1. 1 SunShot Tech-to-Market FOA (Incubator 11, SolarMat 4) SunShot.T2M@ee.doe.gov for FOA Questions FOA Webinar DE-FOA-0001400 01/06/2016

2. 2 Notice All applicants are strongly encouraged to carefully read the Funding Opportunity Announcement DE-FOA-0001400 (“FOA”) and adhere to the stated submission requirements. This presentation summarizes the contents of the FOA. If there are any inconsistencies between the FOA and this presentation or statements from DOE personnel, the FOA is the controlling document and applicants should rely on the FOA language and seek clarification from EERE. If you believe there is an inconsistency, please contact SunShot.T2M@ee.doe.gov.

3. 3 About This Presentation: We will not be recording this webinar Slides and script will be posted to EERE Exchange Questions submitted during this presentation will be answered in written form and posted to EERE Exchange – Use the webinar’s comment box to type and submit a question – Attendees are muted for the entirety of this webinar

4. 4 Agenda 1)FOA description and award information 2)Full Application content and form 3)Merit review and selection process

5. 5 The purpose of this FOA is to remove technical and market barriers that are addressable by technology and business innovation. – Solutions include hardware innovation and manufacturing, software, cost-reductions throughout the value chain, and non-cost (capability) related solutions. These solutions are expected to aid in achieving a ubiquitous solar energy solution and provide a clear path for these highly impactful technologies and solutions to rapidly reach market success. Fund for-profit entities to develop products and solutions which will further reduce the price of solar energy and de-risk the integration of solar energy to the electricity grid. FOA Description

6. 6 FOA Description (continued)

7. 7 This funding program combines two funding programs into one: – SunShot Incubator Program Round 11, and – SolarMat Round 4 T2M intends* to re-open this FOA for new applications in Q4 (Oct-Dec) 2016 * subject to availability of funds appropriated by Congress for the purpose of this program and the availability of future-year budget authority. FOA Description (continued)

8. 8 Award Information (FOA Section I.A) Type TierFlagship FOACost-shareMax. fed funds Max. project period Hardware 0Incubator 1120%$0.5M12 months 1Incubator 1120%$1.0M12 months 2Incubator 1150%$2.0M18 months 3SolarMat 450%$5.0M24 months Soft cost (non- hardware) 1SIncubator 1120%$0.5M12 months 2SIncubator 1150%$2.0M18 months Total federal funds available: $30M * Type of funding agreement: Cooperative agreement Tiers to apply into: *Subject to the availability of appropriated funds

9. 9 Cost Share Calculation (FOA Section III.B) 9

10. 10 Unallowable Cost Share The Prime Recipient may not use the following sources to meet its cost share obligations including, but not limited to: – Revenues or royalties from the prospective operation of an activity beyond the project period – Proceeds from the prospective sale of an asset of an activity – Federal funding or property – Expenditures reimbursed under a separate Federal Technology Office – Independent research and development (IR&D) funds as a direct cost – The same cash or third-party in-kind contributions for more than one project or program – Any individual’s labor costs in excess of the limitation (cost share or Federal share) specified in the Terms and Conditions of the Award – Volunteer services provided by the prime recipient.

11. 11 FOA Timeline Concept Paper Due 11/18/2015 Receive Encourage/ Discourage Notification 12/23/2015 Full Application Due 02/03/2016 Receive Reviewer Comments 3/8/2016 Reply to Reviewer Comments (optional) Due 03/11/2016 Receive notification of Selection/Non -Selection May 2016 EERE Concept Paper Review EERE Concept Paper Review EERE Evaluation and Selection EERE anticipates making awards by July-August 2016

12. 12  Encouraged – Concept Paper contained elements of interest to the program – Does not have an impact on selection  Discouraged – Applicants may apply, but are discouraged from doing so as DOE intends to convey its lack of programmatic interest in the proposed project – Discouraged assessments do not necessarily reflect judgments on the merits of the proposed project Concept paper: What does Encouraged/Discouraged mean? 12

13. 13 Agenda 1)FOA description and award information 2)Full Application content and form 3)Merit review and selection process

14. 14 Who’s Eligible to Apply? Standalone Applicants – Only for-profit entities are eligible to apply for funding as Standalone Applicants. Project Teams – Only project teams led by for-profit businesses are eligible to apply for funding. – The for-profit business designated as the Prime Recipient must incur at least 60% of total expenditures under the project, as measured by the Total Project Cost. For more detail about each eligible applicant, please see Section III.A of the FOA for eligibility requirements

15. 15 Multiple Applications Prime Applicants may only submit one Full Application per tier – Each application must be its own unique, stand-alone project with no interdependencies on other applications. – Each application must be for different and distinct products, processes, and/or technologies. Collaborating on other applications (e.g., as a sub- recipient or partner) in the same tier is permissible* * as long as the entity is only listed as the Prime Applicant on one Full Application per tier submitted under this FOA.

16. 16 Full Application compliance requirements (FOA Section III.C.1) Full Applications are deemed compliant if: – The Applicant submitted a compliant and responsive Concept Paper; – The Full Application complies with the content and form requirements in Section IV.D of the FOA; – The Applicant meets the eligibility requirements in Section III.A and indicates they will meet minimum cost share requirements for their Tier (Section I.A) and that the Primary Awardee will incur a minimum of 60% of award costs (Section III.A); – The Applicant successfully uploaded all required documents and clicked the “Submit” button in EERE Exchange by the deadline stated in the FOA; and – Applications must not be in the areas specifically not of interest as specified in Section I.D.

17. 17 Full Application form requirements (FOA Section IV.A) Full Applications form requirements are: – Each must be submitted in.doc or.docx format unless stated otherwise. – Each must be written in English. – All pages must fit on 8.5 x 11 inch paper with margins not less than one inch on every side. – Use Times New Roman typeface, a black font color, and a font size of 11 point or larger (except in figures or tables, which may be 10 point font). – References must be included as footnotes or endnotes in a font size of 8 or larger. Footnotes and endnotes are counted toward the maximum page requirement. – The Control Number must be prominently displayed on the upper right corner of the header of every page. Page numbers must be included in the footer of every page. – Each part of the application must not exceed the specified maximum page limit, including cover page, charts, graphs, maps, and photographs when printed using the formatting requirements set forth above and single spaced. – If Applicants exceed the maximum page lengths indicated below, EERE will redact extra material and review only the authorized number of pages and disregard any additional pages.

18. 18 Full Application content requirements (FOA Section IV.D) SubmissionFormatOptional/ MandatoryFOA Section Technical Volume.doc or.docx MandatoryIV.D.2 SF-424.pdfMandatoryIV.D.3 Budget Justification EERE 159 xls or.xlsx MandatoryIV.D.4 Summary Slide.ppt or.pptx MandatoryIV.D.8 SubAward Budget Justification EERE 159 xls or.xlsx Mandatory (if applicable) IV.D.5 SF-LLL.pdfMandatoryIV.D.9 Authorization for non-DOE/NNSA or DOE/NNSA FFRDC’s.doc or.docx Mandatory (if applicable) IV.D.7 A checklist of required documents is included in FOA Section III.C.2 Document templates can be found on EERE Exchange.

19. 19 Technical Volume content Technical volume sectionsPage limit Cover page1 page max Descriptions of each section of the technical volume is found in FOA Section IV.D.2 Project overview6 pages max Work breakdown8 pages max U.S. Manufacturing plan and commercialization plan 5 pages max Technical qualifications and resources4 pages max Performance milestones/metrics table2 pages max Technical volume may not exceed 26 pages, including the cover page, all citations, charts, graphs, maps, photos, or other graphics, and must include all sections in the table below.

20. 20  The Technology to Market team uses performance-based metrics/milestones reimbursement – Awardees will work at-risk to complete the performance metrics/milestones, and then provide EERE the deliverable to verify completion. – After confirmation, the awardee may invoice EERE for reimbursement for its actual cash disbursements of of allowable, allocable, reasonable costs incurred, subject to cost sharing requirements.  Performance metrics/milestones must be verifiable though a mechanism that the Applicant proposes and must represent significant progress.  Construct performance metrics/milestones carefully. See the FOA for details about performance metrics/milestones and maximum reimbursable project costs.  Reports are NOT acceptable performance-based metrics/milestones. Performance metrics/milestones Table 20

21. 21 Example performance metrics 21 Non-exhaustive list of acceptable Metrics for Hardware Related Proposals Efficiency Processing speed Yield Material utilization Uniformity Number of parts, holes, welds Heat loss Corrosion resistance Mechanical strength Mean time between failure Non-exhaustive list of acceptable Metrics for Non-Hardware Proposals Functioning code Number of customers surveyed Licenses granted Online traffic Bids generated Non-exhaustive list of unacceptable Deliverable Metrics Reports Exploratory experiments Unverifiable data Cost reduction based on quotes Time spent on project

22. 22 Technical volume content highlight - domestic plan U.S. Manufacturing Plan is required for all “hardware” Full Applications – Any application submitted to Tiers 0, 1, 2, or 3 Determination of Exceptional Circumstances (FOA Section VIII.L) – Each hardware related applicant is required to submit a U.S. Manufacturing Plan as part of its application. – If selected, the U.S. Manufacturing Plan shall be incorporated into the award terms and conditions.

