EERE eXCHANGE: FAQs

Question 1: The type of award instrument is for a cooperative agreement, does this mean that a company making an application needs to have a co-applicant?
Answer 1: The term "Cooperative Agreement" refers to the relationship that the recipient of the award will have with the Department of Energy for the duration of the award. A Cooperative Agreement is an award type that is used in place of a grant when substantial involvement is anticipated. This means that the recipient can expect substantial agency collaboration, participation, or intervention in project performance.

Question 2: Does my specific technology qualify for funding under this announcement?
Answer 2: NETL would have to make a judgment call based on the little information provided to us as to whether you should apply or if your technology is applicable. It is for this reason that NETL does not encourage or discourage application submissions. Please read the Funding Opportunity Announcement (FOA) to determine if your technology fits the Department of Energy objectives, if your organization is eligible to apply and how to submit an application. If you choose to submit an application, please select the Technical Subtopic you feel is most appropriate. NETL reserves the right to move your application to another Technical Subtopic if it is more suitable.

Question 3: Topic Area 4 states that the “DOE seeks research for the development of advanced manufacturing of low cost integrated substrates and encapsulation materials.” Should responsive proposals address both low cost integrated substrates AND encapsulation materials or is it OK to address only one of these technologies?
Answer 3: While DOE is seeking research for the development of both of the technologies, each proposal submitted can address just one of the technologies.

Question 4: Is a wholly owned subsidiary of a foreign corporation an eligible applicant under this FOA?
Answer 4: A wholly owned subsidiary of a foreign corporation that is located in the United States could be considered under this FOA, provided the proposed project meets the qualifications outlined in Section III A. of the FOA.

Question 5: What technical readiness level (TRL) (1-9) projects are in the scope of this solicitation?
Answer 5: This Opportunity does not require specific Technology Readiness Levels. In general, proposed approaches may begin in TRL 2, 3, or 4 and may proceed through levels 5 or 6, depending upon the specific approach. Simply put, the majority of the effort should reside in feasibility research, but may move into relevant technology demonstration.

Question 6: Program Area of Interest 3 - OLED Deposition Equipment" includes deposition of organic material and barrier coating. Could a proposal include just one deposition step?
Answer 6: While DOE is seeking research for the development of both of the technologies, each proposal submitted can address just one of the technologies.

Question 7: In "Program Area of Interest 3 - OLED Deposition Equipment," a cost-of-ownership analysis and a comparison with existing tools available from foreign sources is required. Existing tools from foreign countries are quite diversified, from expensive OLED deposition tools from Germany to low-end tools from China? Could you explain it?
Answer 7: The expectation is that an applicant should compare/contrast their approach versus what is commercially available. The author should make the best comparative representation which will allow a critical assessment of the proposed approach. This should include cost and performance attributes where applicable.

Question 8: Do we need to fill out the Budget 424A by task as opposed to using whole project totals?
Answer 8: The 424A should be completed with estimated budget category totals and should not be broken down into tasks. That level of detail should be provided in the Budget Justification documentation, as detailed in the FOA. You should complete a SF424A for each year of the project as well as a cumulative SF 424A for the entire project. In keeping with the instructions for the FOA, if you have a sub award(s) valued at greater than $100,000 or 49% of the total project value, a separate set of 424A forms should be completed for the sub as well.

Question 9: My technology does not fit any of the specific areas of interest but is an innovative technology. Can I still propose under this FOA?
Answer 9: While DOE does not encourage or discourage applicants from applying to FOAS, if an application is deemed non-responsive to the programmatic goals and objectives of the FOA, it will not be considered for evaluation or award.

Question 10: Can a for-profit organization submit an application under this FOA?
Answer 10: Yes, Applications from for-profit organizations can be considered for award under this FOA. For a complete listing of eligibility criteria, please see the body of the FOA, Section III - Eligibility Information.

Question 11: On page 15 of the solicitation, Section D, it talks about 3 required trips/presentations 1) Briefing, 2) Annual SSL Workshop, and 3) Peer Review Meeting. Should we budget these 3 meetings for each year of the proposed project? For example, if we have a 2 year project, should we budget a total of 6 trips, with doing the 3 above each year?
Answer 11: Applicants should budget 3 trips annually. Accordingly, in the event of a 2 year project, the amount of budgeted trips should be 6. If selected, and after award, DOE may negotiate the amount of trips taken under the project.

Question 12: Do we need to follow the travel/per diem allowable expenses from the gsa.gov/perdiem website?
Answer 12:

Each organization must follow the regulations applicable to their specific type of entity. For-profit entities (and those non-profit entities that do not have an established travel policy) will follow the Federal Travel Regulations (FTR). As such, GSA established per diem rates should be used when preparing an application. FTR can be found at http://www.gsa.gov/portal/content/104790. Per Diem rates can be found at http://www.gsa.gov/portal/category/21287. Institutions of Higher Education, Hospitals and most Nonprofit Organizations use their entities' established travel regulations.

Question 13: What start date should be used for budgeting purposes?
Answer 13: Answer: Under Section V.C., the FOA states "Selection and Award Date: DOE anticipates notifying applicants selected for award by the end of June 2012 and making awards by no later than the end of September 2012." Accordingly, Applicants may propose a start date of October 1, 2012 for budgeting purposes.

Question 14: It seems the SSL R&D Workshop was 3 days this year (Feb 1 – 3 ) and the Peer Reviews were on average 2 days. Is it required to stay for the complete duration of these workshops/meeting…or should we just budget a 1 day stay? Please advise as to budget 3 days for the R&D Workshop and 2 for the Peer Review.
Answer 14:

It is the expectation of the SSL program that you would participate in the full duration of the annual workshop where practical. A main goal of the program is networking. As such, you should make yourself available. Don't forget to add travel on the front and rear of the meeting as necessary.

Regarding the Peer Review, your actual participation is only a couple of hours. You will not be asked participate in other sessions. However, to be safe, you should plan 2 days total to account for potential travel.

Question 15: What is the frequency of the required report form? The one provided is an Example that says quarterly…but I just wanted to confirm.
Answer 15: The sample reporting requirements for this program, which are attached in eXCHANGE under Required Application Documents, reflect a requirement for Yearly Research Performance Progress Reports. Quarterly financial reports are required in addition to other Final reports, as specified. Informal interim reports will likely also be submitted at the request of the Project Manager.

Question 16: Are there any other progress reports that will need to be submitted beyond the requirement for the Research Performance Progress Report? If so, what is the format and frequency of those?
Answer 16: Topical reports may be required on a periodic basis in order to publish certain technical milestones. Applicants can budget for approximately 2 Topical reports during the project. The format for a Topical report is contained in the sample Federal Assistance Reporting Checklist and Instructions referenced on page 29 of the FOA and as contained in eXCHANGE.

Question 17: It may be necessary for a contractor to configure and optimize equipment for this project. Should such cost for this configuration and optimization be categorized under “Equipment”, “Contractor” or another category in the budget?
Answer 17: Equipment purchased by a contractor shall be included under the "contractual" category of the SF 424A. The budget justification file should clearly identify and itemize all costs associated with a subcontract effort such that it is apparent that equipment will be purchased by a contractor.

Question 18: Does the Sub-Recipient get included in the main Labor Matrix, or should there be a separate labor matrix for the Sub-Recipient ? ( Just like there has to be a separate budget and budget narrative for the Sub-Recipient.)
Answer 18: The labor matrix should include key personnel, regardless of who they work for. All personnel, regardless of their affiliation (Recipient or Sub-Recipient), should be identified in one integrated matrix.

Question 19: Is it permissible to incur costs for the final deliverables which are due after the award period expires?
Answer 19: Yes, allowable costs related to the generation of final deliverables may be submitted for payment after the end date of the award period. These anticipated costs, if any, should be reflected in the budget for the last budget period of the award.

Question 20: In the FAQs Question 8, the response is “You should complete a SF424A for each year of the project as well as a cumulative SF 424A for the entire project”. Does that mean for a two year program we would have 3 424A forms? In the instructions attached to the form it says that when applying for assistance which requires Federal authorization in annual or other funding period increments, Sections A, B, C. D should provide the budget for the first year, and section E should present the need for Federal assistance in the subsequent budget periods. That seems like all will fit on the one form. Please clarify how a 2-year program should be done.
Answer 20:

Yes, a two year award would contain 3 (three) SF 424A forms, including one for each budget period and a cumulative. The budget forecasting information in Sections D&E is used to monitor federal cash needs throughout the duration of the project and should reflect the cash needs for the time period for which the form is being completed.

Question 21: For this solicitation, will merit reviewers be limited to internal federal DOE employees, or will non-federal external reviewers be included on the panel?
Answer 21: Merit reviewers will be both federal and non-federal personnel. Consistent with Section VIII.E of the FOA, all carefully selected reviewers will complete Conflict of Interest and non-disclosure forms to protect the information contained in the award applications.

Question 22: Do you have any sample grant narratives available to view online?
Answer 22: You should submit a narrative consistent with the content and format prescribed in the FOA.

Question 23: Will you allow a luminaire that include the LED chips?
Answer 23: Yes, luminaires that include the LED chips are an acceptable approach under AOI 1: M.L.1 - LED Luminaire/Module Manufacturing.

Question 24: Will you allow an epitaxial foundary that is in a foreign country?
Answer 24: Foundaries outside the US are acceptable approaches. However, potential applicants should be aware that "...foreign subrecipient effort, in aggregate, shall not exceed 15% of the total estimated project costs, including both the applicant’s and the foreign subrecipient’s portions of the effort."

Question 25: Regarding the response for Question 20, how do we fill out the form for the cumulative? The headers do not accommodate for multiple years. Also, how do we differentiate between the years when there is nowhere on the form to indicate the dates reflected in the budget. If 3 forms would have to be done for a 2 year program, then it appears Section E would be the same on each of the 3 versions…correct?
Answer 25: For the cumulative 424A, "Section B - Budget Categories" the columns should be separated into federal and non-federal dollars by budget category, typically we will see these broken out in columns (1) and (2). You would not break the cumulative budget into separate budget periods on the 424A, but use only the totals for the budget periods. You should annotate which budget it is by inserting "Budget Period {1,2,3 or Cumulative, as applicable}" into the header. You should not indicate performance dates on this form. Section E would be the same for all of the forms.

