Department of Energy (DOE)
Office of Energy Efficiency and Renewable Energy (EERE)
Photovoltaics Research and Development (PVRD) 2:
Modules and Systems
Funding Opportunity Announcement (FOA) Number: DE-FOA-0001654
FOA Type: Initial
CFDA Number: 81.087
FOA Issue Date / November 14, 2016Submission Deadline for Letter of Intent (Required for All Topic Areas) / December 1, 2016 at 5:00pm ET
InformationalConcept Paper PhaseWebinar (Relevant to All Topic Areas) / November 21, 2016
Submission Deadline for Concept Paper (Required for Topic Areas 2 and 3) / December14, 2016 at 5:00pm ET
Informational Full Application and Small Innovative Projects in Solar (SIPS) Application Webinar(Relevant to All Topic Areas) / February 7, 2017
Submission Deadline for Full Applicationor SIPS Application (Required for All Topic Areas) / March 3, 2017 at 5:00pm ET
Expected Submission Deadline for Replies to Reviewer Comments
(Not Applicable for Topic Area 1) / April 20, 2017 at 5:00pm ET
Expected Date for EERE Selection Notifications (All Topic Areas) / June 30, 2017
Expected Timeframe for Award Negotiations / July and August, 2017
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- To apply to this FOA, applicants must register with and submit application materials through EERE Exchange at EERE’s online application portal.
- All applicants must submit a Letter of Intent by 5:00pm ET on the due date listed above to be eligible to submit a Small Innovative Projects in Solar (SIPS) Application (Topic 1) or a Concept Paper (Topic 2 & 3).
- After submitting a Letter of Intent to Topic Area 1, SIPS applicants should navigate through the concept paper submission process on EERE Exchange and click “submit” on the last page (No uploaded concept paper file is required for Topic Area 1, but Applicants must still fill out the required fields and click submit).
- Applicants to Topic Areas 2 and 3 must submit a Concept Paperby 5:00pm ET the due date listed above in order to be eligible to submit a Full Application.
- Applicants must submit a SIPS Application (Topic 1) or Full Application (Topic 2 and 3) on the due date listed above in order to be eligible for application review.
- Templates are provided on EERE Exchange for the Concept Paper, SIPS Application, Full Application, Public Summary Slide, and Other Application forms.
- Applicants must designate primary and backup points-of-contact in EERE Exchange with whom EERE will communicate to conduct award negotiations. If an application is selected for award negotiations, it is not a commitment to issue an award. It is imperative that the applicant/selectee be responsive during award negotiations and meet negotiation deadlines. Failure to do so may result in cancelation of further award negotiations and rescission of the selection.
Table of Contents
I.Funding Opportunity Description
A.Description/Background
B.Topic Areas/Technical Areas of Interest
C.Applications Specifically Not of Interest
D.Authorizing Statutes
II.Award Information
A.Award Overview
i.Estimated Funding
ii.Period of Performance
B.EERE Funding Agreements
i.Cooperative Agreements
ii.Funding Agreements with FFRDCs
iii.Grants
iv.Technology Investment Agreements
III.Eligibility Information
A.Eligible Applicants
i.Individuals
ii.Domestic Entities
iii.Foreign Entities
iv.Incorporated Consortia
v.Unincorporated Consortia
B.Cost Sharing
i.Legal Responsibility
ii.Cost Share Allocation
iii.Cost Share Types and Allowability
iv.Cost Share Contributions by FFRDCs
v.Cost Share Verification
vi.Cost Share Payment
C.Compliance Criteria
i.Compliance Criteria
D.Responsiveness Criteria
E.Other Eligibility Requirements
i.Requirements for DOE/NNSA and non-DOE/NNSA Federally Funded Research and Development Centers Included as a Subrecipient
F.Limitation on Number of Concept Papers and Full Applications Eligible for Review
G.Questions Regarding Eligibility
IV.Application and Submission Information
A.The Application Process
i.Additional Information on EERE Exchange
B.Application Forms
i.Content and Form of the Letter of Intent
C.Content and Form of the Concept Paper
i.Concept Paper Content Requirements
D.Content and Form of the SIPS Application
i.SIPS Application Content Requirements
ii.Technical Volume for Topic Area 1 (SIPS) Applications
iii.SF-424: Application for Federal Assistance
iv.Budget Justification Workbook (EERE 335)
v.Summary/Abstract for Public Release
vi.Summary Slide for Public Release
vii.Subaward Budget Justification (EERE 335) (if applicable)
viii.Budget for DOE/NNSA FFRDC (if applicable)
ix.Authorization for non-DOE/NNSA or DOE/NNSA FFRDCs (if applicable)
x.Waiver Requests: Foreign Entities and Performance of Work in the United States (if applicable)
E.Content and Form of the Full Application