23. 23 FAQ – Software 23 The award will include the terms of the government licenses. Specifically, the award will contain the following government license for the subject inventions: “With respect to any subject invention in which the Recipient retains title, the Federal Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the U.S. the subject invention throughout the world.” In addition to a government purpose license for any subject invention under award, the government will also have a license to any copyrighted software developed under the award. The award will contain the following license: “For such copyrighted data, including computer software, the Recipient grants to the Government, and others acting on its behalf, a paid-up nonexclusive, irrevocable worldwide license in such copyrighted data to reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly, by or on behalf of the Government.” While the Solar Program will retain the right to request any data, including software, generated under the awards, it does not intend to take possession of or request delivery of any software developed under the awards. In the event software developed under an award was delivered to DOE, an awardee may mark the software as protected. As will be set forth in the awards, an awardee may mark software a “protected data” and DOE will agree not to disclose, publish or disseminate outside the Government for 5-years.

24. 24 FAQ – Proprietary/Confidential information 24  The DOE does not release proprietary/Confidential information  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.”  Every line and paragraph containing proprietary, privileged, or trade secret information must be clearly marked using double brackets i.e. [[text]]  DO NOT use highlighting, it is very difficult to read many applications marked using highlighting.  You will be contacted in the event of a FOIA request and be allowed to redact proprietary material.

25. 25 Means of Submission Full Applications and Replies to Reviewer Comments must be submitted through EERE Exchange at https://eere-Exchange.energy.gov o EERE will not review or consider applications submitted through other means The Users’ Guide for Applying to the Department of Energy EERE Funding Opportunity Announcements can be found at https://eere-Exchange.energy.gov/Manuals.aspx A checklist of required full application documents is included in FOA Section III.C.2 Document templates can be found on EERE Exchange.

26. 26 Key Submission Points Check entries in EERE Exchange o Submissions could be deemed ineligible due to an incorrect entry EERE strongly encourages Applicants to submit 1-2 days prior to the deadline to allow for full upload of application documents and to avoid any potential technical glitches with EERE Exchange Make sure you hit the submit button o Following the expiration of the applicable deadline, Applicants are no longer able to click the “Submit” button under the “Upload and Submit” tab in EERE Exchange for this FOA. o As an example, if an applicant starts the application at 1:30pm on the due date and has not finished by the due date time of 3:00pm they will be immediately locked out of EERE Exchange at the deadline. For your records, print out the EERE Exchange Confirmation page at each step, which contains the application’s Control Number

27. 27 Agenda 1)FOA description and award information 2)Full Application content and form 3)Merit review and selection process

28. 28 Merit Review and Selection Process The Merit Review process consists of multiple phases that each include an initial eligibility review and a thorough technical review Rigorous technical reviews are conducted by reviewers that are experts in the subject matter of the FOA Ultimately, the Selection Official considers the recommendations of the reviewers, along with other considerations such as program policy factors, to make the selection decisions

29. 29 Criterion 1: Innovation and impact Weighting Mission Innovation Market Impact Technical Merit Review Criteria (FOA Section V.A.2) Tier 0Tier 1, 1STier 2, 2STier 3 40%30%25%

30. 30 Criterion 2: Project plan and risk identification Weighting Identifying risks Retiring risks Goal quality Technical Merit Review Criteria (FOA Section V.A.2) Tier 0Tier 1Tier 2Tier 3 25%

31. 31 Criterion 3: Team and Resources Weighting Capabilities Contributions Readiness Resources Technical Merit Review Criteria (FOA Section V.A.2) Tier 0Tier 1Tier 2Tier 3 25%

32. 32 Criterion 4: U.S. Manufacturing and/or Commercialization Strategy Weighting Contribution to Domestic Manufacturing [hardware only] Quality and reasonableness Viability Capitalization Technical Merit Review Criteria (FOA Section V.A.2) Tier 0Tier 1, 1STier 2, 2STier 3Tier 4 10%20%25%

33. 33 Replies to Reviewer Comments (FOA Section IV.F) EERE provides applicants with reviewer comments Applicants are not required to submit a Reply - it is optional To be considered by EERE, a Reply must be submitted by 03/11/2016, 3:00pm ET and submitted through EERE Exchange Content and form requirements: SectionPage LimitDescription Text2 pages max Applicants may respond to one or more reviewer comments or supplement their Full Application. These pages include any citations. Optional1 page max Applicants may provide graphs, charts, or other data to respond to Reviewer Comments. The applicant may NOT elect to forgo submitting a page of graphs and figures and submit 3 pages of text, in this case the third page of text would be deleted.