Question 26: If sub-recipients are included the proposal, does each sub-recipient need to contribute 20% cost share to the federal funds they are receiving
Answer 26: The prime recipient is responsible for ensuring that there is a 20% cost share within the total overall project cost. The prime can independently provide the total cost share for the entire project.

Question 27: How would Section D – Forecasted Cash Needs on the SF 424A be completed when it asks to break amounts out by Quarter and we have a two year project?
Answer 27: This section can be left blank for the Cumulative 424A.

Question 28: Is the Statement of Project Objectives a separate stand alone document or to be integrated into the 30 page limit for the narrative? Also, I’m confused about the earlier technical merit discussion as to how detailed the milestones and related info needs to be at this point. For example, should our Gant timeline chart be placed in the appendix?
Answer 28: In section V.C.3. "Project Narrative File" of the Funding Opportunity, all items required to be included in the 30 page limit are clearly noted. In addressing the milestones, you should use as much detail as is necessary to convey to the evaluation team exactly what the projected status of the project is at any given point in time for the duration of the project. Although not required, a Gantt Chart could be used in this section to help convey these milestones.

Question 29: I have not received confirmation of my CCR registration yet. Can I still submit a proposal?
Answer 29: All applications for this FOA are to be submitted through the Exchange website; therefore, failure to have a completed CCR registration will not prevent you from submitting an application under this FOA. However, a valid CCR registration IS required to receive any federal award resulting from this FOA so you should ensure this process is completed as soon as possible.

Question 30: Is a field work proposal required with the initial proposal? If so, is a form available?
Answer 30: As stated in the FOA Section IV C. 5. "If a non-DOE FFRDC contractor or DOE/NNSA National Laboratory is to perform all or a portion of the work, you must provide a DOE Field Work Proposal in accordance with the requirements in DOE Order 412.1 Work Authorization System." You can find the DOE Order 412.1 Work Authorization System form in the "Required Application Documents" portion of the FOA in Exchange.

Question 31: Do we need to submit a separate budget for subawardees?
Answer 31: Please see Sections IV C. 8&9 of the FOA which state: "Applicants must also provide a separate budget (i.e., budget for each year and a cumulative budget) for each subrecipient, that is expected to perform work estimated to be more than $100,000 or 49% of the total work effort (whichever is less). If an FFRDC or other DOE/NNSA National Laboratory is being proposed as a subrecipient, an SF 424A is not required for their effort. In this case, budget information for FFRDC or other DOE/NNSA National Laboratory shall be provided on the Field Work Proposal described above in Section IV.C.5." and "Each subrecipient that is expected to perform work estimated to be more than $100,000 or 49% of the total work effort (whichever is less) is also required to submit a subrecipient budget justification. "

Question 32: Our organization does not engage in lobbying activities. Do we complete the SF-LLL form?
Answer 32: The SF-LLL form is only required for firms that engage in lobbying activities. This form is listed as "If Applicable" in the FOA Section IV C. 10.

Question 33: Should costs related to improvements on our equipment/manufacturing process that have been incurred prior to this proposal be included in the SF424A as a project cost?
Answer 33: Only costs associated with the conduct of the scope of work for the proposed project should be included in the budget on the SF424A.

Question 34: For the form SF 424 "Application for Federal Assistance", what time period should the amount in field 18 represent? The instructions are not clear how to handle a project with multiple budget periods
Answer 34: Field 18, items a-g on the SF 424 should reflect the entire project, not just a particular budget period. It is not anticipated that you will need to address all items a-g, but at a minimum should be broken down into federal and non-federal totals.

Question 35: Please advise on the definition of Color Control (SDCM) and the definition of the scale used of a Current value of 7 compared to 4.
Answer 35:

SDCM, commonly referred to as MacAdam Ellipse, stands for Standard Deviation of Color Matching. It defines color control on a chromaticity diagram and defines the perceivable changes in color. In the case of the Manufacturing Roadmap, the current technology status is 7 standard deviations (or steps). The target is to move towards 4 standard deviations by 2015. 3 standard deviations (or steps) is generally considered to be slightly perceivable by the human eye.

Question 36: Please advise on the definition of $50/klm
Answer 36: Klm stands for a kilolumen or 1000 lumens. For reference, a kilolumen is slightly more than the output of a 60 watt incandescent A-lamp and slightly less than the output of a 75 watt incandescent A-lamp. In this case, the current status of the original equipment manufacturer (OEM) lamp price is approximately $50 per every 1000 lumens of light output. The 2015 target is $10 per every 1000 lumens of light output.

Question 37: Do you have any tables or examples to aid in understanding the goals of the program?
Answer 37: Please refer to the MYPP and Manufacturing Roadmap (link in Section I. A.of the FOA) for additional information, if needed.

Question 38: I have uploaded all of the required documents, how do I complete the application process?
Answer 38: After you have uploaded the application, you will need to click on the "Submit" button to complete the application process. This process is explained in the Exchange user guide page 20.

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