i.Full Application Content Requirements (Topic Area 2 and Topic Area 3)
ii.Technical Volume for Topic Areas 2 and 3
iii.SF-424: Application for Federal Assistance
iv.Budget Justification Workbook (EERE 335)
v.Summary/Abstract for Public Release
vi.Summary Slide for Public Release
vii.Subaward Budget Justification (EERE 335) (if applicable)
viii.Budget for DOE/NNSA FFRDC (if applicable)
ix.Authorization for non-DOE/NNSA or DOE/NNSA FFRDCs (if applicable)
x.SF-LLL: Disclosure of Lobbying Activities
xi.Waiver Requests: Foreign Entities and Performance of Work in the United States (if applicable)
xii.U.S. Manufacturing Commitments
xiii.Data Management Plan
F.Content and Form of Replies to Reviewer Comments
G.Post-Award Information Requests
H.Dun and Bradstreet Universal Numbering System Number and System for Award Management
I.Submission Dates and Times
J.Intergovernmental Review
K.Funding Restrictions
i.Allowable Costs
ii.Pre-Award Costs
iii.Performance of Work in the United States
iv.Construction
v.Foreign Travel
vi.Equipment and Supplies
vii.Lobbying
viii.Risk Assessment
ix.Invoice Review and Approval
V.Application Review Information
A.Technical Review Criteria
i.Review Criteria for Concept Papers (Topic Area 2 and Topic Area 3)
ii.Review Criteria for SIPS Applications (Topic Area 1)
iii.Review Criteria for Full Applications (Topic 2 and 3)
iv.Criteria for Replies to Reviewer Comments
B.Standards for Application Evaluation
C.Other Selection Factors
i.Program Policy Factors
D.Evaluation and Selection Process
i.Overview
ii.Recipient Integrity and Performance Matters
iii.Selection
E.Anticipated Notice of Selection and Award Dates
VI.Award Administration Information
A.Award Notices
i.Ineligible Submissions
ii.Concept Paper Notifications
iii.Full Application Notifications
iv.Successful Applicants
v.Alternate Selection Determinations
vi.Unsuccessful Applicants
B.Administrative and National Policy Requirements
i.Registration Requirements
ii.Award Administrative Requirements
iii.Foreign National Access to DOE Sites
iv.Subaward and Executive Reporting
v.National Policy Requirements
vi.Environmental Review in Accordance with National Environmental Policy Act (NEPA)
vii.Applicant Representations and Certifications
viii.Statement of Federal Stewardship
ix.Statement of Substantial Involvement
x.Subject Invention Utilization Reporting
xi.Intellectual Property Provisions
xii.Reporting
xiii.Go/No-Go Review
xiv.Conference Spending
xv.Limitations on Compensation Costs
xvi.UCC Financing Statements
VII.Questions/Agency Contacts
VIII.Other Information
A.FOA Modifications
B.Informational Webinar
C.Government Right to Reject or Negotiate
D.Commitment of Public Funds
E.Treatment of Application Information
F.Evaluation and Administration by Non-Federal Personnel
G.Notice Regarding Eligible/Ineligible Activities
H.Notice of Right to Conduct a Review of Financial Capability
I.Notice of Potential Disclosure Under Freedom of Information Act (FOIA)
J.Requirement for Full and Complete Disclosure
K.Retention of Submissions
L.Title to Subject Inventions
M.Government Rights in Subject Inventions
i.Government Use License
ii.March-In Rights
N.Rights in Technical Data
O.Copyright
P.Personally Identifiable Information (PII)
Q.Annual Compliance Audits
Appendix A – Cost Share Information
Appendix B – Sample Cost Share Calculation for Blended Cost Share Percentage
Appendix C – Waiver Requests: Foreign Entity Participation as the Prime Recipient and Performance of Work in the United States
1.Waiver for Foreign Entity Participation as the Prime Recipient
2.Waiver for Performance of Work in the United States
Appendix D - DataManagement Plan
Appendix E – LCOE Impact Estimate Information
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- Funding Opportunity Description
A.Description/Background
The SunShot Initiative
The U.S. Department of Energy’s Solar Energy Technologies Office and SunShot Initiative work to accelerate the market competitiveness of solar energy by targeting Levelized Cost of Energy (LCOE) reductions and increased solar deployment. The SunShot Initiative originally set a target LCOE value of $0.06/kWh by 2020 for electricity generated from utility-scale solar facilities without subsidies and in regions with average solar resource in order to be cost competitive with electricitygenerationfrom fossil fuels. Recognizing the significant potential for solar power beyond even that which is enabled by the 2020 goal, SunShot recently set a 2030 target of $0.03/kWh for utility-scale PV (in regions with average solar resource and without subsidies). To enable the industry to reach these targets, it is vital that advanced research continues to provide technology innovation while further reducing energy costs for homeowners and businesses across the country.
