Source: https://eere-exchange.energy.gov/FAQ.aspx?FoaId=f16f6208-d22c-4881-8be9-7c64d468e86b
Timestamp: 2014-03-09 14:46:53
Document Index: 454403478

Matched Legal Cases: ['arts 600', '§600', 'arts 600', '§600', 'arts 600', '§600', 'art 31']

Question 1: While we are pleased to see DOE's effort to achieve the 2022 goals outside the currently defined road-maps, we have concerns regarding the limitations that were imposed on the qualification part I(C) APPLICATIONS SPECIFICALLY NOT OF INTEREST
* Incremental improvements to existing technologies, products, or solutions
In our experience, combining several incremental improvements could drastically improve the power density/specific power and reduce the cost of the propulsion system (to meet the doe 2022 target). And my personal opinion is that all engineering problems are solved by incremental improvement by definition but the statement itself is lack of quantity standard. Due to these concerns, would you please clarify the definition of "Incremental improvements" to existing technologies, products, or solutions with limitations.
Answer 1: Any application which proposes technologies, products, or solutions and demonstrates that it is realistically expected to achieve the DOE 2022 targets will be considered more than just incremental improvements.
Question 1: Could you please provide context to the Submission of Multiple Applications paragraph in the Executive Summary? Would the university be considered the applicant for this FOA or would it be the individual PI?
Answer 1: The university would be the Applicant. And as the Applicant, the university may submit one concept paper and Full Application per topic area as identified in Section I.B. of the FOA. As there could be potential applicants across the various colleges, departments and campuses of one institution, it is incumbent upon the applicant to coordinate the applications submitted. If more than one Concept Paper and Full Application per topic area is submitted, EERE will only consider the last timely submission for evaluation. Any other submissions received listing the same topic area will be considered non-compliant and not eligible for further consideration. Question 2: FOA section III.A., Eligible Applicants, states that “Eligibility for this FOA is restricted to small businesses and institutions of higher education to include U.S. colleges, universities, institutions of higher learning, and university affiliated research institutions.” Is a for-profit organization that is not an eligible applicant allowed to be a Subrecipient to an eligible Prime Recipient, such as a university or small business?
Answer 2: Consistent with the Funding Opportunity Announcement (FOA), Section III. A. Eligible Applicants, a for-profit entity may be a Subrecipient. However, the Prime Recipient effort must be at least 60% of the total estimated cost of the project. Question 3: Can a For-Profit Company take the lead on a DE‐FOA‐0000988 proposal?
Answer 3: Consistent with the Funding Opportunity Announcement (FOA), Section III. A. Eligible Applicants, Eligibility for this FOA is restricted to small businesses and institutions of higher education to include U.S. colleges, universities, institutions of higher learning, and university-affiliated research institutions. Additionally, the Prime Recipient effort must be at least 60% of the total estimated cost of the project. Question 4: We are a foreign-owned company with a subsidiary company located in the United States. All of the shareholders are non-residents in US. So, my question is about the eligibility criteria to apply to FOA-0000988. Would our submission be accepted? And can we apply as a foreign office although our American subsidiary is owned by 100% non-american citizen and non-american residents?
Answer 4: In accordance with Section III.3. of the FOA, a foreign entity may designate a U.S. subsidiary to be the Prime Recipient. That U.S. subsidiary must still meet the eligibility criteria contained in Section III. of the FOA, that is: · Organized for-profits, with a place of business located in the United States;
· At least 51% owned and controlled by one or more individuals who are citizens of, or permanent-resident aliens in, the United States, or
· At least 51% owned and controlled by another for-profit business concern that is at least 51% owned and controlled by one or more individuals who are citizens of, or permanent-resident aliens in, the United States; and;
· No more than 500 employees, including affiliates.
If a foreign entity has a U.S. subsidiary and all shareholders of that foreign entity are non-U.S., the foreign entity is not eligible to apply. Please note: a foreign entity who, in accordance with the waiver request procedure outlined in Section III.e. of the FOA, requests a waiver of the requirement to designate a subsidiary in the U.S. as the Prime Recipient is only requesting a waiver related to the place of business (first bullet above). The remaining requirements, 51% U.S. owned and controlled and no more than 500 employees (including affiliates), still apply. Question 5: Is a small business which is owned by multiple VC’s, none of which is a majority owner by itself, eligible for this program as a prime?
Answer 5: In accordance with Section III.3. of the Funding Opportunity Announcement, in order to be considered, small businesses must meet the following criteria:
· Organized for-profits, with a place of business located in the United States;
Question 6: Could you please refer me to the right place so that I can determine whether we need to seek funding sources outside the DOE? We are accustomed to "in kind" cost sharing with our university partners, but are not certain whether they will suffice in this instance.
Answer 6: Cost share is discussed in “Section III. B. Cost Sharing” of the Funding Opportunity Announcement (FOA). Additionally, to assist Applicants in calculating proper cost share amounts, the FOA also contains a cost share information sheet and sample cost share calculation as Appendices B and C. See also 10 CFR 600.30 for applicable cost sharing requirements.
Question 7: 1. Would an incorporated consortium (LLC) with no employees, whose Members are large for-profit companies (each with more than 500 employees) be an eligible Recipient under this FOA?
Answer 7: Section III.A. of the FOA has the following language:
Eligibility for this FOA is restricted to small businesses and institutions of higher education to include U.S. colleges, universities, institutions of higher learning, and university-affiliated research institutions. In order to be considered, small businesses must meet the following criteria:
The Prime Recipient effort must be at least 60% of the total estimated cost of the project.
While the consortium itself has no employees, the consortium members would be considered "affiliates". As the members of this consortium together would have more than 500 employees, the consortium is therefore not eligible to apply. Question 8: Our company is small and relies on consultants, contract employees and full service suppliers for a good portion of the development work we undertake. Could you please clarify what is meant by “The Prime Recipient effort must be at least 60% of the total estimated project cost. “ Does this mean that 60% of the effort must be performed by only direct employees of a company, given that the company is the Prime Recipient?
Answer 8: Yes. 60% of the effort must be performed directly by employees of the Prime Recipient. Question 9: Can two U.S. Universities partner as the “Prime Applicant” and equally share the 60% funding requirement, while two sub-recipients, FFRDC & Industry, share the 40% sub-recipient amount?
Answer 9: No. 60% of the effort must be performed directly by employees of the Prime Recipient and cannot be "shared". The remaining 40% of the project effort can be split among subrecipients as necessary.
Question 10: Can a U.S. University provide 100% of the cost share for an award while an FFRDC operates as the sub-recipient?
Answer 10: Yes. Keep in mind that the Prime Recipient is legally responsible for all cost share, whether or not the Prime Recipient provides the cost share or a sub provides the cost share.
Question 11: Is WBG research on the DOE Roadmap? Can you please address this?
Answer 11: EERE, Vehicle Technologies, Advanced Power Electronics and Electric Machines program, and Electrical and Electronics Technical Team Roadmap can be found at:
http://www1.eere.energy.gov/vehiclesandfuels/pdfs/program/eett_roadmap_june2013.pdf
WBG research is considered to be on the DOE roadmap, based on current research activities such as:
ARPA-e SWITCHES Program http://www.arpa-e.energy.gov/?q=arpa-e-news-item/us-energy-department%E2%80%99s-arpa-e-announces-27-million-transformational-grid
WBG Institute http://energy.gov/articles/factsheet-next-generation-power-electronics-manufacturing-innovation-institute
However, if you have a research idea that is significantly different or innovative relative to existing DOE research, that you consider as unique and not on current roadmaps or plans the application must clearly and convincingly demonstrate how the proposed WBG research is significantly different or unique relative to existing research to be considered responsive.
Question 13: Under DOE FOA 0000988, it seems that innovative electric vehicle supply equipment (EVSE) may fit under TOPIC AREAS/TECHNICAL AREAS OF INTEREST: Other: Can you please confirm if innovative electric vehicle supply equipment that has the potential to increase energy efficiency in the transportation sector, especially technologies that require vehicle-side hardware integration such as wireless charging, may be considered under this topic area? Can you please also confirm if there would be a preference between applications that include private innovative EVSE technologies to boost the adoption of electric vehicles or public applications to boost the adoption of electric vehicles and incentivize battery size reductions, especially among commercial fleets?
Answer 13: The Department of Energy does not make recommendations regarding specific Areas of Interest or technologies outside of the full technical review process which is outlined in the Funding Opportunity Announcement (FOA). It is the full responsibility of the applicant to review the requirements of the FOA and make the determination of whether the technology is in line with those requirements. DOE will not provide submission recommendations prior to submission of a Concept paper. At that time, based upon review of the concept paper DOE will either encourage or discourage your organization from submitting a full application. An applicant who receives a “discouraged” notification may still submit a Full Application. However, by discouraging the submission of a Full Application, DOE/EERE intends to convey its lack of programmatic interest in the proposed project. Please also note that all full applications are subject to further review as outlined in the FOA, and that receipt of correspondence encouraging submission of a full application does not authorize the applicant to commence performance of the project.
Question 14: Since the University is the legal entity that formally submits the proposal, does this mean that only one Concept Paper and Full Application can be submitted by an entire University?
Answer 14: Applicants who are U.S. colleges, universities, institutions of higher learning, or university-affiliated research institutions may submit one Concept Paper and Full Application per topic area as identified in Section I.B. of the FOA.
Question 15: Can a group of individuals (not incorporated) be considered as a Prime Recipient?
Answer 15: No. While a single individual may be a Prime Recipient, a group of individuals (not incorporated) cannot be a Prime Recipient. Eligibility for this FOA is restricted to small businesses and institutions of higher education to include U.S. colleges, universities, institutions of higher learning, and university-affiliated research institutions. The criteria to be considered a small business are in the FOA (see section III.A.)
Question 16: Can two universities jointly submit a proposal or two separate identical proposal?
Answer 16: No – two universities cannot jointly submit as Primes, one university must be the lead applicant.
Question 17: Is Prime Recipient restricted to direct employees of the small business. We are very small and rely on consultants and full service suppliers for our development work. What constitutes a Prime Recipient?
Answer 17: Yes. 60% of the effort must be performed directly by employees of the Prime Recipient.
Question 18: Is the concept paper peer reviewed?
Answer 18: The Concept Paper is reviewed by reviewers who are well qualified, by training, experience or both, in the particular scientific or technical fields that are the subjects of the funding opportunity announcement and applications being reviewed. The reviewers are screened for conflicts of interest and also sign non-disclosure agreements.
Question 19: 1 concept paper per "Topic Area" or per "FOA"?
Answer 19: Applicants who are eligible Small Businesses may only submit one Concept Paper and one Full Application for consideration under this FOA. Applicants who are U.S. colleges, universities, institutions of higher learning, or university-affiliated research institutions may submit one Concept Paper and Full Application per topic area for consideration under this FOA.
Question 20: Is there any specific format in Concept Paper or we can choose our own format?
Answer 20: Yes, there is a specfic format. Please review the Concept Paper Content Requirements contained under Section IV-Applications and Submission Information, Part C- Content and Form of the Concept Paper. The technical description is limited to two pages maximum and the addendum which may contain graphs, charts, or other data to supplement your technology description is limited to one page. Any pages beyond three pages will not be reviewed by DOE. The applicant must include the topic area to which they are submitting the concept paper as part of the information contained in the concept paper.
Question 21: Can you elaborate on the concept paper limits for educational institutions. It is difficult to ensure that other PIs within an institution are not applying to your topic area?
Answer 21: Applicants who are U.S. colleges, universities, institutions of higher learning, or university-affiliated research institutions may submit one Concept Paper and Full Application per topic area as identified in Section I.B. of the FOA. As there could be potential applicants across the various colleges, departments and campuses of one institution, it is incumbent upon the applicant to coordinate the applications submitted. If more than one Concept Paper and Full Application per topic area is submitted, EERE will only consider the last timely submission for evaluation. Any other submissions received listing the same applicant will be considered non-compliant and not eligible for further consideration.
Question 22: Does the cost share have to be identified for the concept paper?
Answer 22: No.
Question 23: Is DE‐FOA‐0000988@netl.doe.gov a working email account? We had trouble sending email over.
Answer 23: Yes, it is a working account. Please check that you have all the digits and numbers correct.
Question 24: What are the current and target TRLs are appropriate in this FOA?
Answer 24: The topic areas contained in this funding opportunity announcement do not state specific technology readiness levels for submission. It is recommended that applicants read the topic narrative carefully to determine if their proposed technology is consistent with the topic area requirements.
Question 25: Could we submit the same/similar concept paper to both DE-FOA-0000988 (Vehicles Technologies Incubato) and DE-FOA-0000991 (DOE FY14 Vehicle Technologies Program Wide FOA)?
Answer 25: There is no prohibition against doing so. The Funding Opportunity Announcement (FOA) does not limit submission of concept papers or applications to other announcements. However, your concept paper or application must meet the requirements of each FOA and DOE will not fund the same project under two different announcements.
Question 26: Are there any limitations on foreign nationals working on the project for work conducted in the US? Some recent EERE FOAs have required additional information in this circumstance.
Answer 26: No limitation. Any foreign nationals proposed to work on the project must be disclosed in the application.
Question 27: What are the review criteria for the concept paper? You mentioned they were different than for the full proposal.
Answer 27: Please see Section V. A. 1. of the FOA for Technical Review Criteria for Concept Papers.
Question 28: Can the project team change after the submission of the concept paper?
Answer 28: The project team members may change but the lead applicant must be the same.
Question 29: Could you say again the expected award date?
Answer 29: The expected time frame for award negotiations for projects selected under this FOA is September 2014.
Question 30: Do you have examples of the concept paper?
Answer 30: No – samples are not available. Applicants must prepare their Concept Papers based on the information provided in the FOA.
Question 31: Is Wide Bandgap research considered to be on the DOE roadmap?
Answer 31: EERE, Vehicle Technologies, Advanced Power Electronics and Electric Machines program, and Electrical and Electronics Technical Team Roadmap can be found at:
Question 32: Can a small business run as a non-profit be a prime recipient? A sub-recipient?
Answer 32: To answer the first question, yes, small businesses are eligible to apply as the prime, if the eligibility criteria contained in Section III. of the FOA is met. And yes, small businesses may act as a subrecipient on a project. Question 33: To confirm, one concept paper per organization (as the project lead) is the limit for this FOA?
Answer 33: Applicants who are eligible Small Businesses may only submit one Concept Paper and one Full Application for consideration under this FOA.
Applicants who are U.S. colleges, universities, institutions of higher learning, or university-affiliated research institutions may submit one Concept Paper and Full Application per topic area for consideration under this FOA.
Question 34: Can large companies provide support letter?
Answer 34: Yes.
Question 35: If a small business is awarded $50k what is the cost share portion?
Answer 35: Please review Section III, Part B-Cost Sharing along with Appendix B-COST SHARE INFORMATION AND APPENDIX C-– SAMPLE COST SHARE CALCULATION FOR BLENDED COST SHARE PERCENTAGE of the Funding Opportunity Announcement (FOA) for examples of how to calculate cost share. Cost share is based upon a total allowable cost of the project, i.e the sum of the Government share including FFRDC cost if applicable, and the recipient share of allowable cost project cost.
Question 36: Must the cost share portion be committed by full application date or is this extendable?
Answer 36: The cost share must be committed by the full application date.
Question 37: Can we get a copy of the presentation?
Answer 37: The webinar itself will not be available; however, everything that was discussed during the webinar can be found in the Funding Opportunity Announcement document, located in eXchange. Here is a link to website: https://eere-exchange.energy.gov. Additionally, all questions and answers from the webinar will be posted on eXchange, in the Questions/Answers section.
Question 38: Can you re-state the August and September 2014 dates, and what they are for, in the last part of your presentation?
Answer 38: The expected date for EERE selection notifications is August 2014. The expected time frame for award negotiations for projects selected under this FOA is September 2014.
Question 39: Is there a template available for drafting of the Concept Paper?
Answer 39: Please review the Concept Paper Content Requirements contained under Section IV-Applications and Submission Information, Part C- Content and Form of the Concept Paper. The technical description is limited to two pages maximum and the addendum which may contain graphs, charts, or other data to supplement your technology description is limited to one page. Any pages beyond three pages will not be reviewed by DOE. The applicant must include the topic area to which they are submitting the concept paper as part of the information contained in the concept paper.
Question 40: Does the FOA seek to fund the development of specific technologies, or would the FOA also fund an incubator that works with multiple companies pursuing multiple targeted technologies?
Answer 40: Each full application must be limited to a single concept or technology. Unrelated concepts and technologies should not be consolidated into a single full application.
Question 41: Can you talk more about the types of projects and technologies you hope to support?
Answer 41: Please review the Description/Background and Topic Areas/Technical Areas of Interest in Section I.A and I.B in the FOA.
Question 42: Must the address alll of the sub-bullets under a particular topic or can it fccus on one of the bullets, ie. Size Reduction under Advanced Power Electronics and Electric Motors for Electric Traction Drives?
Answer 42: An application must address at least one of the program's performance targets (volume reduction for example) to be considered responsive.
Question 43: Will this seminar PPT be available online? If yes, where to get it?
Answer 43: The webinar itself will not be available; however, everything that was discussed during the webinar can be found in the Funding Opportunity Announcement document, located in eXchange. Here is a link to website: https://eere-exchange.energy.gov. Additionally, all questions and answers from the webinar will be posted on eXchange, in the Questions/Answers section.
Question 44: Is commercialization plan important than research for demonstration and commercial application project?
Answer 44: A market transformation/commercialization plan is required for all full applications. See section IV.D of the FOA for more information regarding the content of the full application.
All full applications will be reviewed according to evaluation criteria described in section V.2 of the FOA.
Question 45: Is a budget required to be submitted along with the concept paper?
Answer 45: No.
Question 46: How is r&d project different From demo project ?
Answer 46: The differences are best described by defining each item:
Research: Applied research that involves a systematic process to gain knowledge or understanding of the fundamental facts of phenomena using discovery, facts, and theories in order to solve specific technical problem or need. The research under this topic is not basic or fundamental in nature.
Development: The systematic application of scientific and technical knowledge directed toward design, development, testing, or evaluation and production of prototypes to meet specific technical requirements or objectives. Demonstration: Testing of the developed prototype system in a relevant operational environment.
For the purposes of this FOA, the type of project proposed determines the required amount of cost share. Cost share for Research and development projects must be at least 20% of the total allowable costs, and cost share for demonstration and commercial application projects must be 50% of the total allowable costs for demonstration and commercial application projects.
Question 47: What % of past concept paper were discouraged?
Answer 47: DOE cannot provide that information; it is considered proprietary.
Question 48: Can we be prime on one and sub on a second concept paper. We are not a university.
Answer 48: Yes, however, if you are not a university, then you must be a small business to apply as the prime. To be considered a small business, you must be able to meet the eligibility criteria contained in Section III. of the FOA. Question 49: What TRL level the result is expected?
Answer 49: The topic areas contained in this funding opportunity announcement do not state specific technology readiness levels for submission. It is recommended that applicants read the topic narrative carefully to determine if their proposed technology is consistent with the topic area requirements.
Question 50: On page 13 of the FOA, it says DOE VTO has a significant energy storage R&D portfolio. The purpose of this FOA is to solicit applications for work that is not represented, or is not significantly represented, in the current portfolio. Would this FOA be interested in a previously funded area, within the road map (i.e. lithium air battery) but the R&D has not produced any successful commercial application?
Answer 50: EERE will not make eligibility determinations for potential applicants prior to the date on which applications to this FOA must be submitted. Please review the entire FOA along with the technical requirements of the FOA to determine if your concept or technology fits within the requirements of this announcement. The decision whether to submit an concept paper/application in response to this FOA lies solely with the applicant. Please review the FOA to determine if you wish to submit a concept paper. At that time, based upon review of the concept paper, EERE can either encourage or discourage your organization from submitting a full application. Please also note that all full applications are subject to further review as outlined in the FOA, and that receipt of correspondence encouraging submission of a full application does not authorize the applicant to commence performance of the project.
Question 51: Can the lead institution be changed in the full proposal submission?
Answer 51: No.
Question 52: Are the awards random or specific for what we are asking for?
Answer 52: The funding available for those applications selected for negotiations will be based on the estimated available funding described in the Executive Summary and in Section II. A. 1. of the FOA.
Question 53: If a concept has elements of multiple areas of interest, should it be restructured as independent concepts or submitted as multiple integrated concepts?
Answer 53: Each full application must be limited to a single concept or technology. Unrelated concepts and technologies should not be consolidated into s single full application.
Question 54: How is the value of any in-kind contribution as part of cost share determined?
Answer 54: Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV.I.1 of the FOA. In addition, cost share must be verifiable upon submission of the Full Application.
Applicants are encouraged to refer to 10 CFR Parts 600 and 603 for additional guidance on cost sharing, specifically 10 CFR §§600.30, 600.123, 600.224, and 600.313.
Question 55: How many awards do you plan for each topic?
Answer 55: See Section II.A. of the FOA – approximately 7-14 awards in total, no defined split by topic area.
Question 56: What is the criteria for 100% funding (Grant)?
Answer 56: This question is not clear. This FOA will result in the negotiation of Cooperative Agreements, not grants. Applications will be reviewed for eligibility and technical merit. Cost share is required as follows:for research and development projects, 20% of the total project costs; and for demonstration and commercial application projects, 50 % of the total project costs.
Question 57: If a unique technology is developed under the project, will it be disclosed to the public after the program?
Answer 57: See Section VIII. L.M., N. and O, of the FOA for Intellectual Property information pertinent to your question.
Question 58: If am applicant received a discouraged reply for a concept paper, can the applicant still make modification to address the shortcoming and then to submit a final application?
Answer 58: Yes.
Question 59: What is the funding for each topic area?
Answer 59: The funding available for those applications selected for negotiations will be based on the estimated available funding described in the Executive Summary and in section II. A. 1. of the FOA.
Question 60: Sorry, missed the first 20 minutes. Can FFRDCs participate? Can they lead? Are they limited to one concept paper per FFRDC?
Answer 60: FFRDC’s may only participate as a subreicipent. See section III.A. of the FOA for more information on eligibility.
Question 61: Will this presentation be available online?
Answer 61: The webinar itself will not be available; however, everything that was discussed during the webinar can be found in the Funding Opportunity Announcement document, located in eXchange. Here is a link to website: https://eere-exchange.energy.gov. Additionally, all questions and answers from the webinar will be posted on eXchange, in the Questions/Answers section.
Question 62: Is there a source or list of areas previously funded, so we can tell if what we are proposing is of interest?
Answer 62: Project selections resulting from a Funding Opportunity Announcement (FOA) are typically announced via Energy Efficiency and renewable Energy (EERE) Progress Alerts, see http://apps1.eere.energy.gov/news/progress_alerts_archive.cfm. As an example, selections made under the FY13 Vehicles Program Wide Funding Opportunity Announcement are located at http://apps1.eere.energy.gov/news/progress_alerts.cfm/news_id=20547.
Question 63: Question on budget: does it allow 7% profit in the budget as SBIR projects?
Answer 63: No, profit is an unallowable cost for awards selected under this FOA.
Question 64: Can foreign nationals working in the U.S. work on proposed project teams?
Answer 64: Yes. However any foreign nationals proposed to participate in the project must be disclosed in the full application.
Question 65: Do all parties need to contribute the cost sharing?
Answer 65: No, so long as the cost share requirement is met or exceeded.
Question 66: Can we sign up for an e-mail that will automatically notify us when the FOA gets updated?
Answer 66: There will not be a notification to webinar participants that an amendment has been posted. Anyone that is registered in www.grants.gov under this FOA or technology description should receive an email notification when a change has been made to the FOA.
Question 67: Does the concept paper qualify as a public disclosure of a patentable idea?
Answer 67: No. Concept Papers are not disclosed to the public. Question 68: Is a larger cost share an advantage?
Answer 68: The proposed cost share could be considered by the Selection Official through the application of the Program Policy Factors. See Section V.C.1.
Question 69: Is there a minimum award amount?
Answer 69: The funding available for those applications selected for negotiations will be based on the estimated available funding described in the Executive Summary and in section II. A. 1. of the FOA.
Question 70: Can the cost-share be completely in-kind (patents, labor), or does a portion HAVE to be monetary?
Answer 70: There is no requirement that cost share be expressly cash or expressly in-kind. Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV.I.1 of the FOA. In addition, cost share must be verifiable upon submission of the Full Application. Applicants are encouraged to refer to 10 CFR Parts 600 and 603 for additional guidance on cost sharing, specifically 10 CFR §§600.30, 600.123, 600.224, and 600.313.
Question 71: Do we have to indicate we have foreign cooperation in the concept paper?
Answer 71: While it is not listed in the Concept Paper requirements description, it would be appropriate to mention this when addressing the project team. See eligibility criteria contained in Section III. of the FOA for more information on foreign entities.
Question 72: Can you explain the requirement to be off roadmap in this application?
Answer 72: Please review section I.A of the FOA for more information regarding the scope and goals of this FOA.
Question 73: Can you address the intellectual property or patent applications as a result of the DOE funding?
Answer 73: See Section VIII. L. and section VIII. N. of the FOA for Intellectual Property information pertinent to your question.
Question 74: Can cost share be applied from state funding sources and/or awards (non federal)?
Answer 74: Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV.I.1 of the FOA. In addition, cost share must be verifiable upon submission of the Full Application. Applicants are encouraged to refer to 10 CFR Parts 600 and 603 for additional guidance on cost sharing, specifically 10 CFR §§600.30, 600.123, 600.224, and 600.313.
Question 75: We are a small business and we are planning to submit a concept paper for "VEHICLE TECHNOLOGIES INCUBATOR DE-FOA-0000988."
We are not sure if our concept paper / proposal is best suited for the above mentioned FOA or the "FY 2014 VEHICLE TECHNOLOGIES PROGRAM WIDE FUNDING OPPORTUNITY ANNOUNCEMENT, DE-FOA-0000991." Since we are eligible for both (being a small business) is it OK to submit the same concept paper / proposal to both FOAs?
Answer 75: There is no prohibition against doing so. The Funding Opportunity Announcement (FOA) does not limit submission of concept papers or applications to other announcements. However, your concept paper or application must meet the requirements of each FOA and DOE will not fund the same project under two different announcements.
Question 76: On page 51 of the solicitation:
“The annual compensation costs (total amount of wages, salary, bonuses and deferred compensation) for an individual allowable for an award under this FOA are capped at $250,000 (i.e. $250,000 is the maximum amount that EERE will reimburse a Recipient for any one individual’s annual compensation and EERE will not recognize such costs above $250,000 as Recipient cost share).”
Does this limit cover the compensation for external independent consultants?
Answer 76: Yes, if the consultant is an individual. However, the limitation does not restrict Recipients or subrecipients from providing annual compensation to an individual that exceeds 250K, but the amount in excess of 250K cannot be included in the total project costs (federal and/or cost share). Question 77: Under DOE FOA 0000988, it seems that innovative electric vehicle supply equipment (EVSE) may fit under TOPIC AREAS/TECHNICAL AREAS OF INTEREST: Other: Can you please confirm if innovative electric vehicle supply equipment that has the potential to increase energy efficiency in the transportation sector, especially technologies that require vehicle-side hardware integration such as wireless charging, may be considered under this topic area? Can you please also confirm if there would be a preference between applications that include private innovative EVSE technologies to boost the adoption of electric vehicles or public applications to boost the adoption of electric vehicles and incentivize battery size reductions, especially among commercial fleets?
Answer 77: The Department of Energy does not make recommendations regarding specific Areas of Interest or technologies outside of the full technical review process which is outlined in the Funding Opportunity Announcement (FOA). It is the full responsibility of the applicant to review the requirements of the FOA and make the determination of whether the technology is in line with those requirements. DOE will not provide submission recommendations prior to submission of a Concept paper. At that time, based upon review of the concept paper DOE will either encourage or discourage your organization from submitting a full application. An applicant who receives a “discouraged” notification may still submit a Full Application. However, by discouraging the submission of a Full Application, DOE/EERE intends to convey its lack of programmatic interest in the proposed project. Please also note that all full applications are subject to further review as outlined in the FOA, and that receipt of correspondence encouraging submission of a full application does not authorize the applicant to commence performance of the project.
Question 78: Does DE-FOA-0000988 prohibit a large company from being a subcontractor on the proposal?
Answer 78: No. See section III.A of the FOA for eligibility requirements.
Question 79: Does DE-FOA-0000988 requires a demonstration/commercialization piece or can it be strictly R&D?
Answer 79: No, demonstration/commercialization is not required, and yes it can it be strictly research and development. However, a Market Transformation/Commercialization Plan must be included in the Technical Volume of the application, even if the application consists entirely of R&D activities. See section IV.D of the FOA for more information regarding the content of the full application.
Question 80: Will patent-related cost be allowable in this program? The patents will be developed directly during this project.
For certain SBIR projects, patent costs are allowable. But I cannot find very clear information in the solicitation.
Answer 80: In general, patent costs are unallowable, with limited exceptions. Applicants should review the appropriate cost principles (FAR Part 31.205-30(b) and (c)) for additional information.
Question 81: 1) If our organization decides to select an FFRDC/ or non-FFRDC laboratory as a subrecipient, would our organization be the Prime Recipient and the lab be the subrecipient? Would the lab’s funding portion (let's say 40%) be given directly to the lab, and the other 60% to us?
(2) We have not yet incorporated, but are in the process of doing so. May we submit a Concept Paper without the incorporation complete yet (i.e. - without an EIN)? We will have that information by the time of the full application.
(3) In line with the previous question, do we need to have a DUNS or SAM MPIN by the time of the concept paper? Again, we will have these by the time of the full application.
(4) Can the cost-share portion be comprised entirely of in-kind payment (labor, patents, etc)? Or does some of it need to be monetary?
(5) Can a provisional patent be considered as in-kind payment? If not, can a patent that's filed but not yet granted be considered as in-kind payment?
Answer 81: (1) FFRDC’s may only participate as a subrecipent. In order for your organization to apply as the Prime, you must be a university or a small business. To be considered a small business, you must be able to meet the eligibility criteria contained in Section III. of the FOA. 60% of the effort must be performed directly by the Prime Recipient.
(2) A Concept Paper can be submitted but the process of incorporation must be completed by the time the Full Application is submitted.
(3) Consistent with the FOA, the eXchange system will allow an applicant to submit who is not yet registered in SAM or FedConnect; however, applicants should complete the registration as soon as possible since the registration requirements could take several weeks to process and are necessary for a potential applicant to receive an award under this FOA.
(4) In-kind cost share is fine, as long as it is allowable per the applicable Federal cost principles, as described in Section IV.I.1 of the FOA. In addition, cost share must be verifiable upon submission of the Full Application.
(5) No - a provisional patent or a patent that is filed but not yet granted would not be considered allowable cost share.
Question 82: Can you clarify: “The Prime Recipient effort must be at least 60% of the total estimated cost of the project.”
Does this mean 60% of the total labor costs? 60% of sourced items? Can the prime buy all supplies for the project and count this towards the 60%?
Answer 82: The restricted eligibility in this FOA targets educational institutions and small businesses that meet the defined criteria. In support of this, DOE has determined that the Prime Recipient must perform 60% of the total estimated effort. This means that the labor, materials/supplies, travel, and associated indirect costs incurred by the Prime Recipient must equal or exceed 60% of the total estimated cost of the project. Question 83: After entering all the necessary information and uploading the three page concept paper I’m unable to submit the paper, due to the following error
The following items must be resolved before submitting the Concept Paper: •	Additional information is required on the Funds and Costs tab. o	Application requires applicants to contribute at least 20% of the total project cost. Please enter a cost share that is at least 20% of the total project cost.
My understanding is that this a concept paper and does not require a budget or confirmation of cost share.
Answer 83: Since the full application requires a minimum cost share of 20%, the eXchange system flows this requirement down to the concept paper. Therefore, while the FOA does not require that Applicants address cost share as part of the concept paper, applicants must specify in eXchange that the minimum cost share requirement will be met. Question 84: Is an abstract required with submission of the concept paper? The eXchange system prompts the submission of an abstract.
Answer 84: The FOA does not require that Applicants include an abstract with the concept paper; however, the eXchange system does require the abstract. When preparing the abstract in eXchange for the concept paper, Applicants should ensure that the information provided in the abstract does not conflict with the final abstract that is submitted with the full application. However, Applicants will be permitted to revise the abstract once the concept paper process is complete, and Applicants are preparing their full applications. Use the Abstract field in Exchange to provide a brief Description of their projects not to exceed 4,000 characters spaces included. The information provided in the abstract will NOT count towards the concept paper page limit of 2 pages for technical discussion and a 1 page addendum.
Question 85: Do we list organizations who will contribute cost-sharing under "Team Members" in a concept paper submission through EERE's eXCHANGE portal?
Answer 85: No, the Team member worksheet in EERE Exchange is where an applicant identifies the Sub-contractors that will be working with the Lead organization. The EERE Exchange system allows applicants to update (Add/edit/delete) this information in the Full Application phase of the submission process. The applicant is also asked to identify what percentage of the work each team member (sub Contractor) will be performing on the project. Lead organization percentage of Work plus Team Member percentages of work must equal 100%.