FINANCIAL ASSISTANCE FUNDING OPPORTUNITY ANNOUNCEMENT

U.S. Department of EnergyGolden Field Office

PV Manufacturing Initiative Part 2:SUNPATH (Scaling Up Nascent PV AT Home)

All questions related to this Funding Opportunity Announcement (FOA) must be submitted to sunpath@go.doe.gov not later than five (5) business days prior to the Application due date.

Funding Opportunity Announcement Number: DE-FOA-0000566

Announcement Type: Initial

CFDA Number: 81.087

Issue Date: 08/02/2011

Applications Due: 10/28/2011, 5:00pm EDT

EXECUTIVE SUMMARY

Federal Agency Office of Energy Efficiency and Renewable Energy (EERE), U.S. Department of Energy (DOE)

FOA Title PV Manufacturing Initiative Part 2: SUNPATH (Scaling Up Nascent PV AT Home)

FOA Number DE-FOA-0000566

CFDA Number 81.087

FOA Issue Date: August 02, 2011

Deadline for Questions to sunpath@go.doe.gov:

5:00 PM EDT, October 21, 2011

Submission Deadline for Applications:

5:00 PM EDT, October 28, 2011

Expected Date for Selection Notifications:

Approximately January 15, 2012

Expected Date for Awards:

Approximately February 15, 2012

Means of Submission All submissions must be submitted to EERE’s online application portal, EERE eXCHANGE (http://eere.energy.gov/financing/exchange) before the submission deadline. Submissions received through other means will not be considered or reviewed. EERE strongly encourages Applicants to submit their Applications at least 24 hours in advance of the submission deadline.

Total Amount to Be Awarded

Approximately $50 million is expected to be available for new awards under this FOA, subject to the availability of appropriated funds. The maximum DOE obligation for each award is $25 million.

Anticipated Awards DOE may issue one, multiple, or no awards under this FOA. Individual awards may vary ranging up to $25 million in DOE obligated funds, subject to availability.

Types of Funding Agreements

Cooperative Agreements (see 10 CFR Part 600) and Technology Investment Agreements (see 10 CFR Part 603) under DOE’s “Other Transactions” Authority.

Period of Performance Up to 24 months.

Domestic Manufacturing Requirement

Domestic manufacturing requirement will extend beyond the period of performance.

2

Eligibility All entities incorporated in the United States are eligible to apply for this FOA as prime recipients, except nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995.

Cost Share Requirement

Recipients are required to provide not less than 75% of the total project cost as cost share. At least two-thirds of the cost share contribution must be in the form of cash. See Section III.B and Appendix C of the FOA for more information.

Agency Contact Applicants may contact EERE through the following email addresses: sunpath@go.doe.gov for questions regarding this FOA. Insert FOA

title and number in subject line of emails. ExchangeSupport@hq.doe.gov for questions regarding EERE

eXCHANGE. Insert FOA title and number in subject line of emails.

DOE will not accept or respond to communications received by other means (e.g., telephone calls, faxes). Emails sent to other email addresses will be disregarded.

Application Forms Required forms for Applications :1. SF-424, 2. Summary/Abstract for Public Release, 3. Summary Slide, 4. Project Narrative, 5. Resume File, 6. Prime recipient SF-424A, 7. Prime recipient Budget Justification, 8. Letters of Commitment (if applicable), 9. Sub-recipient SF 424A (if applicable), 10. Sub-recipient Budget Justification (if applicable), 11. SF-LLL (if applicable), 12. Statement of Project Objectives.

The forms are available at http://eere.energy.gov/financing/exchange.

NOTE TO ALL APPLICANTS: Significant delays may occur in processing of awards if the applicants do not follow all registration requirements. Please register in eXCHANGE, obtain a DUNS number, and register in Central Contractor Registry (CCR) and FedConnectas soon as possible. For details on how to register, please see “Submission and Registration Requirements” in Section IV, Part H.

3

Table of Contents

Number Subject Page

EXECUTIVE SUMMARY..........................................................................................................................2SECTION I – FUNDING OPPORTUNITY DESCRIPTION (FOA).....................................................6

A. SUNSHOT..............................................................................................................................6A. BACKGROUND....................................................................................................................7B. FOA OBJECTIVES................................................................................................................8

SECTION II – AWARD INFORMATION.............................................................................................10

A. Type of Award Instrument....................................................................................................10B. Estimated Funding................................................................................................................10C. Maximum and Minimum Award Size..................................................................................11D. Expected Number of Awards................................................................................................11F. Period of Performance...........................................................................................................11G. Payment................................................................................................................................11

SECTION III - ELIGIBILITY INFORMATION..................................................................................12

A. Eligible Applicants...............................................................................................................12B. Cost Sharing..........................................................................................................................12C. Other Eligibility Requirements.............................................................................................12

SECTION IV – APPLICATION AND SUBMISSION INFORMATION............................................14

A. Address to Request Application Forms................................................................................14B. Letter of Intent and Preliminary Application........................................................................14C. Content and Form of Application.........................................................................................14D. Submissions from Successful Final Applicants....................................................................21E. Submission Dates and Times................................................................................................21F. Intergovernmental Review....................................................................................................21G. Funding Restrictions.............................................................................................................22

SECTION V - APPLICATION REVIEW INFORMATION................................................................24

A. Criteria..................................................................................................................................24B. Review and Selection Process...............................................................................................27C. Anticipated Notice of Selection and Award Dates...............................................................28

SECTION VI - AWARD ADMINISTRATION INFORMATION.......................................................29

A. Award Notices......................................................................................................................29B. Administrative and National Policy Requirements...............................................................29

4

C. Reporting...............................................................................................................................31SECTION VII - QUESTIONS/AGENCY CONTACTS........................................................................33

A. Questions..............................................................................................................................33SECTION VIII - OTHER INFORMATION...........................................................................................34

A. Amendments.........................................................................................................................34B. Government Right to Reject or Negotiate.............................................................................34C. Commitment of Public Funds...............................................................................................34D. Proprietary Application Information....................................................................................34E. Evaluation and Administration by Non-Federal Personnel...................................................35F. Intellectual Property Developed under this Program............................................................35G. Notice of Right to Request Patent Waiver............................................................................36H. Notice of Right to Conduct a Review of Financial Capability............................................37I. Notice of Potential Disclosure under Freedom of Information Act......................................37

REFERENCE MATERIAL......................................................................................................................38

Appendix A: Definitions............................................................................................................38Appendix B: Personally Identifiable Information.....................................................................42Appendix C: Cost Share Information........................................................................................44Appendix D: Budget Justification.............................................................................................48

5

SECTION I – FUNDING OPPORTUNITY DESCRIPTION (FOA)

A. SUNSHOT

DOE’s SunShot Initiative1 sets out to reduce the total costs of solar-based electricity generation systems by about 75 percent so that they are cost competitive at large scale with other forms of electricity generation without subsidies and before the end of the decade. By reducing the cost for utility scale installations by about 75 percent to roughly $1 per watt ($1/W) – which would correspond to approximately 6 cents per kilowatt-hour (kWh) – solar electricity systems could be broadly deployed across the country. This target represents a significantly more challenging goal than current “business as usual” projections of reaching $2.20/WDC for utility scale systems by 2016 and would enable large scale deployment of solar without subsidies. To reach this goal, photovoltaic (PV) module, for example, costs need to reach $0.50/WDC, balance of systems (BOS) costs would need to be at $0.40/WDC, and power electronics cost would need to reach $0.10/WDC (see Figure 1).

The SunShot program builds on the legacy of President Kennedy’s 1960s “moon shot” goal, which laid out a plan to regain the country’s lead in the space race and land a man on the moon. The program will aggressively drive innovations in the ways that solar systems are conceived, designed, manufactured and installed.

Figure 2: Approximate costs for utility scale PV systems in 2010 (not including land costs) and current projections of a "business as usual" scenario are presented for 2016. With the SunShot program, the DOE will work with industry, academia, and the National Laboratories to innovate towards $1/WDC installed systems.

Pursuing the $1/WDC goal puts the United States in a scientific and technical race with other nations to develop, commercialize, and scale-up new PV technologies.

1 https://www.eere.energy.gov/solar/sunshot

6

(Business as usual)

A. BACKGROUNDAs recently as 1995, the United States held a dominant position in the worldwide supply of photovoltaic cells and modules, accounting for approximately 43% of total global production. By 2010, the U.S. share of worldwide PV production fell to about 7%.2 A core objective of the SunShot Initiative is to reverse this trend and increase domestic PV manufacturing. A recent National Renewable Energy Laboratory (NREL) analysis as well as several public statements from senior officials at major global solar companies dispel the popular notion that low-cost labor is the primary driver for locating manufacturing offshore – with advanced automation in modern factories and recent increases in fuel and shipping costs, the differences in PV manufacturing costs between Asia and the U.S. are no longer significant. Instead, access to capital and other incentives (including free land, 15-year tax holidays, etc.) appear to be the most significant driver of corporate decisions in locating PV manufacturing facilities.

At present, U.S. PV companies that received funding from the U.S. Government and venture capital to conduct early-stage research and development (R&D) are being attracted overseas by offers of low-cost long-term capital for the most critical phase of the companies’ growth: pilot and pre-commercial to full-scale manufacturing. Historically, the U.S. Government and the private sector have been reluctant to fund the transition from R&D to large-scale manufacturing. By contrast, foreign governments, especially in Asia, have offered a range of financial incentives for companies seeking to establish large-scale manufacturing facilities. As a result, manufacturing jobs have moved overseas, and the U.S. manufacturing base has eroded. The continued loss of domestic manufacturing capacity will inevitably weaken the innovation commons in the United States and the ability to innovate in the supply chain and related industries. Of greater concern is the migration of the manufacturing base which is followed by the migration of the associated supply chain (in the case of silicon-based solar modules, this is beginning to happen already). This trend presents a double danger of the U.S. losing global competitiveness in a market that is projected to reach $1trillion with a direct consequence being the loss of U.S. jobs.

This PV Manufacturing Initiative II (PVMI II - SUNPATH) follows in the footsteps of the successful Electric Drive Vehicle Battery and Component Manufacturing Initiative funded by the American Recovery and Reinvestment Act of 2009, which supported the establishment of factories and supply chain for the manufacturing of advanced battery technologies.3 Currently over 19 battery factories are under various stages of construction and ramp up. Through this effort, the U.S. Government has ensured that great strength in domestic innovation is matched by great strength in domestic manufacturing. PVMI-II uses a different approach from the above-mentioned battery manufacturing initiative in that the Federal funding will be highly-leveraged by non-Federal contributions.

2 Navigant Consulting (04/2011)3 http://www.eere.energy.gov/vehiclesandfuels/pdfs/de-foa-0000026-000001.pdf

7

B. FOA OBJECTIVESThe goal of this PV Manufacturing Initiative II (PVMI II) is to increase PV manufacturing in the United States within the framework of the broader SunShot goal of achieving $1/W installed utility-scale systems by 2020. The program seeks not only to increase US manufacturing but to do so through investments that will have sustainable and globally competitive cost and performance advantages via the SunShot goal. There are three parts to the successful achievement of the goals of the PV Manufacturing Initiative: the SunShot Advanced Manufacturing Partnerships (PVMI I), Scaling Up Nascent PV AT Home (PVMI II - SUNPATH), and Validation (PVMI III, not yet released). In PVMI I, the SunShot Advanced Manufacturing Partnerships made awards to three industry and academic teams that focused on R&D in PV manufacturing technologies. Advances made by these Partnerships will enable substantial cost reduction in the production of PV modules. To ensure that these innovative technologies are manufactured domestically, the goal of Part II of the PV Manufacturing Initiative is to support the initial ramp up to high volume manufacturing, thus enabling US industry to overcome the second “funding gap” (i.e., the first pilot plant towards full scale manufacturing) while also requiring replication and expansion of commercial manufacturing of products and technologies in the US.

Figure 1: Financial investments are lacking at two stages, at the typical pre-commercialization and the pre-IPO stage. PVMI II is addressing the second funding gap (also to note on the logarithmic scale of this graph, the Government’s fraction of investment is largest in the earlier stages of R & D).

SUNPATH will help ensure that the most innovative and lowest cost PV technologies are manufactured in the United States. In Part III of this Initiative, new solar technologies developed and manufactured in Parts I and II will be validated at scale in multiple locations/climates in the United States. The validation of innovative new PV technologies will improve bankability, thereby lowering risks associated with large-scale deployment projects. These three parts of the PV Manufacturing Initiative will together aid in the successful translation of innovation to manufacturing of PV modules. This approach directly supports the DOE's Energy Strategic Goal:

8

"To protect our national and economic security by promoting a diverse supply and delivery of reliable, affordable, and environmentally clean energy." The projects awarded here will also significantly strengthen the U.S. manufacturing base within the solar technology landscape.Under this FOA, the DOE Solar Energy Technologies Program (SETP) is requesting applications for the first industrial scale demonstration of the applicant’s PV module, cells, or substrates that are at least 15% lower in cost per watt than the current market leading technology (the benchmarking is to be done at the proposed scale and at the time of the submittal of the proposal). This target is in line with the $1/W goal by 2020 and should be articulated in that context. Significant non-Federal total cost share is required, to be achieved in partnership with private capital and state and regional funds. This funding opportunity will address the currently unfulfilled and urgent need for a significant investment to assist the first industrial scale manufacturing of a new PV technology and contain a vigorous domestic manufacturing component.

9

SECTION II – AWARD INFORMATION

A. Type of Award Instrument

DOE anticipates awarding cooperative agreements or Technology Investment Agreements (TIAs) under this program announcement. TIAs are a type of assistance instrument used to support or stimulate projects involving for-profit firms, especially commercial firms that do business primarily in the commercial marketplace. TIAs are different from grants and cooperative agreements in that the award terms may vary from the Government-wide standard terms and therefore can provide more flexible terms than traditional financial assistance agreements (see DOE TIA regulations at 10 CFR part 603) (e.g. negotiable audit and intellectual property provisions). The primary purposes for including TIAs as an optional type of award instrument is to encourage non-traditional Government contractors to participate in this Research, Development and Demonstration (RD&D) program and to facilitate new relationships and business practices. A TIA can be particularly useful for awards to consortia (see 10 CFR 603.210(b) and 603.515, Qualification of a consortium). An applicant may request a TIA if it believes that using a TIA could benefit the RD&D objectives of the program (see section 603.225, Benefits of using a TIA) and can document these benefits. After an applicant is selected for award, the Contracting Officer will determine if awarding a TIA would benefit the RD&D objectives of the program in ways that likely would not happen if another type of assistance instrument were used (e.g., cooperative agreement subject to all the requirements of 10 CFR part 600). The Contracting Officer will use the criteria in 10 CFR 603, Subpart B to make this determination.

B. Estimated Funding

SUNPATH

Award Duration (years)

2 years for project (Domestic Manufacture Requirement extends beyond end of project period of performance)

Maximum Award

Maximum DOE obligation per award is up to $25M, with 75% non-DOE cost share (two-thirds of the cost share is in the form of cash)

Approximate DOE Share

$50M available for awards under this FOA, subject to the availability of appropriated funds

Objective

Domestic industrial scale manufacturing demonstration of a PV technology :- 15% lower in cost per watt when compared to the industry leader- progressing significantly towards the SunShot goal of $0.50/W modules

10

- >25 year lifetime and sufficiently high efficiency for low Balance of Systems costs. - Replication and expansion of commercial manufacturing of products and technologies in the US.

C. Maximum and Minimum Award SizeThe individual maximum DOE award size given under this FOA is $25M, subject to the availability of appropriated funds. There is no minimum award size for this solicitation.

D. Expected Number of AwardsEERE may issue one, multiple, or no awards under this FOA. The DOE anticipates making two or more awards under this solicitation, subject to the availability of appropriated funds.

F. Period of Performance DOE anticipates that the period of performance will range up to 24 months. Please note that the domestic manufacture requirement extends beyond end of project completion.

G. Payment DOE may use milestone-based payments as the method of payment for awards issued under this announcement. Specifically, the recipient will be reimbursed for incurred costs at each payable milestone accomplished in accordance with the schedule of payments and payable milestones negotiated between DOE and the recipient. The final milestone payment may be adjusted unilaterally by DOE to reflect the total costs incurred, if such costs are less than the total amount of all the payable milestones. DOE may unilaterally adjust amounts of future milestone payments if expenditures fall too far below the projections that were the basis for setting the schedule of payments and payable milestones.

11

SECTION III - ELIGIBILITY INFORMATION

A. Eligible Applicants All entities incorporated in the United States are eligible to apply for this FOA as prime recipients, except nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995.

Entities not incorporated in the United States are not eligible to apply as the prime recipient. However, foreign participants are allowed as sub-recipients to a domestic entity provided that:

The foreign sub-recipient(s), in aggregate, shall not receive more than 20% of the total estimated DOE funding and

The foreign participant must provide at least 75% cost sharing (2/3 of that in form of cash) of their portion of the total project cost.

B. Cost Sharing The cost share must be at least 75% of the total project cost (i.e., the sum of the Federal award share, and the recipient share of allowable costs equals the total project cost). Two thirds (2/3) of the cost share must be in the form of cash. The entire cost share must come from non-Federal sources. (See Appendix C or 10 CFR Part 600 for the applicable cost sharing requirements.)

As an example, the minimum applicant cost share requirement for a hypothetical project with a Total Project Cost of $100,000,000 and a 75% cost share requirement would be:

Total Project Cost: $100,000,000DOE share, 25% $25,000,000Applicant share, 75% $75,000,000 ($50,000,000 in cash)

Please note that the required minimum applicant cost share percentage is not based on the DOE share but, rather, is based on the Total Project Cost.

C. Other Eligibility Requirements

Federally Funded Research and Development Center (FFRDC) Contractors:A DOE/NNSA National Laboratory Contractor is eligible to be proposed as a lead applicant, a team member or sub-recipient under this announcement if its cognizant Contracting Officer provides written authorization and this authorization is submitted with the application. If a DOE/NNSA National Laboratory Contractor is selected for participation in an award, the proposed work will be authorized under the DOE/NNSA work authorization process and performed under the laboratory’s Management and Operating (M&O) contract. The following wording is acceptable for the authorization:

“Authorization is granted for the _____________ Laboratory to participate in the proposed project. The work proposed for the laboratory is consistent with or complementary to the missions of the laboratory, will not adversely impact execution of the DOE/NNSA assigned

12

programs at the laboratory.”

A Non-DOE/NNSA FFRDC contractor is also eligible for funding. If a non-DOE/NNSA FFRDC is selected for participation in an award, the proposed work will be authorized through an Interagency Agreement. The Federal agency sponsoring the FFRDC contractor must authorize in writing the use of the FFRDC contractor on the proposed project and this authorization must be submitted with the application. The use of a FFRDC contractor must be consistent with the contractor’s authority under its award. The following wording is acceptable for this authorization:

“Authorization is granted for the _____________ Laboratory to participate in the proposed project. The work proposed for the laboratory is consistent with or complementary to the missions of the laboratory and will not adversely impact execution of the DOE assigned programs at the laboratory. THIS LABORATORY IS AUTHORIZED TO PERFORM THE WORK PROPOSED IN THE APPLICATION SUBMITTED UNDER DOE FUNDING OPPORTUNITY ANNOUNCEMENT # DE-FOA-0000566 BY THE FOLLOWING STATUTORY AUTHORITY [insert Statute name, citation, and section]____________.”

Value/Funding. The value of, and funding for, the FFRDC contractor portion of the work will not normally be included in the award to a successful applicant. Usually, DOE/NNSA will fund a DOE/NNSA FFRDC contractor through the DOE/NNSA field work proposal system and other FFRDC contractors through an interagency agreement with the sponsoring agency.

Cost Share. The applicant’s cost share requirement will be based on the total cost of the project, including the applicant’s and the FFRDC contractor’s portions of the effort.

Responsibility: The applicant, if successful, will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to, disputes and claims arising out of any agreement between the applicant and the FFRDC contractor.

Please be advised that those entities that form teams with DOE/NNSA National Laboratories in which the Laboratory has sub-recipients, will be required to enter into subcontracts with the Laboratory. As such, the terms and conditions of the Management and Operating contract between the Laboratory and the DOE/NNSA will be in effect for any subcontracts, and not the traditional provisions associated with a financial assistance award. National Laboratories that have sub-recipients must make all applicable terms and conditions available to their subcontractors prior to submission of their applications. Any entities considering such teaming arrangements should request the Laboratory to provide the applicable terms and conditions prior to the prime recipient submitting a response to this FOA.

13

SECTION IV – APPLICATION AND SUBMISSION INFORMATION

A. Address to Request Application Forms

The Application forms and instructions can be found on the EERE eXCHANGE website at http://eere.energy.gov/finan c ing/exchange .

B. Letter of Intent and Preliminary Application

A Letter of intent or a preliminary application is not required.

C. Content and Form of Application

You must complete the mandatory forms and any applicable optional forms, in accordance with the instructions on the forms and the additional instructions below, as required by this FOA. Files that are attached to the forms must be in Adobe Portable Document Format (PDF) unless otherwise specified in this announcement.

Applicants must complete the following application forms found under “Required Application Documents” on the EERE eXCHANGE website at http://eere.energy.gov/financing/exchange.

1. SF 424 - Application for Federal Assistance (Mandatory)Complete all required fields in accordance with the instructions on the form. The list of certifications and assurances in Field 21 can be found at http://management.energy.gov/business_doe/business_forms.htm, under Certifications and Assurances. Note: The dates and dollar amounts on the SF 424 are for the complete project period and not just the first year, first phase or other subset of the project period. Save the information in a single file named “Control#_Organization_App424.PDF.”

2. Summary for Public Release (Mandatory)Provide a concise summary of the proposed project (1 page). The document must contain a summary of the proposed activity suitable for dissemination to the public. The description should be understandable by technically literate but non-specialist readers. The summary should not contain proprietary or sensitive business information. Save the information in a single file named “Control#_ Organization _PublicSummary.PDF.”

3. Summary Slide (Mandatory)A Project Summary in Power Point format should be provided using the template provided. All information must fit on a single slide. The Summary Slide may be released to the public by DOE, in whole or in part, at any time. Therefore, it is required that the Project Summary must not contain proprietary or confidential business information. Save the Summary Slide as “Control#_ Organization _Summary.ppt.” Please submit file as a .PPT only (not PPTX or other formats).

14

4. Project Narrative File (Mandatory)See Appendix B for restrictions on Personally Identifiable InformationThe Project Narrative must not exceed 30 pages. This page count includes cover page, table of contents, charts, graphs, maps, photographs, and other pictorial presentations, when printed using standard 8.5” by 11” paper with 1 inch margins (top, bottom, left, and right), single spaced. EVALUATORS WILL REVIEW ONLY THE FIRST 30 PAGES. The font must not be smaller than 11 point. Do not include any Internet addresses (URLs) that provide information necessary to review the application. See Section VIII.D for instructions on how to mark proprietary application information and Appendix B for restrictions on Personally Identifiable Information. Save the information in a single file named “Control#_ Organization _Technical.PDF.”

The Project Narrative must include the following required items:

Cover Page: The Project Narrative cover page should indicate the name and type of organization, and a statement of facts establishing eligibility (such as place of incorporation or location of headquarters), the announcement number, the project title, and both the technical and business points of contact for the applicant, denoting the names, titles, addresses, telephone and facsimile numbers, and electronic mail addresses. The cover page should also identify the names for all other participants (sub-recipients and team-members).