Figure 1. The SunShot Photovoltaics Research and Development program.
Figure 1 illustrates the goals of SunShot’s Photovoltaics Research and Development program. While progress in the PV field to date has been remarkable, further advances are needed to reach SunShot’s 2020 and 2030 goals. Continuing reductions in the price of electricity from photovoltaics enables increased deployment and facilitates integration with other technologies, such as energy storage devices, demand-side management, and advanced monitoring and controls that provide greater dispatchability of solar electricity.
Photovoltaics Research and Development(PVRD) 2: Modules and Systems
The goal of this Funding Opportunity Announcement (FOA) is to support continued innovation in photovoltaic modules and systems. Towards this end, three Topic Areas have been identified that target (1) The investigation of new and relatively unexplored areas in photovoltaic research and development, (2) The fabrication, characterization, and analysis of advanced PV modules, and (3) The design and construction of PV systems to facilitate rapid deployment. SunShot encourages the formation of partnerships between academic, industrial, and/or National Laboratory personnel that will increase the potential market impact of the proposed projects. Industrial entities on the team, whether as a primary recipient, subrecipient, or in an advisory role, can help identify barriers affecting industrial production and guide research to the most impactful areas for the PV industry.
SunShot’s $0.03/kWh LCOE goal represents a useful tool inmotivating and evaluating research directions within the PV research community. However, SunShot does not expect individual projects to provide comprehensive pathways to meet or exceed the 2030 cost target. Rather, the goal is to fund applications that provide one or more innovations that, when combined with a portfolio of other solutions, will lead to achieving the SunShot cost target. Applicants should describe how their proposed work will enable cost reductions in the PV sector in a way that remains realistic with respect to their own capabilities and to developments that will occur outside the proposed project.
This funding opportunity is intended to support projects that will develop technologies and methods that have the potential to produce new classes of commercial products as well as tosupport projects that will catalyze the generation and dissemination of technical knowledge across the field. As illustrated inFigure 2, applications that are predominantly focused on developing an individual solar product within a specific business plan may be better suited for funding via the 2016 SunShot Technology to Market FOA (DE-FOA-0001640), which is a separate funding opportunity that accepts applications only from for-profit entities. SunShot’s 2016 Technology to Market FOA will be accepting Letters of Intent during a similar time frame as this funding opportunity, and can be accessed separately on EERE Exchange.To learn more about the Technology to Market programs in SunShot, including information on the Incubator and SolarMat programs, please visit the SunShot Technology to Market website.
Organizations are strongly discouraged from submitting applications with similar scopes of work to multiple FOAs. EERE will only provide funding for a specific scope of work under one Funding Opportunity Announcement. If an organization submits the same or similar technically meritorious applications to multiple FOAs, EERE will determine which application will be funded, and under which funding opportunity.
Figure 2. Guidance regarding the submission of applications between the FY17 Photovoltaics Research and Development and the Technology to Market Funding Opportunities within SunShot.
The following sections provide background information on the areas of interest to this funding opportunity. Relevant topics that are not specifically listed below may still be funded according to the Topic Area guidance provided in Section I.B. (Areas of Interest) and I.C.(Applications Specifically Not of Interest).
Topic Area 1: Small Innovative Projects in Solar (SIPS)
Innovations in technology often have their roots in publicly funded programs designed to provide a space for investigators to test out new ideas. While the field of photovoltaics has been innovating for several decades and some sub-branches are quite mature, there are still areas where new ideas and different approaches could push the field forward. In Topic Area 1, DOE is looking for innovative ideas in all areas of photovoltaics research and across all technologies that have a potential for high impact on lowering costs, increasing efficiency and reliability of photovoltaics. An important aspect of developing an idea is the initial demonstration that a particular direction has promise for further investigation. The goal of the SIPS topic area is to help innovative seedling ideas focus on a problem, get off the ground, and demonstrate the first results, which can then be expanded into larger applications to future funding opportunities if the initial results are sufficiently promising.
Topic Area 2A: Advanced Module Design and Fabrication
A significant number of new module designs have the potential togain a significant foothold across the PV market in the next few years. Glass/glass modules, shingled interconnections, rear
side contacts, copper metallization, wire interconnects, half cells, busbarless designs, onboard electronics, and many other relatively new concepts are in the process of transitioning from innovative new ideas to commercial realities. The advantages offered by new module technologies vary dramatically, and one of the goals of this funding opportunity is to expand the conversation surrounding module performance to include the various benefits that are not always captured in $/WDC costs alone. A few examples are: increased annual energy yieldunder fielded operating conditions, reduced degradation and failure rates,reduced shipping weights and volumes, improved performance under partial shading, tolerance to higher-voltagesystem operation, and many more.
Figure 3. