grant Program are individual funding opportunities that both support the DOE’s overall strategy to advance innovative energy storage technologies.

C. Objectives

The objective of this FOA is to advance innovative storage technologies from early-stage R&D to widespread commercialization and demonstrate the capabilities of

DE-FOA-0003384 Page 10 of 120 these technologies to support critical infrastructure or facilities that have identified resiliency needs.

In addition, projects will include performing an analysis of the resiliency benefits provided by the storage system and dissemination of the results to end user, investor, and community stakeholders to share details about the technical performance of the storage technology and a quantitative understanding of the value of resiliency it provides.

More specifically, outcomes for CiFER include, but are not limited to:

• Deploy an innovative energy storage technology at a host site with identified resiliency needs at the required scale, performance, and technology maturity level appropriate to advance technology towards commercialization. Energy storage technologies of interest may have characteristics such as:

o Cost and performance measures that are attractive to potential end users and can be validated in the field including a LCOS of < $.05/kWh.

o Use materials and components that have favorable manufacturing and supply chain attributes such as available domestic suppliers and minimal price and supply volatility.

o High likelihood that demonstration system can be delivered at scale and within budget.

• Demonstrate the benefits of an innovative energy storage technology being used in the field to the large energy storage end-user and potential investor ecosystem.

• Identify a host site that has a compelling need for a dependable supply of energy based on potential impact if the site were not able to maintain normal operations during a grid outage or other emergency event.

• Learn from industry and community stakeholders the type of criteria they consider are crucial for “validation” of a new technology. Can consider these criteria for defining validation objectives for future strategy and activities.

• Conduct analysis on the value of resiliency provided by the energy storage system and use or develop valuation methods could be leveraged by other that are considering similar projects.

• Disseminate results and methods used for quantifying value of energy resiliency to broad set of stakeholders interested in resiliency solutions.

• Demonstrations that that provide community benefits and address workforce considerations.

• Willingness to participate in Rapid Operational Validation Initiative (ROVI) data sharing program with national labs.

To accomplish these outcomes, partnerships between storage technology providers, beneficiary organizations, and resiliency analytics partners are encouraged. Example

DE-FOA-0003384 Page 11 of 120 entities for partnerships in each of these categories include, but are not limited to, the following:

Technology Providers Critical Facility or Infrastructure Owner

Resiliency Analytics Partner

• A private energy storage company.

• An institution of higher education.

• Other organizations that develop or deploy energy storage.

• Other organizations involved in Engineering, Procurement, and Construction (EPC) of a storage system.

• A first responder or emergency response facility.

• Critical service sites such as healthcare, telecommunications, data centers, and government facilities.

• Other organizations that could benefit from the resiliency services provided by an energy storage system.

• Academic or Research Organizations

• Consultants

• National Labs

Applicants must also address the following technical details when composing their application:

1) Energy Storage System (ESS) Technical Details:

Applications must describe how the proposed ESS meets the following technical requirements to be an eligible technology for this opportunity:

a) Bi-directional Electrical System: ESS must be a bi-directional electricity-in, electricity out system and provide information on expected performance metrics that explain the technical capabilities of the technology. Example performance metrics sought for this opportunity include:

i) High Round Trip Efficiency (> 65% AC-AC Efficiency if AC Grid Connected)

ii) Long Calendar Life (> 10 years of operation before end of life)

iii) Low Cost (Pathway to < $.05/kWh Levelized Cost of Storage (LCOS) )

iv) High system availability and reliability, low mean time between failure

v) Fast response times needed based on facility or infrastructure requirements

b) System Size and Duration Requirements: Demonstration must have the capability to discharge at least 100 kW of electricity for at least 10 hours at the maximum rated power. Applicants may justify having a lower discharge duration than 10 hours at maximum rated power for this demonstration if they can demonstrate that the project would both:

i) Provide additional benefits or value for a similar overall cost to what the

10+ hour system would cost.

ii) Provide justification that this demonstration would advance the

DE-FOA-0003384 Page 12 of 120 technology’s ability to cost-effectively provide 10+ hours by 2030.

c) Technology Maturity: Technology is sufficiently mature for an innovative field demonstration opportunity in a critical facility. This means the technology:

i) Meets safety, operational, or integration requirements of the facility

ii) Has had previous testing and/or demonstration at a smaller or similar scale; beyond early-stage R&D (ex. single cell lab testing)

iii) Is not already a commercial solution for resiliency or a similar use case

2) Innovative ESS Demonstration:

Applications must describe how the proposed ESS demonstration will demonstrate an innovative storage solution and the technology towards widespread commercialization. This includes addressing:

a) Innovation Compared to Current State of the Art: The technology being used for this demonstration must present advantages or additional capabilities compared to currently commercial storage technologies or other technologies that can provide similar services, examples include:

i) Demonstration of technology that uses more advanced manufacturing methods to improve production cost and/or efficiency compared to the current state of the art

ii) Demonstration of a technology that is designed or operated to improve ability to use domestically sourced materials or components compared to the state of the art

iii) Demonstration of a technology that has superior end of life (recyclability, materials recovery, etc.) qualities compared to state of the art

iv) Demonstration of a technology that shows any specific advancements which may improve cost, performance, or safety compared to a previous demonstration or commercial storage technology

b) Overcoming Technical or Commercialization Barriers: This demonstration opportunity must support the technology in overcoming one or more barriers will lead to additional interest from potential end users and investors

i) Demonstration of a technology at a larger scale than it has previously been demonstrated

ii) Demonstrations of a technology that use new types of system architecture or deployment mechanisms that allow a technology to be used in a new use case

iii) Demonstration of a technology with enhanced safety features that allows it to be used in a new use case

iv) Demonstration of a technology that uses advanced systems integration methods that allows it to be used in a new use case

3) Critical Facility or Infrastructure Host Site:

a) Site Description and Requirements: Applications must describe the physical location where the ESS will be sited as well as the building, facility, or other

DE-FOA-0003384 Page 13 of 120 infrastructure that it will be supporting. This section should include a description of the societal or economic benefits this site supports as well as the threats to resiliency that the ESS will mitigate against. This can also include the specific functions needed for the site that the ESS will provide such as back-up power, microgrid support, or black start capability.

b) Cyber and Physical Security Measures: Applications must describe how the demonstration system will adhere to both cyber and physical security measures informed by the requirements of the host site or other relevant standards or practices that ensure secure operations.

4) Resiliency Analytics:

Applications must describe the proposed methodology that they will use to quantify the value that resiliency the demonstration will provide to the site and could be used in future storage projects to justify investment in them as resiliency assets.

5) Results Dissemination:

Applications must describe strategy for presenting results on both the performance of the demonstration project and the resiliency analysis to relevant stakeholders. This includes acknowledgment and agreement to participate in a “demonstration day” held by DOE.

6) Rapid Operational Validation Initiative (ROVI):

Applicants must acknowledge and agree to share data generated in this demonstration opportunity with ROVI and the National Laboratories involved with the project. Applications should describe the approach to collect and transmit data described in the latest version of the ROVI data requirements documentation1. Data sharing requirements for the specific applicant’s technology don’t exist under the current ROVI guidance applicants must negotiate ROVI data sharing requirements with the DOE. All ROVI data shall be delivered to the Government with unlimited rights and shall be identified as such in the Data Management Plan. Applicants may also elect to fulfill some ROVI requirements by conducting testing and data collection using national lab facilities or capabilities such as Pacific Northwest National Lab’s Grid Storage Launchpad2.

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):

1 Rapid Operational Validation Initiative (ROVI) | Department of Energy 2 Grid Storage Launchpad | PNNL https://www.energy.gov/oe/rapid-operational-validation-initiative-rovi https://www.pnnl.gov/gsl-facility

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• Submissions that fall outside the technical parameters specified in Section I, “Funding Opportunity Description; Objectives/Topic Areas/Areas of Interest” of the FOA, including but not limited to:

o Concepts that involve methods to store hydrogen that can be used for electricity generation at a later time using a fuel cell or turbine o ESS built to be used in a non-operational setting (e.g. in a testbed or laboratory) o New component or material development activities for ESS o Scaling up or expanding manufacturing capabilities

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

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

II. Award Information

A. Type of Application

DOE will accept only new applications under this announcement.

B. Type of Award Instrument

Cooperative Agreements 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

Cooperative Agreements that result from this FOA will be structured to include the R&D effort and 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 research and development (Phase I) and demonstration (Phase II) tasks (along with associated budget estimates) are segregated and can be readily identified.

The R&D phase can include technology refinement, integration, engineering and design, resiliency analytics development, and demonstration setup. The demonstration phase involves operation of the ESS at the demonstration site for a minimum of 12 months. Moreover, cost share requirements differ for research and development (20%) and demonstration (50%) phases so the

DE-FOA-0003384 Page 15 of 120 ability to distinguish between research and development and demonstration work will result in a more accurate determination of overall project cost share for non-government project team members (see Section III.C, Cost Sharing).

DOE expects to make Federal funding available for new awards under this FOA as follows. Cost share dollar values and percentages in the table below are provided as an example:

Estimated

Federal Funding

Anticipated No. of

Awards

Anticipated Individual Award Size

DOE Share

Cost Share

Total

$15,000,000 3 $5,000,000/68% $2,375,000/32% $7,375,000

R&D Phase: $3,500,000/80% $875,000/20% $4,375,000

Demonstration Phase: $1,500,000/50% $1,500,000/50% $3,000,000

Certain Prime Applicants are eligible for a reduced demonstration phase cost share amount of 20% (see Section III.C, Cost Sharing). In this case, DOE may make Federal Funding available for new awards as follows:

Estimated Federal Funding

Anticipated No. of

Awards

Anticipated Individual Award Size

DOE Share

Cost Share

Total

$15,000,000 3 $5,000,000/80% $125,000/20% $6,125,000

DOE may issue one, multiple, or no awards.

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

DOE anticipates making awards with an estimated project period of performance of three (3) years. The demonstration phase (Phase II) must be a minimum of 12 months and provide data to the ROVI lab consortium during system operation.

DE-FOA-0003384 Page 16 of 120

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 federally recognized Indian

Tribes (Indian Tribes).

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

and have a physical place of business in the United States.

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

DE-FOA-0003384 Page 17 of 120

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.

Appendix B 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 costs3 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.)

Applications need to be prepared so that research and development (Phase I) and demonstration (Phase II) tasks (along with associated budget estimates) are segregated and can be readily identified. The R&D phase can include technology refinement, integration, engineering and design, resiliency analytics development, and demonstration setup. The demonstration phase involves operation of the ESS at the demonstration site for a minimum of 12 months. Moreover, since cost share requirements differ for research and development (20%) and demonstration (50%) scope, the ability to distinguish

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

DE-FOA-0003384 Page 18 of 120 between research and development and demonstration work will result in a more accurate determination of overall project cost share.

A cost share reduction waiver has been approved to reduce the demonstration (Phase II) task cost share to 20% for Prime Applicants that are the following types of organizations:

• Tribe or Tribal Organization

• Institution of Higher Education

• Small utility, defined as entities that sell no more than 4 million MWh of electricity per year4

• Disadvantaged community as defined by Justice40 Initiative Guidance5

• Technology developer that is considered a small business as defined by the Small Business Administration, categorized as businesses with less than $7.5 million in average annual receipts6

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 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.

4 Grid Resilience Utility and Industry Grants Fact Sheet (December 2022).pdf (energy.gov) 5 M-21-28.pdf (whitehouse.gov) 6 Basic requirements | U.S. Small Business Administration (sba.gov) https://www.energy.gov/sites/default/files/2022-12/Grid%20Resilience%20Utility%20and%20Industry%20Grants%20Fact%20Sheet%20%28December%202022%29.pdf https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf https://www.sba.gov/federal-contracting/contracting-guide/basic-requirements

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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 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

DE-FOA-0003384 Page 20 of 120 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 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

DE-FOA-0003384 Page 21 of 120 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. Compliance Criteria

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.

E. 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:

DE-FOA-0003384 Page 22 of 120

- The application meets the technical requirements as described in the “Objectives” 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.

F. Number of Submittals Eligible for Review

Applicants may submit more than one Full Application to this FOA. Each application must describe a unique, scientifically distinct project.

G. 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.

DE-FOA-0003384 Page 23 of 120

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. DOE will not extend deadlines for applicants who fail to submit required information and documents by the applicable deadline due to server/connection congestion.

The Full Application must conform to the following requirements:

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

• Each must be written in English.

• All pages must be formatted to fit on 8.5 x 11 inch paper with margins not less than one inch on every side. Use Times New Roman typeface, a black font color, and a font size of 11 point or larger (except in figures or tables, which may be 10 point font). A symbol font may be used to insert Greek letters or special characters, but the font size requirement still applies.

References must be included as footnotes or endnotes in a font size of 10 or larger. Footnotes and endnotes are counted toward the maximum page requirement.

• Each submission must not exceed the specified maximum page limit when printed using the formatting requirements set forth above and single spaced.

The maximum page limit includes the cover page, references, charts, graphs, data, maps, photographs, and other reference material the applicant may include with the submission. If applicants exceed the maximum page limits indicated below, DOE will review only the authorized number of pages and disregard any additional pages.

Applicants are responsible for meeting the submission deadline. Applicants are strongly encouraged to submit their Full Applications at least 48 hours in advance of the submission deadline. Under normal conditions (i.e., at least 48 hours in advance of the submission deadline), applicants should allow at least 1 hour to submit a Full Application. Once the Full Application is submitted, applicants may revise or update that submission until the expiration of the applicable deadline. If changes are made, the applicant must resubmit the Full Application, before the applicable deadline.

DOE urges applicants to carefully review their Full Applications and to allow sufficient time for the submission of required information and documents. All Full Applications that pass the initial eligibility review will undergo comprehensive

DE-FOA-0003384 Page 24 of 120 technical merit review according to the criteria identified in Section V, “Application Review Information; Review Criteria” of the FOA.

B. Full Applications

Applicants must submit a Full Application by the specified due date and time to be considered for funding under this FOA. Applicants must complete the mandatory forms and any applicable optional forms (e.g., SF-LLL- Disclosure of Lobbying Activities) in accordance with the instructions on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (PDF) unless otherwise specified in this announcement.

i. Application Package

Application forms and instructions are available at https://www.grants.gov/.

ii. Content and Form of Full Application

DOE will not review or consider ineligible Full Applications (see Section III, “Eligibility Information; Compliance Criteria” of the FOA).

Each Full Application shall be limited to a single concept or technology.

Unrelated concepts and technologies shall not be consolidated in a single Full Application.

Full Applications must conform to the following requirements:

Submission Components Format File Name

Full Application (PDF, unless stated otherwise)

SF-424 Form N/A

Project/Performance Site Location(s) Form N/A

Project Narrative (25 page limitation, see chart below for further instruction)

PDF Project.pdf

Summary for Public Release (1 page limit)

PDF Summary.pdf

Project Management Plan (20 page limitation, see chart below for further instruction and template in the Appendix)

PDF PMP.pdf

Resume PDF Resume.pdf

SF424a Budget Information – Non- Construction Programs File

Microsoft Excel

SF424A.xls or .xlsx

Budget Justification – SEE DETAILED

INSTRUCTIONS BELOW

Microsoft Excel

RecipientBudget Justification.xls or .xlsx https://www.grants.gov/

DE-FOA-0003384 Page 25 of 120

Submission Components Format File Name

Subaward Budget Justification, if applicable – SEE DETAILED

INSTRUCTIONS BELOW

Microsoft Excel

Subawardee_name BudgetJustification.xls or xlsx

Budget for DOE/NNSA FFRDC/NL or non- DOE/NNSA FFRDC/NL, if applicable

PDF Use up to 10 letters of the FFRDC/NL name plus “Budget” as the file name (e.g., FFRDC/NL_nameBudget.xls or xlsx), and click on "Add Optional Other Attachment" to attach.

Authorization from cognizant Contracting Officer for DOE/NNSA FFRDC/NL or non-DOE FFRDC/NL, if applicable

PDF Use up to 10 letters of the FFRDC/NL name plus FFRDC as the file name (e.g. anlFFRDC or lincolnFFRDC.pdf)

Environmental Questionnaire PDF Env.pdf

Cost Share Commitment Letters, if applicable

PDF CSCL.pdf

Team Member Commitment Letter(s) PDF TMCL.pdf

SF-LLL Disclosure of Lobbying Activities, if applicable

Form N/A

Foreign Entity Participation Waiver Requests if applicable

PDF FN_Waiver.pdf

Performance of Work in the United States waiver request, if applicable

PDF PerformanceofWork_Waiver.pdf

Data Management Plan PDF DMP.pdf

Current and Pending Support PDF CPS.pdf

Transparency of Foreign Connections PDF BusinessSensitive.pdf

Potentially Duplicative Funding PDF PDFN.pdf

Note: The maximum file size that can be…