Project Objectives and Project Description This section should provide a clear, concise statement of the specific objectives/aims of the proposed project and how it will be achieved. At the minimum, the application should include:

A detailed technology development roadmap, substantiated by R&D data or modeling, which justifies anticipated performance (yield, uptime, rate, efficiency) of the manufacturing line to be built.

Build out schedule detailing tool ordering, shipment, installation, qualification dates as well as a justified ramp period thereafter.

Bill of materials and cost-of-goods-sold (COGS) for the product in high volume manufacturing.

Outdoor performance data, including performance ratios at the module level with comparisons to conventional/more mature PV technology of the applicant’s choice at that same site.

An affirmative statement that the applicant either owns the relevant intellectual property or has the appropriate license to use it.

Sales information and strategy Estimated operating expenses and estimated capital expenses for the company

during the plant build-out. Description of the site to be used for the plant.

Requirements Discussion: The section should be formatted to address each of the requirements listed in SECTION V - APPLICATION REVIEW INFORMATION Part (A).(2), Requirements for all eligible applicants. Provide sufficient information so that reviewers will be able to

15

evaluate the application in accordance with these requirements (including the letter of U.S. Manufacturing commitment). DOE WILL EVALUATE AND CONSIDER ONLY THOSE APPLICATIONS THAT ADDRESS SEPARATELY EACH OF THE THREE REQUIREMENTS.

Merit Review Criteria Discussion :The section should be formatted to address each of the merit review criteria and sub-criteria listed in SECTION V - APPLICATION REVIEW INFORMATION Part (A).(2), Merit Review Criteria. Provide sufficient information so that reviewers will be able to evaluate the application in accordance with these merit review criteria. DOE WILL EVALUATE AND CONSIDER ONLY THOSE APPLICATIONS THAT ADDRESS SEPARATELY EACH OF THE FOUR MERIT REVIEW CRITERIA AND THE CORRESPONDING SUB-CRITERIA.

Domestic Manufacturing PlanApplicants must submit a Domestic Manufacturing Plan that describes and commits itself to how it will replicate and expand commercial manufacturing capacity in the United States for 5 years following completion of the demonstration. In particular, the recipient should identify in its proposed Domestic Manufacturing Plan the specific products and technologies that it is committing to manufacture in the U.S. The Plan will be evaluated under Merit Review Criterion 2 “Commitment to Domestic Manufacturing.”

A Domestic Manufacturing Plan must, at a minimum, commit a recipient to manufacture either (1) at least 51% of the products and technologies identified in the plan, including derivations thereof, in the United States for 5 years following the completion of the project period or (2) at least 51% of the fair market value of each individual product and technology identified in the plan, including derivations thereof, in the United States for 5 years following the completion of the project period. The Domestic Manufacturing Plan will become part of the underlying award agreement and enforceable against the recipient. The Domestic Manufacturing Plan should describe the applicant’s commitments and how those commitments will, at a minimum, satisfy the requirements set forth above. In addition, the applicant’s Domestic Manufacturing Plan will provide a realistic, factually supported, financially sound implementation approach for satisfying its commitments.

Project and Milestone Timetable (can be included in the Project Description section) :This section should outline as a function of time, quarter by quarter, for two years, all the important activities or phases of the project, including any activities planned beyond the project period. Successful applicants will use this project timetable to report progress. Decision points, critical review criteria, or go/no-go criteria should be quantifiable to the largest extent possible, along with associated deliverables schedules. This section should also include, in a table, the spend plan by task.

16

Project Participants :Discuss the extent of any involvement and roles for any participants, either foreign or domestic.

Bibliography and References, if applicable: Provide a bibliography for any references cited in the Project Narrative section. This section must include only bibliographic citations.

All the components of the Project Narrative (listed above) must be within the Project Narrative 30-page limit specified above. Please note that some of the required documents listed below may have their own page limits to which you must adhere.

5. Resume File (Mandatory, not included in the 30 page limit) Provide a resume for each key person proposed, including sub-recipients and consultants if they meet the definition of key person. A key person is any individual who contributes in a substantive, measurable way to the execution of the project. Save all resumes in a single file named “Control#_ Organization _Resumes.PDF.”

The compiled resume file does not have a page limitation, however the biographical information for each individual resume must not exceed 2 pages when printed on 8.5” by 11” paper with 1 inch margins (top, bottom, left, and right), single spaced, with font not smaller than 11 point and should include the following information, if applicable:

Education and Training: Undergraduate, graduate and postdoctoral training; provide institution, major/area, degree and year.

Professional Experience: Beginning with the current position list, in chronological order, professional positions with a brief description.

Publications and Patents: Provide a list of up to 5 publications and up to 5 patents most closely related to the proposed project. For each publication and patent, identify the names of all authors and inventors (in the same sequence in which they appear in the publication), the article or patent title, book or journal title, volume number, page numbers, year of publication or issuance, and website address, if available electronically.

6. Prime Recipient SF-424A (Mandatory)Applicant must provide a budget (SF 424A), detailed for each 6 months of support requested, for purposes of creating a spending plan, and a cumulative budget for the total project period. Use the SF 424A Excel, "Budget Information Non-Construction Programs" form. Applicants may request funds under any of the Object Class Categories as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions in this announcement. Save the information in a single file named "Control#_ Organization _SF424A.xls."

7. Prime Recipient Budget Justification File (Mandatory)

17

You must justify, for each of the 6-month long periods, the costs proposed in each Object Class Category/Cost Classification category. This includes identifying:

Key persons and personnel categories and the estimated costs for each person or category, amounts of time (e.g., hours or % of time) to be expended, the composite base pay rate, total direct personnel compensation and identify the rate basis (e.g., actual salary, labor distribution report, technical estimate, state civil service rates, etc.);

Provide a list of equipment and cost of each item providing a basis of cost such as vendor quotes, catalog prices, prior invoices, etc., and briefly justifying its need as it applies to the Statement of Project Objectives;

Identify proposed sub-recipient/consultant work and cost of each sub-recipient/consultant;

Describe purpose of proposed travel, number of travelers, and number of travel days;

List general categories of supplies and amount for each category providing a basis of cost such as vendor quotes, catalog prices, prior invoices, etc., and briefly justifying the need for the supplies as they apply to the Statement of Project Objectives; and provide any other information you wish to support your budget;

Provide the name of your cognizant/oversight agency, if you have one, and the name and phone number of the individual responsible for negotiating your indirect rates; and

Identify all sources of cost share including third parties and identify (1) the name of the organization; (2) the proposed dollar amount to be provided; (3) the amount as a percentage of the total project cost; and (4) the proposed type of cost share – cash, services, or property.

Further instructions for providing a budget justification to support the SF424A can be found in Appendix D.

Save the budget justification information in a single file named "Control#_ Organization_BudgetJustification.xls."

8. Letters of Commitment For the proposed cost share, applicants must have a letter from each third party contributing cost share (i.e., a party other than the organization submitting the application) stating that the third party is committed to providing a specific minimum dollar amount of cost share. All Letters of Commitment must be attached as an Appendix to the Project Narrative File. Identify the following information for each third party contributing cost share: (1) the name of the organization; (2) the proposed dollar amount to be provided; (3) the amount as a percentage of the total project cost; and (4) the proposed type of cost share – cash, services, or property. Letters of Commitment from parties participating in the project, exclusive of vendors, who will not be contributing cost share, but will be integral to the success of the project, must be included as part of this Appendix to the Narrative. Letters of Commitment will not count towards the Project Narrative page limit.

9. Sub-recipient SF- 424A (if applicable)

18

You must also provide a separate budget (i.e., budget for each 6 month period and a cumulative budget) for each sub-recipient, including Federally Funded Research and Development Center (FFRDC) Contractors, that is expected to perform work estimated to be more than $100,000. You may request funds under any of the Object Class Categories as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions in this announcement. Save the information in a single file named "Control#_ Organization_Subrecipient SF424A.xls."

10. Sub-recipient Award Budget Justification (if applicable)Each sub-recipient, including DOE/NNSA Federally Funded Research and Development Center (FFRDC) Contractors, that is expected to perform work estimated to be more than $100,000 is also required to submit a sub-recipient budget justification. Please see the Section IV.D.6 above for details required for the Sub-recipient Award Budget Justification file. Save the budget justification information in a single file named “Control#_ Organization_SubrecipientBudgetJustification.xls” where Organization is the sub-recipient’s organization or institution.

11. SF-LLL Disclosure of Lobbying Activities (if applicable)If applicable, complete the SF-LLL form found at http://eere.energy.gov/financing/exchange. Applicability: If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the grant/cooperative agreement, you must complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying.” Save the information in a single file named “Control#_Institution_SF-LLL.pdf.”

12. Statement of Project Objectives (SOPO) (Mandatory)The Statement of Project Objectives should be provided, not to exceed 3 pages. The SOPO must address how the project objectives will be met. It must contain a clear, concise description of all activities to be completed during the project performance and follow the requirements in the template provided on the eXCHANGE website. This file is essentially a condensed version of the Project Description and all information contained in this document should also be provided in the Project Description. The SOPO may be released to the public by DOE, in whole or in part, at any time. Therefore, it is required that it shall not contain proprietary or confidential business information. Save the SOPO in a single Word file named “Control#_Organization_SOPO.DOC.”

19

Summary of Required Forms/Files

Your application must include the following documents:

Required Document Document Summary Document Naming Convention

1 SF424 (PDF) Application forFederal assistance Control#_Organization_App424.PDF

2Summary for Public Release (PDF)

Public (should not contain proprietary or sensitive business information)projectsummary inparagraph format

Control#_Organization_PublicSummary.PDF

3 Summary Slide (PPT)

Project summary inPowerPoint format (should not contain proprietary or sensitive business information)

Control#_ Organization_Summary.PPTPlease submit file as a .PPT only (not.PPTX or other formats)

4Project Narrative (PDF)

Technical application(can containproprietary or sensitive business information)

Control#_Organization_Technical.PDF

5 Resume File (PDF)

Resumes for each key person proposed, including sub-recipients and consultants.

Control#_Organization_Resumes.PDF

6Prime Recipient SF424A (XLS)

High level budgetspreadsheet

Control#_Organization_SF424A.XLS(Please submit file as a .XLS only)

7

Prime Recipient Budget Justification (XLS)

Detailed budgetspreadsheet

Control#_Organization_BudgetJustification.XLS(Please submit file as a .XLS only)

8Letters of Commitment (if applicable)

Letters from each third party contributing cost share (i.e., a party other than the organization submitting the application) stating that the third party is committed to providing a specific minimum dollar amount of cost share.

All Letters of Commitment must be attached as an Appendix to the Project Narrative File

20

Required Document Document Summary Document Naming Convention

9

Sub-recipient SF424 A (XLS) – (if applicable)

High level budget spreadsheet for all Sub-recipients whose value is $100,000 or greater

Control#_Organization_SubrecipientSF424A.XLS(Please submit file as a .XLS only)

10

Sub-recipient Budget Justification (XLS) – (if applicable)

Detailed budgetspreadsheet for all Sub-recipients awards whose value is $100,000 or greater

Control#_Organization_SubrecipientBudgetJustification.XLS(Please submit file as a .XLS only)

11

SF-LLL Disclosure of Lobbying Activities, if applicable

PDF Control#_Organization_SF-LLL.PDF

12

Statement of Project Objectives (DOC)

Public (should not contain proprietary or sensitive business information) concise (3 page) summary of project activities

Control#_Organization_SOPO.DOC

D. Submissions from Successful Final Applicants

If an application is selected for award, DOE reserves the right to request additional or clarifying information for any reason deemed necessary, including, but not limited to:

Indirect cost information Other budget information Environmental Research and Development Questionnaire.

E. Submission Dates and Times

Application Due Date Applications must be received by 10/28/2011, no later than 5:00 PM Eastern Time. EERE strongly encourages applicants to submit their Applications at least 24 hours in advance of the submission deadline.

Applications must be submitted via the EERE eXCHANGE at http://eere.energy.gov/financing/exchange.

F. Intergovernmental Review

This program is not subject to Executive Order 12372 – Intergovernmental Review of Federal Programs.

21

G. Funding Restrictions

Cost Principles. Costs must be allowable in accordance with the applicable Federal cost principles referenced in 10 CFR Part 600. The cost principles for commercial organizations are in FAR Part 31. TIA cost principles are outlined 10 CFR Part 603.

Pre-award Costs. Recipients may charge to an award resulting from this announcement pre-award costs that were incurred within the ninety (90) calendar-day period immediately preceding the effective date of the award, if the costs are allowable in accordance with the applicable Federal cost principles referenced in 10 CFR Part 600. Recipients must obtain the prior approval of the Contracting Officer for any pre-award costs that are for periods greater than this 90 day calendar period. Pre-award costs are incurred at the applicant’s risk and pre-award costs may not be allowable if by incurring such costs the recipient is found to have taken an action related to the proposed project that would have an adverse effect on the environment or limit the choice of reasonable project alternatives prior to DOE providing either a NEPA clearance or a final NEPA determination regarding the project. DOE is under no obligation to reimburse such costs if for any reason the applicant does not receive an award or if the award is made for a lesser amount than the applicant expected.

If recipients are State or Local Governments, they may not incur pre-award costs prior to award, without prior approval of the DOE Contracting Officer.

H. Submission and Registration Requirements

1. Registration Process Requirements

In order to submit an application in response to this Funding Opportunity Announcement (FOA) the applicant must register with the EERE’s online application portal, eXCHANGE at http://eere.energy.gov/financing/exchange

EERE strongly encourages applicants to complete the following actions as soon as possible. Although not required for applications, these actions could expedite the award process.

Obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) number at http://fedgov.dnb.com/webform

Register with the Central Contractor Registry (CCR) at https://www.ccr.gov/ Register in FedConnect at https://www.fedconnect.net/; use “Register as a Vendor” link.

To create an organization account, your organization’s CCR MPIN is required

Obtaining a DUNS number, registering with CCR, and registering with FedConnect could take several weeks to process and are necessary in order for a potential applicant to receive an award under this announcement.

EERE Web-Based Submission Information

All application submissions must be made via the EERE eXCHANGE at

22

http://eere.energy.gov/financing/exchange. Applications submitted through other means (e.g., facsimile) will not be considered or reviewed. To gain access to the EERE eXCHANGE system, an applicant must first register and create an account on the main EERE eXCHANGE site. This account will then allow the user to register for any open EERE FOAs that are currently in eXCHANGE. It is strongly recommended that each organization or business unit, whether acting as a team or a single entity, utilize one account as the appropriate contact information for each submission.

Applicants will receive an automated response when the Application is received; this will serve as a confirmation of EERE receipt – please do not reply to the automated response. Applicants will have the opportunity to re-submit a revised Application for any reason so as long as the relevant submission is submitted by the specified deadline. A “User Guide” for the EERE eXCHANGE can be found on the EERE website http://eere.energy.gov/financing/exchange/Manuals.aspx after logging in to the system.

To receive notices via email regarding a FOA announcement, such as modifications or the posting of new questions and answers, applicants must first register for the FOA by initiating a submission to that FOA at EERE eXCHANGE.

Any questions that arise during the application process and relate to the operation of the submission website should be sent to EERE-ExchangeSupport@hq.doe.gov.

Questions related to this Funding Opportunity Announcement (FOA) should be submitted to sunpath@go.doe.gov and should be submitted not later than five (5) business days prior to the full application due date. Questions submitted after that date may not allow the Government sufficient time to respond. Answers to questions will be posted on the Exchange website under this FOA. Applicants are encouraged to review the posted questions and answers daily at https://eere-exchange.energy.gov/FAQ.aspx.

2. Electronic Authorization of Applications and Award Documents

Submission of an application and supplemental information under this announcement through electronic systems used by the Department of Energy constitutes the authorized representative’s approval and electronic signature.

Submission of award documents, including modifications, through electronic systems used by the Department of Energy, including FedConnect, constitutes the authorized representative’s approval and acceptance of the terms and conditions of the award. Award acknowledgement via FedConnect constitutes the authorized representative’s electronic signature.

23

SECTION V - APPLICATION REVIEW INFORMATION

A. Criteria

1. Initial Review Criteria Prior to a comprehensive merit evaluation, DOE will perform an initial review to determine that (1) the applicant’s submission was made prior to the FOA deadline (See Section IV, Part E - Submission Dates and Time) and the applicant is eligible for an award (See Section III – Eligibility Information, Part A – Eligible Applicants); (2) the information required by the announcement has been submitted (See Section IV – Application and Submission Information); (3) the minimum required cost share has been proposed (See Section III – Eligibility Information, Parts A – Eligible Applicants and B – Cost Sharing); (4) all mandatory requirements are satisfied; and (5) the proposed project is responsive to the objectives of the funding opportunity announcement. If an application fails to meet these requirements, it may be deemed non-responsive and eliminated from further review.

2. Merit Review Criteria

The following requirements and merit review evaluation criteria will be used in the comprehensive evaluation of applications. Each requirement below is evaluated as a Go/No Go, i.e., if an application does not meet the requirement for a “Go” decision in the Go/No Go criterion, the application will not be evaluated any further. Application that pass these requirements, will continue to the Merit Review and be evaluated against the 4 criteria listed; the weighting (out of a total of 100%) is indicated to show the relative importance of each criterion.

In addition to the requirements and criteria listed below, the recipient must be prepared to deliver a total of 100 kW finished modules from the pilot manufacturing line to DOE-identified testing site(s) for large scale systems validation at the beginning of the performance period of the award. This requirement is meant to accelerate the validation of the technology to be manufactured in the first industrial scale facility. The at-scale validation tests will provide a track record of the field-performance of the technology and will assist in bankability of the new technology.

Requirements for all eligible applicants:

Requirement 1: The proposal will support the first industrial scale demonstration of approximately 50MW or more of PV wafers, cells, modules or module components. The applicant needs to have already demonstrated the production of commercially sellable product at a pilot scale (~1-10 MW) but at the same time the applicant does not already have the nameplate capacity of more than 50 MW. (Go/No-Go)

Requirement 2: The applicant will site this project in the United States and will

24

continue to manufacture in the United States. (Go/No-Go)

Requirement 3: The technology has passed accelerated ageing tests, ideally including Highly Accelerated Life Test (HALT) to failure and modified tests which address any unique susceptibilities of the technology. The product must pass necessary International Electrotechnical Commission (IEC) or UL testing by the time the award funds are disbursed and no later than a date to be negotiated during award negotiations.(Go/No-Go)

Merit Review Criteria

Criterion 1: Technical Approach and Project Management (40%)

i. The extent to which the proposed industrial-scale PV wafer, cell, module, and/or module component manufacturing facility will significantly enable progress towards $0.50/W modules, lifetimes greater than 25 years, and sufficiently high efficiencies to enable low balance of system costs.

ii. The extent to which the project will enable manufacturing costs at the facility to be at least 15% lower than today’s comparable technology within 1 year of the production start of the proposed facility. The applicant must identify the market cost leader against whose cost numbers the applicant will benchmark their proposal. (Distinct benchmarks should be considered for the range of panel efficiencies appropriate for the technology.)

iii. Technical feasibility of the project, including both the ability to complete the facility and to deliver a commercial ready product within 3 years (or less) of award.

iv. Soundness of cost estimates, both for the project and for the product. v. Soundness of plans for recycling.

vi. Adequacy, reasonableness and soundness of the proposed project management plan, including go/no-go decisions, interim milestones, success/failure metrics, and the industry accepted "Earned Value Management System" proposed to manage progress in the construction of the proposed facilities.

vii. Ability to track project expenditures against project accomplishments throughout the construction and subsequent operational phase of the facility.

viii. Adequacy, appropriateness, and reasonableness of the proposed work and budget distribution among the team members.

ix. Adequacy of the manufacturing plan to provide the capability to meet throughput requirements, including integration of processes, equipment and equipment availability, and human resources.

x. Adequacy of the plan to obtain clearly defined customer requirements. xi. Adequacy of the identification of implementation barriers and risks and

“timely” strategies for resolution.

25

xii. Soundness of a plan to expeditiously address environmental, siting, and other regulatory requirements for the project.

Criterion 2: Commitment to Domestic Manufacturing (30%)

xiii. The Domestic Manufacturing Plan will be evaluated on the percentages of products, and technologies that the applicant will contractually commit to manufacture in the United States (see minimum percentages below), the extent to which those commitments are supported by a realistic, factually supported, financially sound implementation approach for satisfying the commitments, and whether those commitments will, at a minimum:

Commit a recipient to manufacture for 5 years following the end of the project period of performance either: (1) at least 51% of the products and technologies identified in the plan, including derivations thereof, in the United States or (2) at least 51% of the fair market value of each individual product and technology identified in the plan, including derivations thereof, in the United States.

Criterion 3: Qualifications and Resources (15%)

xiv. Clarity, adequacy and completeness of roles and contributions of each team member in development of the project and/or commercialization of the products, including financial support of partners and subcontractors.

xv. Adequacy of the plan to secure the private sector or state share of the project costs, including the strength of financial commitments made to the project.

xvi. Appropriateness and strength of the relationship with partners. xvii. Evidence of team’s experience and success in similar projects, including

installing manufacturing lines and process quality control instrumentation to enable automation and manufacturing yield.

xviii. Experience and availability of key personnel to complete the proposed project.

xix. Ability (quality, availability and appropriateness) of the proposed site (or sites) for the manufacturing facilities.

xx. Ability (quality, availability and appropriateness) of facilities and equipment to accommodate the project.

xxi. Anticipated environmental impacts from the manufacturing facility or facilities.

xxii. The quality of proposed consortia, partnerships, and other teaming arrangements.

26

Criterion 4: Commercialization and Market Acceptance (15%)

xxiii. Strength of business plan, including customer letters of intent, current sales and identification of commercialization pathways.

xxiv. Reasonableness of the ability of suppliers to meet the required production capacity.

xxv. Adequacy of the description, and the commercial viability of the technology that will be manufactured.

xxvi. Reasonableness of assumptions for estimating, and the market share projection for near term (over next 5 years), mid-term (from 5 to 10 years), and long term (greater than 10 years).

xxvii. Reasonableness of performance characteristics that would cause buyers/licensees to choose this technology over other options.

xxviii. Reasonableness of analysis and prioritization of the barriers to commercialization, including market, regulatory, intellectual property, and any other significant barriers.

xxix. Adequacy, reasonableness, and soundness of efforts to overcome the identified barriers to reduce risk.

3. Other Selection Factors

The Selection Official may consider the following program policy factors in the selection process:

Breadth and significance of potential impact of technology development. Diversity and complementary nature of technologies, approaches, and methods

(contribution to DOE portfolio diversity). Diversity and geographic distribution of institutions and organizations. Level of cost-share above the minimum required and leveraging of additional

resources. Impact of DOE funds on the project measured by project's increased likelihood of

achieving programmatic objectives.

B. Review and Selection Process

1. Merit Review Applications that pass the Initial Review will be subjected to a Merit Review in accordance with the guidance provided in the “Department of Energy Merit Review Guide for Financial Assistance”. This guide is available at:http://www.management.energy.gov/documents/meritrev.pdf.

It is very important that those documents, Project Abstract and Project Narrative file, that will be used during the Merit Review Process do not contain any Personally Identifiable Information as described in Appendix B.

27

After passing the Initial Review, applications will undergo a Merit Review process. Applications will be evaluated, scored, and ranked by distinguished independent reviewers and according to the Merit Review Criteria for Final Applications listed in Section V – Application Review Information, Part (A)(2) – Merit Review Criteria. Submitters of top-rated application(s) may be invited for an in-person review (to be held in Washington, DC) and a DOE visit to the applicant’s site may follow. A consistent scope and format for such in-person reviews and/or site visits will be provided to the applicants at the time of invitation. Such invitation is not an indication that the applicant has been selected for award. A Federal Merit Review Committee will then rank the applications and make recommendations to the Selection Official as to whether or not each application is determined to have sufficient merit to be considered for an award.