34. 34 EERE may invite one or more applicants to participate in Pre-Selection Interviews All interviews will be conducted in the same format EERE will not reimburse applicants for travel and other expenses relating to the Pre-Selection Interviews, nor will these costs be eligible for reimbursement as pre-award costs Participation in Pre-Selection Interviews with EERE does not signify that applicants have been selected for award negotiations Pre-Selection Interviews (FOA Section V.D.2 & V.D.3)

35. 35 Program Policy Factors (FOA Section V.C.1) The Selection Official may consider the following program policy factors in making his/her selection decisions:  The degree to which there is breadth and significant potential impact of technology development, including whether the proposed project will accelerate transformational technological advances in areas that industry by itself is not likely to undertake because of technical and financial uncertainty;  The degree to which there is diversity of technologies, approaches, methods, and institutions (including the degree to which proposed technologies, approaches, and methods would be complementary to and support a diversity of geographic locations and of technical approaches and methods that, in conjunction with the existing portfolio of projects funded by EERE, best achieve the overall goals and objectives of the Solar Energy Technologies Office);  The degree to which there are technical, market, organizational, and/or environmental risks associated with the project;  The degree to which the proposed project, including proposed cost shares, optimizes the use of available EERE funding to achieve programmatic objectives; including the Level of cost-share above the minimum required and leveraging of additional resources;  The degree to which there is portfolio diversity associated with time to market and/or development of pipeline;  The degree to which there is industry involvement and demonstrated ability to commercialize energy or related technologies;  The degree to which the proposed project is likely to lead to increased employment and manufacturing in the United States;  The degree to which the proposed project directly addresses EERE’s statutory mission and strategic goals;  The degree to which the applicant has the resources (human and financial) to be able to complete the project.  Whether the proposed project will advance the goals of the Climate Action Champion initiative, as committed to by the designated Champion pursuant to its designation agreement. The Climate Action Champion initiative goals include improving climate resilience and reducing greenhouse gas emissions.

36. 36 Selection Factors The Selection Official may consider the merit review recommendation, program policy factors, and the amount of funds available in arriving at selections for this FOA.

37. 37 Statement of Substantial Involvement (FOA Section VI.C.10) EERE has substantial involvement in work performed under Awards made following this FOA. EERE does not limit its involvement to the administrative requirements of the Award. Instead, EERE has substantial involvement in the direction and redirection of the technical aspects of the project as a whole. Substantial involvement includes, but is not limited to, the following: EERE shares responsibility with the Recipient for the control, direction, and performance of the Project. EERE may intervene in the conduct or performance of work under this Award for programmatic reasons. Intervention includes the interruption or modification of the conduct or performance of project activities. EERE may redirect or discontinue funding the Project based on the outcome of EERE’s evaluation of the Project Performance Metrics. EERE participates in major project decision-making processes. EERE conducting site visits as required to: participate in recipient “Kick-off Meetings”, gain clearer understanding of problems or issues, observe testing, meet with stakeholders/attend public meetings, verify equipment installations, validate reported progress, review confidential/proprietary information, participate in progress and cost/financial reviews and conduct structured project review per programmatic direction. EERE promoting and facilitating technology transfer activities, including disseminating program results through presentations and publications. The Recipient must adhere to EERE technical direction and comply with agency-specific and programmatic requirements.

38. 38 Applicants must designate primary and backup points-of- contact in EERE Exchange with whom EERE will communicate to conduct award negotiations It is imperative that the Applicant/Selectee be responsive during award negotiations and meet negotiation deadlines o Failure to do so may result in cancellation of further award negotiations and rescission of the Selection Applicant Points-of-Contact

39. 39 FOA Timeline Concept Paper Due 11/18/2015 Receive Encourage/ Discourage Notification 12/23/2015 Full Application Due 02/03/2016 Receive Reviewer Comments 3/8/2016 Reply to Reviewer Comments (optional) Due 03/11/2016 Receive notification of Selection/Non -Selection May 2016 EERE Concept Paper Review EERE Concept Paper Review EERE Evaluation and Selection EERE anticipates making awards by July-August 2016

40. 40 Questions Questions about this FOA? Email SunShot.T2M@ee.doe.gov o All Q&As related to this FOA will be posted on EERE Exchange o You must select this specific FOA Number in order to view the Q&As o EERE will attempt to respond to a question within 3 business days, unless a similar Q&A has already been posted on the website Problems logging into EERE Exchange or uploading and submitting application documents with EERE Exchange? Email EERE- ExchangeSupport@hq.doe.gov. o Include FOA name and number in subject line Questions asked during this presentation and these slides will be posted on EERE Exchange