Pre-Selection ClarificationThe Contracting Officer may contact applicants if it is determined that pre-selection clarification is necessary and appropriate. The Contracting Officer has exclusive authority to make this determination. The Contracting Officer may contact one, multiple, or no applicants at his/her discretion to convey any questions or requests for clarification to the applicant and set a deadline for responses. All responses must be sent to the Contracting Officer by the given deadline.

2. Selection The Selection Official may consider the merit review recommendation (including the results of any in-person reviews or site visits), program policy factors, and the amount of funds available when making an award selection.

Potential Partial FundingDOE reserves the right to choose one or more application(s), in whole or in part, as the basis for negotiation of one or more award(s).

3. Discussions and Award

The Government may enter into discussions with a selected applicant for any reason deemed necessary, including, but not limited to: (1) the budget is not appropriate or reasonable for the requirement; (2) only a portion of the application is selected for award; (3) the Government needs additional information to determine that the recipient is capable of complying with the requirements in 10 CFR part 600 and 603; (4) special terms and conditions are required and/or (5) issues concerning the US Manufacturing requirement. Failure to resolve satisfactorily the issues identified by the Government will preclude award to the applicant.

C. Anticipated Notice of Selection and Award Dates

DOE anticipates notifying applicants selected for award by January 15, 2012 and making awards by February 15, 2012.

28

SECTION VI - AWARD ADMINISTRATION INFORMATION

A. Award Notices

1. Notice of Selection and Non-SelectionsDOE will notify applicants selected for award. This notice of selection is not an authorization to begin performance. (See Section IV.G with respect to the allowability of pre-award costs.)

Organizations whose applications have not been selected will be advised as promptly as possible. For applicants who do not pass the Initial Review, this notice will consist of the findings of the Initial Review as determined by DOE. For applicants who go forward to the comprehensive review, this notice will consist of the consensus strengths and weaknesses as determined by the Merit Review Committee.

2. Notice of Award A Financial Assistance Award or Assistance Agreement issued by the DOE Contracting Officer is the authorizing award document. It normally includes, either as an attachment or by reference: (1) Special Terms and Conditions; (2) Applicable program regulations, if any; (3) Application as approved by DOE; (4) DOE assistance regulations at 10 CFR part 600; (5) National Policy Assurances To Be Incorporated As Award Terms; (6) Statement of Project Objectives; (7) Budget Summary; and (8) Federal Assistance Reporting Checklist, which identifies the reporting requirements.

B. Administrative and National Policy Requirements

1. Administrative Requirements The administrative requirements for DOE grants and cooperative agreements are contained in 10 CFR Part 600 and 10 CFR Part 603 for DOE Technology Investment Agreement (See: http://ecfr.gpoaccess.gov). Grants and cooperative agreements made to universities, non-profits and other entities subject to OMB Circular A-110 are subject to the Research Terms and Conditions located on the National Science Foundation web site at:

http://www.nsf.gov/bfa/dias/policy/rtc/index.jspDUNS and CCR Requirements

Additional administrative requirements for DOE grants, cooperative agreements and other types of Federal financial assistance are contained in 2 CFR, Part 25 (See: http://ecfr.gpoaccess.gov). Prime recipients must keep their data at CCR current. Sub-recipients at all tiers must obtain DUNS numbers and provide the DUNS to the prime recipient before the sub-award can be issued.

Sub-award and Executive Reporting

Additional administrative requirements necessary for DOE grants, cooperative agreements and other types of Federal financial assistance to comply with the Federal

29

Funding and Transparency Act of 2006 (FFATA) are contained in 2 CFR, Part 170. (See: http://ecfr.gpoaccess.gov). Prime recipients must register with the new FSRS database and report the required data on their first tier sub-recipients. Prime recipients must report the executive compensation for their own executives as part of their registration profile in the CCR.

2. Special Terms and Conditions and National Policy RequirementsThe DOE Special Terms and Conditions for Use in Most Grants and Cooperative Agreements are located at http://management.energy.gov/documents/SPECIAL_TERMS_AND_CONDITIONS_FOR_USE_IN_MOST_GRANTS_AND_COOPERATIVE_AGREEMENTS.pdf

The National Policy Assurances to be incorporated as award terms are located at http://management.energy.gov/business_doe/business_forms.htm .

3. Intellectual Property Provisions The standard DOE financial assistance intellectual property provisions applicable to the various types of recipients are located athttp://www.gc.doe.gov/financial_assistance_awards.htm.

4. Statement of Substantial Involvement Either a Cooperative Agreement or Technology Investment Agreement may be awarded under this announcement. DOE will negotiate a Statement of Substantial Involvement prior to award.

DOE does not limit its involvement to the administrative requirements of the DOE award. Instead, DOE has substantial involvement in the project as a whole.

DOE shares responsibility with recipients for the management and performance of the project.

Prime recipients must comply with agency-specific and programmatic requirements. During award negotiations, DOE and the prime recipient will establish a schedule of

quantitative milestones and deliverables that must be met every quarter. prime recipients will document the achievement of these milestones and deliverables in quarterly progress reports.

A DOE representative will conduct site visits and hold periodic meetings, conference calls, and webinars with project leaders and key participants. The project team is required to provide the DOE representative with full access to relevant financial and operational information, and allow the DOE representative to attend (by telephone, in listen-only mode) meetings of the recipient’s Board of Directors and have access to the information presented to the Board.

DOE may modify or discontinue funding projects that fail to achieve predetermined technical milestones and deliverables.

5. Domestic Manufacturing RequirementDOE intends to include in the award agreement a domestic manufacturing clause such as

30

the following. The precise language may be modified during award negotiations.A. Recipients were required to submit a Domestic Manufacturing Plan as part of its application that is part of the underlying cooperative agreement or TIA and enforceable against the recipient and, on an annual basis for five years after completion of the project period, submit to the Contracting Officer an annual report that demonstrates compliance with its Domestic Manufacturing Plan.A plan must, at a minimum, have committed the recipient to manufacture either (1) at least 51% of the products and technologies identified in the award, including derivations thereof, in the United States for 5 years following the end of the project period or (2) at least 51% of the fair market value of each individual product and technology identified in the award, including derivations thereof, in the United States for 5 years following the end of the project period.B. Injunctive and/or Equitable Relief. It is hereby understood and agreed that the domestic manufacturing requirement of this agreement is considered a material element of this agreement. It is also hereby understood and agreed that damages will be an inadequate remedy in the event of a breach of the domestic manufacturing requirement of this agreement, and that breach of the domestic manufacturing requirement will cause irreparable harm and damage to the U.S. Government. Accordingly, the parties agree that the U.S. Government shall be entitled to injunctive and/or other equitable relief if the recipient breaches the domestic manufacturing requirement of this agreement, without waiving any additional rights or remedies available to the U.S. Government at law or by statute. The parties agree to the jurisdiction of the U.S. District Court for the District of Columbia, or the U.S. Court of Federal Claims, with respect to a request for injunctive and/or other equitable relief as deemed suitable for the breach of the domestic manufacturing requirement of this agreement.

6. Purchase of New EquipmentAll new equipment purchased under the anticipated funding agreements must be made or manufactured in the United States, to the maximum extent practicable. This requirement does not apply to used or leased equipment. Project teams may purchase foreign-made equipment where comparable domestic equipment is not reasonably available.

C. Reporting

Reporting requirements are identified on the Federal Assistance Reporting Checklist, DOE F 4600.2, attached to the award agreement. For a sample Checklist, see http://management.energy.gov/documents/FA_RepReqChecklist_033011_finalPolicy.pdf

Specific reporting requirements for all awards resulting from this announcement will include: Quarterly and Final Technical Progress Reports, including comparison with roadmap

activities and construction progress as well as substantial technical data produced under the award.

Quarterly and Final Financial Status Reports on eligible project costs. Specific Stage Gate (Go/No-Go) Review Reports Semi-annual bill-of–materials of any product made on the manufacturing line

31

Semi-annual new sales information. Annual presentations at the DOE Program’s Annual Solar Energy Technologies Merit

Review and Peer Evaluation Meeting (typically in Washington, D.C.). Annual submissions to the DOE Program’s Annual Solar Energy Technologies Progress

Report. Results of the accelerated testing, outdoor testing and UL/IEC certification. Materials disclosed to the Board of Directors. On an annual basis for five years beginning after completion of the project period,

recipients shall submit to the DOE project officer an annual report that demonstrates compliance with its Domestic Manufacturing Plan.

32

SECTION VII - QUESTIONS/AGENCY CONTACTS

A. Questions

Questions related to use of the EERE eXCHANGE website should be submitted to: EERE-ExchangeSupport@hq.doe.gov . Questions sent to other email addresses or by other means (e.g., telephone, facsimile) will be disregarded.

Questions related to the Funding Opportunity Announcement must be submitted to sunpath@go.doe.gov, and shall be submitted not later than five (5) business days prior to the final application due date. Questions submitted after that date may not allow the Government sufficient time to respond.

All questions and answers related to this FOA will be posted at http://eere.energy.gov/financing/exchange. DOE will try to respond to a question within five (5) business days, unless a similar question and answer have already been posted on the website.

33

SECTION VIII - OTHER INFORMATION

A. Amendments

Notices of any amendments to this announcement will be posted on the EERE eXCHANGE web site. When you create an application record you are then registered to receive notifications of changes. This notice will be delivered by e-mail to the address listed in your application record.

Notices of any amendments to this announcement will also be available in the Grants.gov system and at FedConnect. You can receive an email when an amendment or an announcement message is posted by subscribing to email notifications for this FOA. It is recommended that you register as soon after the release of the FOA as possible to ensure you receive timely notice of any amendments or other announcements.

B. Government Right to Reject or Negotiate

DOE reserves the right, without qualification, to reject any or all applications received in response to this announcement and to select any application, in whole or in part, as a basis for negotiation and/or award.

C. Commitment of Public Funds

The Contracting Officer is the only individual who can make awards or commit the Government to the expenditure of public funds. A commitment by other than the Contracting Officer, either explicit or implied, is invalid.

D. Proprietary Application Information

DOE will use data and other information contained in applications strictly for evaluation purposes. Applicants should not include confidential, proprietary, or privileged information in their applications unless such information is necessary to convey an understanding of the proposed project.

Applications containing confidential, proprietary, or privileged information must be marked as described below. Failure to comply with these marking requirements may result in the disclosure of the unmarked information under the Freedom of Information Act or otherwise. The U.S. Government is not liable for the disclosure or use of unmarked information, and may use or disclose such information for any purpose.

The cover sheet of the application must be marked as follows and identify the specific pages containing confidential, proprietary, or privileged information:

Notice of Restriction on Disclosure and Use of Data: Pages [___] of this document may contain confidential, proprietary, or privileged information that is exempt from public disclosure. Such information shall be used or disclosed only for

34

evaluation purposes or in accordance with a financial assistance or loan agreement between the submitter and the Government. The Government may use or disclose any information that is not appropriately marked or otherwise restricted, regardless of source.

The header and footer of every page that contains confidential, proprietary, or privileged information must be marked as follows: “Contains Confidential, Proprietary, or Privileged Information Exempt from Public Disclosure.” In addition, every line and paragraph containing proprietary, privileged, or trade secret information must be clearly marked with double brackets or highlighting.

E. Evaluation and Administration by Non-Federal Personnel

In conducting the merit review evaluation, the Government may seek the advice of qualified non-Federal personnel as reviewers. The Government may also use non-Federal personnel to conduct routine, nondiscretionary administrative activities. The applicant, by submitting its application, consents to the use of non-Federal reviewers/administrators. Non-Federal reviewers must sign conflict of interest and non-disclosure agreements prior to reviewing an application. Non-Federal personnel conducting administrative activities must sign a non-disclosure agreement.

F. Intellectual Property Developed under this Program

Patent Rights.

In a cooperative agreement, the Government will have certain statutory rights in an invention that is conceived of or first actually reduced to practice under the agreement (referred to as a “subject invention.”). 42 U.S.C. 5908 provides that title to subject inventions vests in the United States, except where 35 U.S.C. 202 (the Bayh-Dole Act) provides otherwise for nonprofit organizations or small business firms. However, the Secretary of Energy may waive all or any part of the rights of the United States subject to certain conditions. (See “Notice of Right to Request Patent Waiver” in paragraph G below.)

The Bayh-Dole Act also provides, in “exceptional circumstances”, for the possibility of restriction or elimination of nonprofits’ or small businesses’ right to retain title to subject inventions. While DOE has no plans to eliminate such recipient’s right to retain title to subject inventions, DOE is considering a declaration of exceptional circumstances for this FOA, in order to foster U.S. manufacture of products embodying subject inventions.

This FOA allows applicants to request a TIA. In a TIA the patent rights are negotiable and may not be subject to all of the requirements of 42 U.S.C. 5908 or the Bayh-Dole Act. If DOE determines it is appropriate to award a TIA, patent rights will be negotiated pursuant to the guidance set out in 10 CFR 603.840 through 10 CFR 603.875.

Any U.S. manufacture requirement included in the patent rights clause of the award agreement (including any cooperative agreement or TIA) tied to products embodying subject inventions shall be in addition to and independent from the 5 year Domestic Manufacture provision set forth in Part B.5 of Section VI above.

35

Rights in Technical Data.

In a cooperative agreement, the Government has unlimited rights in technical data created under the agreement. Delivery or third party licensing of proprietary software or data developed solely at private expense will not normally be required except as specifically negotiated in the agreement to satisfy DOE’s own needs or to insure the commercialization of technology developed under a DOE agreement.

If DOE determines it is appropriate to award a TIA, technical data rights will be negotiated pursuant to the guidance set out at 10 CFR 603.840 and 10 CFR 603.845.

For awards (including cooperative agreements and TIAs) under this FOA, DOE has determined that special protected data rights provision may apply. The provision provides for the protection from public disclosure, for a period of up to five (5) years from the development of the information, of data that would be trade secret, or commercial or financial information that is privileged or confidential, if the information had been obtained from a non-Federal party. The provision entitled, Rights in Data − Programs Covered Under Special Protected Data Statutes, (10 CFR 600 Appendix A to Subpart D), will apply, but may be modified to accommodate particular circumstances, or to list and identify data or categories of data first produced in the performance of the award that will be made available to the public, notwithstanding the authority to withhold data from public dissemination, and may also identify data that will be recognized by the parties as protected data. Applicants should understand that certain information will be made publicly available immediately, consistent with DOE policy (e.g., general test results and data that tend to show progress toward meeting DOE’s technical goals related to the Solar Energy Technology Program). If recipients breach their contractual commitment to manufacture in the United States, DOE may elect to terminate or modify the special protection of data produced under the award, including shortening the period for data protection, which may result in early publication of data first produced under the award.

G. Notice of Right to Request Patent Waiver

Applicants may request a waiver of all or any part of the rights of the United States in inventions conceived or first actually reduced to practice in performance of an agreement as a result of this announcement, in advance of or within 30 days after the effective date of the award. Even if such advance waiver is not requested or the request is denied, the recipient will have a continuing right under the award to request a waiver of the rights of the United States in identified inventions, i.e., individual inventions conceived or first actually reduced to practice in performance of the award. Any patent waiver that may be granted is subject to certain terms and conditions in 10 CFR 784. For example seehttp://www.gc.doe.gov/documents/patwaivclau.pdf.

A waiver shall only be granted if it is determined that the waiver would best serve the United States and the general public. This determination shall be made according to the

36

considerations set forth at 10 CFR 784.4, including a commitment by the recipient to agree to a U.S.manufacture requirement for products embodying subject inventions.

Domestic small businesses and nonprofit organizations will receive the patent rights clause at 37 CFR 401.14, i.e., the implementation of the Bayh-Dole Act, modified to reflect any declaration of exceptional circumstances, as mentioned in Section VI. F., to foster U.S. manufacture of products embodying subject inventions. This clause permits domestic small business and nonprofit organizations to retain title to subject inventions. Therefore, domestic small businesses and nonprofit organizations do not need to request a waiver. If a TIA is awarded, 42 U.S.C. 5908 does not apply. Therefore, applicants, under a TIA, and domestic small businesses and nonprofit organizations, under a cooperative agreement, do not need to request a waiver.

H. Notice of Right to Conduct a Review of Financial Capability

DOE reserves the right to conduct an independent third party review of financial capability for applicants that are selected for negotiation of award, including personal credit information of principal(s) of a small business if there is insufficient information to determine financial capability of the organization.

I. Notice of Potential Disclosure under Freedom of Information Act

Applicants should be advised that identifying information regarding all applicants, including applicant names and/or points of contact, may be subject to public disclosure under the Freedom of Information Act, whether or not such applicants are selected for negotiation of award.

37

REFERENCE MATERIAL

Appendix A: Definitions

“Amendment” means a revision to a Funding Opportunity Announcement

"Applicant" means the legal entity or individual signing the Application. This entity or individual may be one organization or a single entity representing a group of organizations (such as a Consortium) that has chosen to submit a single Application in response to a Funding Opportunity Announcement.

"Application" means the documentation submitted in response to a Funding Opportunity Announcement.

“Authorized Organization Representative (AOR)” is the person with assigned privileges who is authorized to submit grant applications through Grants.gov on behalf of an organization. The privileges are assigned by the organization’s E-Business Point of Contact designated in the CCR.

"Award" means the written documentation executed by a DOE Contracting Officer, after an applicant is selected, which contains the negotiated terms and conditions for providing Financial Assistance to the applicant. A Financial Assistance Award may be a Grant, a Cooperative Agreement or a Technology Investment Agreement.

"Budget" means the cost expenditure plan submitted in the Application, including both the DOE contribution and the Applicant Cost Share.

“Central Contractor Registration (CCR)” is the primary database which collects, validates, stores and disseminates data in support of agency missions. Funding Opportunity Announcements which require application submission through FedConnect or Grants.gov require that the organization first be registered in the CCR at https://www.bpn.gov/ccr

"Consortium (plural consortia)" means the group of organizations or individuals that have chosen to submit a single Application in response to a Funding Opportunity Announcement.

"Contracting Officer" means the DOE official authorized to execute Awards on behalf of DOE and who is responsible for the business management and non-program aspects of the Financial Assistance process.

"Cooperative Agreement" means a Financial Assistance instrument used by DOE to transfer money or property when the principal purpose of the transaction is to accomplish a public purpose of support or stimulation authorized by Federal statute, and Substantial Involvement (see definition below) is anticipated between DOE and the applicant during the performance of the contemplated activity.

38

"Cost Sharing" means the respective share of Total Project Costs to be contributed by the applicant and by DOE. The percentage of Applicant Cost Share is to be applied to the Total Project Cost (i.e., the sum of applicant plus DOE Cost Shares) rather than to the DOE contribution alone.

“Data Universal Numbering System (DUNS) Number” is a unique nine-character identification number issued by Dun and Bradstreet (D&B). Organizations must have a DUNS number prior to registering in the CCR. Call 1-866-705-5711 to receive one free of charge. http://fedgov.dnb.com/webform

“E-Business Point of Contact (POC)” is the individual who is designated as the Electronic Business Point of Contact in the CCR registration. This person is the sole authority of the organization with the capability of designating or revoking an individual’s ability to conduct CCR transactions.“E-Find” is a Grants.gov webpage where you can search for Federal Funding Opportunities in FedGrants. http://www.grants.gov/search/searchHome.do “eXCHANGE” is a DOE website and the primary means of submitting applications in response to EERE Solar Funding Opportunity Announcements (FOAs). The eXCHANGE system facilitates the dissemination of FOA information, such as the details of FOAs or answers to frequently asked questions related to EERE’s Solar Program and to specificFOAs https://eere-exchange.energy.gov/"Financial Assistance" means the transfer of money or property to an applicant or Participant to accomplish a public purpose of support authorized by Federal statute through Grants or Cooperative Agreements and sub-awards. For DOE, it does not include direct loans, loan guarantees, price guarantees, purchase agreements, Cooperative Research and Development Agreements (CRADAs), or any other type of financial incentive instrument.

“FedConnect” is where Federal agencies post opportunities and make awards via the web. Any Applicant can view public postings without registering. However, registered users have numerous added benefits including the ability to electronically submit Applications / Responses to the Government directly through this site. https://www.fedconnect.net/FedConnect/

“Federally Funded Research and Development Center (FFRDC)” means a research laboratory as defined by Federal Acquisition Regulation 35.017.

“Funding Opportunity Announcement (FOA)” is a publicly available document by which a Federal agency makes known its intentions to award discretionary grants, cooperative agreements or Technology Investment Agreements, usually as a result of competition for funds. Funding opportunity announcements may be known as program announcements, notices of funding availability, solicitations, or other names depending on the agency and type of program.

"Grant" means a Financial Assistance instrument used by DOE to transfer money or property when the principal purpose of the transaction is to accomplish a public purpose of support or stimulation authorized by Federal statute, and no Substantial Involvement is anticipated between DOE and the applicant during the performance of the contemplated activity.

39

“Grants.gov” is the “storefront” web portal which allows organizations to electronically find grant opportunities from all Federal grant-making agencies. Grants.gov is THE single access point for over 900 grant programs offered by the 26 Federal grant-making agencies. http://www.grants.gov

“Indian Tribe” means any Indian tribe, band, nation, or other organized group or community, including Alaska Native village or regional or village corporation, as defined in or established pursuant to the Alaska Native Claims Settlement Act (85 Stat. 688)[43 U.S.C. § 1601 et seq.], which are recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians.

"Key Personnel" mean the individuals who will have significant roles in planning and implementing the proposed Project on the part of the Applicant and Participants, including FFRDCs.

“Marketing Partner Identification Number (MPIN)” is a very important password designated by your organization when registering in CCR. The E-Business Point of Contact will need the MPIN to assign privileges to the individual(s) authorized to perform CCR transactions on behalf of your organization. The MPIN must have 9 digits containing at least one alpha character (must be in capital letters) and one number (no spaces or special characters permitted).

"Participant" for purposes of this Funding Opportunity Announcement only, means any entity, except the Applicant substantially involved in a Consortium, or other business arrangement (including all parties to the Application at any tier), responding to the Funding Opportunity Announcement.

“Principal Investigator” refers to the technical point of contact/Project Manager for a specific project award.

"Project" means the set of activities described in an Application, State plan, or other document that is approved by DOE for Financial Assistance (whether such Financial Assistance represents all or only a portion of the support necessary to carry out those activities).

“Proposal” is the term used to describe the documentation submitted in response to a Funding Opportunity Announcement. Also see Application.

“Recipient” means the organization, individual, or other entity that receives a Financial Assistance Award from DOE, is financially accountable for the use of any DOE funds or property provided for the performance of the Project, and is legally responsible for carrying out the terms and condition of the award.

"Selection" means the determination by the DOE Selection Official that negotiations take place for certain Projects with the intent of awarding a Financial Assistance instrument.

"Selection Official" means the DOE official designated to select Applications for negotiation toward Award under a subject Funding Opportunity Announcement.

40

"Substantial Involvement" means involvement on the part of the Government. DOE's involvement may include shared responsibility for the performance of the Project; providing technical assistance or guidance which the Applicant is to follow; and the right to intervene in the conduct or performance of the Project. Such involvement will be negotiated with each Applicant prior to signing any agreement.

“Technology Investment Agreement (TIA)” is a type of assistance instrument used to support or stimulate research projects involving for-profit firms, especially commercial firms that do business primarily in the commercial marketplace. TIAs are different from grants and cooperative agreements in that the award terms may vary from the Government-wide standard terms (See DOE TIA regulations at 10 CFR Part 603). The primary purposes for including a TIA in the type of available award instruments are to encourage non-traditional Government contractors to participate in an R&D program and to facilitate new relationships and business practices. A TIA can be particularly useful for awards to consortia (See 10 CFR 603.225(b) and 603.515, Qualification of a consortium).

"Total Project Cost" means all the funds to complete the effort proposed by the Applicant, including DOE funds (including direct funding of any FFRDC) plus all other funds that will be committed by the Applicant as Cost Sharing.

“Tribal Energy Resource Development Organization or Group” means an “organization” of two or more entities, at least one of which is an Indian Tribe (see “Indian Tribe” above) that has the written consent of the governing bodies of all Indian Tribes participating in the organization to apply for a grant or loan, or other assistance under 25 U.S.C. § 3503.

41

Appendix B: Personally Identifiable Information

In responding to this Announcement, Applicants must ensure that Protected Personally Identifiable Information (PII) is not included in the following documents: Project Abstract, Project Narrative, Biographical Sketches, Budget or Budget Justification. These documents will be used by the Merit Review Committee in the review process to evaluate each application. PII is defined by the Office of Management and Budget (OMB) and DOE as:

Any information about an individual maintained by an agency, including but not limited to, education, financial transactions, medical history, and criminal or employment history and information that can be used to distinguish or trace an individual’s identity, such as their name, social security number, date and place of birth, mother’s maiden name, biometric records, etc., including any other personal information that is linked or linkable to an individual.

This definition of PII can be further defined as: (1) Public PII and (2) Protected PII.

a. Public PII: PII found in public sources such as telephone books, public websites, business cards, university listing, etc. Public PII includes first and last name, address, work telephone number, email address, home telephone number, and general education credentials.

b. Protected PII: PII that requires enhanced protection. This information includes data that if compromised could cause harm to an individual such as identity theft.

Listed below are examples of Protected PII that Applicants must not include in the files listed above to be evaluated by the Merit Review Committee.

Social Security Numbers in any form Place of Birth associated with an individual Date of Birth associated with an individual Mother’s maiden name associated with an individual Biometric record associated with an individual Fingerprint Iris scan DNA Medical history information associated with an individual Medical conditions, including history of disease Metric information, e.g. weight, height, blood pressure Criminal history associated with an individual Employment history and other employment information associated with an individual Ratings Disciplinary actions

42

Performance elements and standards (or work expectations) are PII when they are so intertwined with performance appraisals that their disclosure would reveal an individual’s performance appraisal

Financial information associated with an individual Credit card numbers Bank account numbers Security clearance history or related information (not including actual clearances held)

Listed below are examples of Public PII that Applicants may include in the files listed above to be evaluated by the Merit Review Committee:

Phone numbers (work, home, cell) Street addresses (work and personal) Email addresses (work and personal) Digital pictures Medical information included in a health or safety report Employment information that is not PII even when associated with a name Resumes, unless they include a Social Security Number Present and past position titles and occupational series Present and past grades Present and past annual salary rates (including performance awards or bonuses, incentive

awards, merit pay amount, Meritorious or Distinguished Executive Ranks, and allowances and differentials)

Present and past duty stations and organization of assignment (includes room and phone numbers, organization designations, work email address, or other identifying information regarding buildings, room numbers, or places of employment)

Position descriptions, identification of job elements, and those performance standards (but not actual performance appraisals) that the release of which would not interfere with law enforcement programs or severely inhibit agency effectiveness

Security clearances held Written biographies (e.g. to be used in a program describing a speaker) Academic credentials Schools attended Major or area of study Personal information stored by individuals about themselves on their assigned

workstation or laptop unless it contains a Social Security Number

43

Appendix C: Cost Share Information

"Cost Sharing" means the respective share of Total Project Costs to be contributed by the Applicant and by DOE. Applicant Cost Share is calculated as a percentage of Total Project Cost rather than as a percentage of DOE contribution alone.

How Cost Sharing Is Calculated

As stated above, cost sharing is calculated as a percentage of the Total Project Cost. Following is an example of how to calculate cost sharing amounts for a project with $25,000,000 in Federal funds with a minimum 75% Applicant cost sharing requirement:

Formula: Federal share ($) divided by Federal share (%) = Total Project Cost Example: $25,000,000 divided by 25% = $100,000,000

Formula: Total Project Cost ($) minus Federal share ($) = Applicant share ($) Example: $100,000,000 minus $25,000,000 = $75,000,000

Formula: Applicant share ($) divided by Total Project Cost ($) = Non-Federal share (%) Example: $75,000,000 divided by $100,000,000 = 75%

Keep in mind that FFRDC funding is Federal funding.

What Qualifies For Cost Sharing?

While it is not possible to explain what specifically qualifies for cost sharing in one or even a couple of sentences, in general, if a cost is allowable under the cost principles applicable to the organization incurring the cost and is eligible for reimbursement under a DOE grant, cooperative agreement, or Technology Investment Agreement (TIA), then it is allowable as cost share, subject to the Contracting Officer’s determination.. Conversely, if the cost is not allowable under the cost principles and not eligible for reimbursement, then it is not allowable as cost share, subject to the Contracting Officer’s determination. Generally, costs may not be counted as cost share if they are paid by the Federal Government under another award unless authorized by Federal statute to be used for cost sharing.

The rules associated with what is allowable as cost share are specific to the type of organization that is receiving funds under the grant, cooperative agreement, or TIA though are generally the same for all types of entities. The specific rules applicable to:

Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations are found at 10 CFR 600.123;

State and Local Governments are found at 10 CFR 600.224; For-profit Organizations are found at 10 CFR 600.313. See also 10 CFR Part 603 for cost share regulations specific to TIAs

44

In addition to the regulations referenced above, other factors may also come into play such as timing of donations and length of the project period. For example, the value of ten years of donated maintenance on a project that has a project period of five years would not be fully allowable as cost share. Only the value for the five years of donated maintenance that corresponds to the project period is allowable and may be counted as cost share.

Additionally, DOE generally does not allow pre-award costs for either cost share or reimbursement when these costs precede the signing of the appropriation bill that funds the award. In the case of a competitive award, DOE generally does not allow pre-award costs prior to the signing of the Selection Statement by the DOE Selection Official.

Following is a link to the DOE Financial Assistance Regulations. You can click on the specific section for each Code of Federal Regulations reference mentioned above.

DOE Financial Assistance Regulations:http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=98a996164312e8dcf0df9c22912852b0&rgn=div5&view=text&node=10:4.0.1.3.9&idno=10

As stated above, the rules associated with what is allowable cost share are generally the same for all types of organizations. Following are the rules found to be common, but again, the specifics are contained in the regulations and cost principles specific to the type of entity:

(A) Acceptable contributions. All contributions, including cash contributions and third party in-kind contributions, must be accepted as part of the recipient's cost sharing if such contributions meet all of the following criteria:

(1) They are verifiable from the recipient's records.

(2) They are not included as contributions for any other Federally-assisted project or program.

(3) They are necessary and reasonable for proper and efficient accomplishment of project or program objectives.

(4) They are allowable under the cost principles applicable to the type of entity incurring

the cost as follows:

(a) For-profit organizations. Allowability of costs incurred by for-profit organizations and those nonprofit organizations listed in FAR 31.2 is determined in accordance with the for-profit costs principles in 48 CFR Part 31.1 and 31.2 in the Federal Acquisition Regulation, except that patent prosecution costs are not allowable unless specifically authorized in the award document.

(b) Other types of organizations. Allowability of costs incurred by other types of organizations that may be sub-recipients under a prime award is determined as follows:

45

(i) Institutions of higher education. Allowability is determined in accordance with 2 CFR 220, Cost Principles for Educational Institutions

(ii) Other nonprofit organizations. Allowability is determined in accordance with 2 CFR 230, Cost Principles for Non-Profit Organizations

(iii) Hospitals. Allowability is determined in accordance with the provisions of 45 CFR Part 74, Appendix E, Principles for Determining Costs Applicable to Research and Development Under Grants and Contracts with Hospitals

(iv) Governmental organizations. Allowability for State, local, or Federally recognized Indian tribal Government is determined in accordance with 2 CFR 225, Cost Principles for State, Local, and Indian Tribal Governments

(5) They are not paid by the Federal Government under another award unless authorized by Federal statute to be used for cost sharing or matching. (See Appendix E for additional information).

(6) They are provided for in the approved budget.

(B) Valuing and documenting contributions

(1) Valuing recipient's property or services of recipient's employees. Values are established in accordance with the applicable cost principles, which mean that amounts chargeable to the project are determined on the basis of costs incurred. For real property or equipment used on the project, the cost principles authorize depreciation or use charges. The full value of the item may be applied when the item will be consumed in the performance of the award or fully depreciated by the end of the award. In cases where the full value of a donated capital asset is to be applied as cost sharing or matching, that full value must be the lesser or the following:

(a) The certified value of the remaining life of the property recorded in the recipient's accounting records at the time of donation; or

(b) The current fair market value. If there is sufficient justification, the Contracting Officer may approve the use of the current fair market value of the donated property, even if it exceeds the certified value at the time of donation to the project. The Contracting Officer may accept the use of any reasonable basis for determining the fair market value of the property.

(2) Valuing services of others' employees. If an employer other than the recipient furnishes

the services of an employee, those services are valued at the employee's regular rate of pay, provided these services are for the same skill level for which the employee is normally paid.

(3) Valuing volunteer services. Volunteer services furnished by professional and technical personnel, consultants, and other skilled and unskilled labor may be counted as cost

46

sharing or matching if the service is an integral and necessary part of an approved project or program. Rates for volunteer services must be consistent with those paid for similar work in the recipient's organization. In those markets in which the required skills are not found in the recipient organization, rates must be consistent with those paid for similar work in the labor market in which the recipient competes for the kind of services involved. In either case, paid fringe benefits that are reasonable, allowable, and allocable may be included in the valuation.

(4) Valuing property donated by third parties.

(a) Donated supplies may include such items as office supplies or laboratory supplies. Value assessed to donated supplies included in the cost sharing or matching share must be reasonable and must not exceed the fair market value of the property at the time of the donation.

(b) Normally only depreciation or use charges for equipment and buildings may be applied. However, the fair rental charges for land and the full value of equipment or other capital assets may be allowed, when they will be consumed in the performance of the award or fully depreciated by the end of the award, provided that the Contracting Officer has approved the charges. When use charges are applied, values must be determined in accordance with the usual accounting policies of the recipient, with the following qualifications:

(i) The value of donated space must not exceed the fair rental value of comparable space as established by an independent appraisal of comparable space and facilities in a privately-owned building in the same locality.

(ii) The value of loaned equipment must not exceed its fair rental value.

(5) Documentation. The following requirements pertain to the recipient's supporting records for in-kind contributions from third parties:

(a) Volunteer services must be documented and, to the extent feasible, supported by the same methods used by the recipient for its own employees.

(b) The basis for determining the valuation for personal services and property must be documented.

47

Appendix D: Budget Justification

Using the “Object Class Categories” in the SF-424A Budget form, justify the costs in each category for each budget period of the project.

The SF424A Budget form and the Budget Justification must include both Federal (DOE), and Non-Federal (cost share) funds, thereby reflecting TOTAL PROJECT COSTS proposed.

For each sub-recipient with total project costs of $100,000 or more, a separate SF-424A budget and budget justification form must be submitted. For sub-recipients with estimated costs less than $100,000, provide what Statement of Project Objectives task(s) are being performed, the purpose/need for the effort, and a basis of the estimated costs that is considered sufficient for DOE evaluation.

All costs incurred by the Applicant’s sub-recipients, vendors, contractors, consultants and Federal Research and Development Centers (FFRDCs), should be entered only in section f. Contractual. All other sections are for the costs of the Applicant only.

PersonnelList costs solely for employees of the Applicant. Identify positions to be supported. Key personnel should be identified by title. All other personnel should be identified either by title or a group category. State the amounts of time (e.g., hours or % of time) to be expended, the composite base pay rate, total direct personnel compensation and identify the rate basis (e.g., actual salary, labor distribution report, technical estimate, state civil service rates, etc.). Identify the number of employees (on a Full Time Equivalent) that will be employed in each position or group category. See example below.

Task # and Title Position Title Budget Period 1 Budget Period 2 Budget Period 3 Project

Total Hours

Project Total

Dollars

Rate Basis

Time (Hours)

Pay Rate

($/Hr)

Total Budget Period 1

Time (Hours)

Pay Rate($/Hr

)

Total Budget Period

2

Time (Hours

)

Pay Rate

($/Hr)

Total Budget Period

3

Task 1. – Task Name Sr. Engineer (1)

2000 $85.00 $170,000 200 $50.00

$10,000

200 $50.00

$10,000

2400 $190,000 Actual Salary

 Task 2 – Task Name Process engineers (3)

6200 $35.00 $217,000 400 $35.00

$14,000

600 $35.00

$21,000

7200 $252,000 Actual Salary

 Task 3 – Task Name Technician (1)

1800 $20.00 $36,000 0 $0.00 $0 0 $0.00 $0 1800 $36,000 Actual Salary

FringeA Federally approved fringe benefit rate agreement, or a proposed rate supported and agreed upon by DOE for estimating purposes is required if reimbursement for fringe benefits is requested. If a fringe benefit rate has been negotiated with, or approved by, a Federal Government agency, a copy of the latest rate agreement must be included with this application. If there is not a current, Federally approved rate agreement negotiated and available, provide a copy of the proposal with the application. If selected, the rate agreement will be finalized during

48

award negotiations. Calculate the fringe rate and enter the total amount in Section B, line 6.b. (“Fringe Benefits”) of form SF-424A.

IMPORTANT: Provide all fringe rates, along with a complete explanation and the full calculations used to derive the total fringe costs. If the total fringe costs are a cumulative amount of more than one calculation or rate application, the explanation and calculations should identify all rates used, along with the base they were applied to (and how the base was derived), and a total for each (along with grand total). The rates and how they are applied should not be averaged to get one fringe rate. NOTE: The fringe rate should be applied to both the Federal Share and Recipient Cost Share. TravelSee example of travel detail below. Identify total Foreign and Domestic Travel as separate items. Purpose of travel are items such as professional conferences, DOE sponsored meetings, project management meetings, etc. Identify number of travelers, estimated cost per traveler, and duration of trip. The Basis for Estimating Costs could be items such as past trips, current quotations, Federal Travel Regulations, etc. All listed travel must be necessary for performance of the Statement of Project Objectives. NOTE: All projects should include travel for 1-2 travelers to a DOE project review during each year of the project. Each review will take approximately 2-3 days.

Purpose of travel

No. of Traveler

s

Depart

From

Destination

No. of

Days

Cost per

Traveler

Cost per Trip

Basis for Estimatin

g Costs

Budget Period 1Domestic Travel              

Visit to reactor mfr. to set up vendor agreement

2 Denver CO

Dallas TX 2 $650 $1,300

Internet prices

Domestic Travel subtotal

          $1,300

 

International Travel

             

Visit to technology provider to discuss IP agreement

2 Denver CO

Berlin Germany

5 $4,000 $8,000

Previous experience

International Travel subtotal

          $8,000

 

Budget Period 1 Total

          $9,300

 

49

(repeat as necessary for each Budget Period)

Equipment Equipment is generally defined as an item with an acquisition cost greater than $5,000 and a useful life expectancy of more than one year. All proposed equipment should be identified, providing a basis of cost such as vendor quotes, catalog prices, prior invoices, etc., and briefly justifying its need as it applies to the Statement of Project Objectives. If it is existing equipment, and the value of its contribution to the project budget is being shown as cost share, provide logical support for the estimated value shown. If it is new equipment which will retain a useful life upon completion of the project, provide logical support for the estimated value shown. For equipment over $50,000 in price, also include a copy of the associated vendor quote or catalog price list. See example below.

Equipment Item Qty

Unit Cost

Total Cost

Basis of Cost Justification of need

Budget Period 1

EXAMPLE ONLY!!! Thermal shock chamber

2 $20,000

$40,000

Vendor Quote Reliability testing of PV modules- Task 4.3

Budget Period 1 Total

    $40,000

   

(repeat as necessary for each Budget Period)

SuppliesSupplies are generally defined as an item with an acquisition cost of $5,000 or less and a useful life expectancy of less than one year. Supplies are generally consumed during the project performance. Further definitions can be found in 10 CFR 600.

Proposed supplies should be identified, providing a basis of cost such as vendor quotes, catalog prices, prior invoices, etc., and briefly justifying the need for the Supplies as they apply to the Statement of Project Objectives. Note that Supply items must be direct costs to the project at this budget category, and not duplicative of supply costs included in the indirect pool that is the basis of the indirect rate applied for this project.

General Category of Supplies Qty Unit Cost Total Cost Basis of Cost Justification of need

Budget Period 1

EXAMPLE ONLY!!! Wireless DAS components

10 $360.00 $3,600 Catalog price For Alpha prototype - Task 2.4

Budget Period 1 Total     $3,600    

(repeat as necessary for each Budget Period)

ContractualThe applicant must provide and justify all costs related to sub-recipients, vendors, contractors, consultants and FFRDC partners. See example below.

50

Sub-recipients (partners, sub-awardees): For each sub-recipient with total project costs of $100,000 or more, a separate SF-424A budget and budget justification form must be submitted. For sub-recipients with estimated costs less than $100,000, provide what Statement of Project Objectives task(s) are being performed, the purpose/need for the effort, and a basis of the estimated costs that is considered sufficient for DOE evaluation.

Vendors (includes contractors and consultants):Identify all vendors, contractors and consultants supplying commercial supplies or services used to support the project. The support to justify vendor costs (in any amount) should provide the purpose for the products or services and a basis of the estimated costs that is considered sufficient for DOE evaluation.Federal Research and Development Centers (FFRDCs):For FFRDC partners, the applicant should provide a Field Work Proposal (if not already provided with the original application), along with the FFRDC labor mix and hours, by category and FFRDC major purchases greater than $25,000, including Quantity, Unit Cost, Basis of Cost, and Justification.

Sub-RecipientName/Organization

Purpose/Tasks in SOPO Budget Period 1

Costs

Budget Period 2

Costs

Budget Period 3

Costs

Project Total

EXAMPLE ONLY!!! XYZ Corp. Partner to develop optimal fresnel lens for Gen 2 product - Task 2.4 $48,000 $32,000 $16,000 $96,000

  Sub-total $48,000 $32,000 $16,000 $96,000

Vendor Name/Organization

Product or Service, Purpose/Need and Basis of Cost(Provide additional support at bottom of page as needed)

Budget Period 1

Costs

Budget Period 2

Costs

Budget Period 3

Costs

Project Total

EXAMPLE ONLY!!! ABC Corp. Vendor for developing custom robotics to perform lens inspection, alignment, and placement (Task 4 ). Required for expanding CPV module mfg. capacity. Cost is from competitive quotes.

$32,900 $86,500   $119,400

  Sub-total  $32,900 $86,500 $0 $119,400

FFRDCName/Organization

Purpose Budget Period 1

Costs

Budget Period 2

Costs

Budget Period 3

Costs

Project Total

 

      $0

  Sub-total  $0 $0 $0 $0

Total Contractual   $80,900 $118,500 $16,000 $215,400

ConstructionConstruction, for the purpose of budgeting, is defined as all types of work done on a particular facility, including erecting, altering, or remodeling. Construction conducted by the award recipient should be justified in this category. Any construction work that is performed by a vendor or sub-recipient to the award recipient should be entered under “Contractual.”

Identify all proposed construction, providing a basis of cost such as engineering estimates, prior construction, etc., and briefly justify its need as it applies to the Statement of Project Objectives. For major endeavors, a copy of the engineering estimate or quote should also be provided. See example below.

Overall description of construction activities:

Example Only!!! - Build wind turbine platform

General Description Cost Basis of Cost Justification of need

51

Budget Period 1

Three days of excavation for platform siteEXAMPLE ONLY!!!

$28,000 Engineering estimate Site must be prepared for construction of platform.

Budget Period 1 Total $28,000    

(repeat as necessary for each Budget Period)

Other Direct CostsOther direct costs are direct cost items required for the project which do not fit clearly into other categories, and are not included in the indirect pool for which the indirect rate is being applied to this project. Basis of cost are items such as vendor quotes, prior purchases of similar or like items, published price list, etc.

General description Cost Basis of Cost Justification of need

Budget Period 1

EXAMPLE ONLY!!! Grad student tuition $16,000 Established UCD costs Support of graduate students working on project

Budget Period 1 Total $16,000    

(repeat as necessary for each Budget Period)

Indirect CostsA Federally approved indirect rate agreement, or rate proposed supported and agreed upon by DOE for estimating purposes is required if reimbursement of indirect benefits is requested. If there is a Federally approved indirect rate agreement, a copy must be provided with this application and if selected, must be provided electronically to the Contracting Officer for this project. If there is no current, Federally approved indirect rate agreement or if the Federally approved indirect rate agreement has been changed or updated, a rate proposal must be included with the application. If selected, the rate agreement will be finalized during award negotiations. Calculate the indirect rate dollars and enter the total in the Section B., line 6.j. (Indirect Charges) of form SF 424A.

IMPORTANT: Provide a complete explanation and the full calculations used to derive the total indirect costs. If the total indirect costs are a cumulative amount of more than one calculation or rate application, the explanation and calculations should identify all rates used, along with the base they were applied to (and how the base was derived), and a total for each (along with grand total). The rates and how they are applied should not be averaged to get one indirect cost percentage. NOTE: The indirect rate should be applied to both the Federal Share and Recipient Cost Share.

Cost ShareA detailed presentation of the cash or cash value of all cost share proposed for the project must be provided. Identify the source and amount of each item of cost share proposed by the Applicant and each sub-recipient. Letters of commitment must be submitted for all third party cost share (other than award recipient).

Note that “cost-share" is not limited to cash investment. Other items that may be assigned value in a budget as incurred as part of the project budget and necessary to performance of the project, may be considered as cost share, such as: contribution of services or property; donated, purchased or existing equipment; buildings or land; donated, purchased or existing supplies;

52

and/or unrecovered personnel, fringe benefits and indirect costs, etc. For each cost share contribution identified as other than cash, identify the item and describe how the value of the cost share contribution was calculated.Funds from other Federal sources MAY NOT be counted as cost share. This prohibition includes FFRDC’s. Non-Federal sources include private, state or local Government, or any source not originally derived from Federal funds.

Fee or profit will not be paid to the award recipients or sub-recipients of financial assistance awards. Additionally, foregone fee or profit by the applicant shall not be considered cost sharing under any resulting award. Reimbursement of actual costs will only include those costs that are allowable and allocable to the project as determined in accordance with the applicable cost principles prescribed in 10 CFR 600.127, 10 CFR 600.222 or 10 CFR 600.317. Also see 10 CFR 600.318 relative to profit or fee. See example below.

Organization/Source Type (cash or other)

Cost Share Item Budget Period 1

Cost Share

Budget Period 2

Cost Share

Budget Period 3

Cost Share

Total Project Cost Share

ABC CompanyEXAMPLE ONLY!!!

Cash Project partner ABC Company will provide 40 PV modules for product development at 50% off the of the retail price of $680

$13,600     $13,600

    Totals $0 $0 $0 $0

Total Project Cost: $312,300 Cost Share Percent of Award: 0.0%

53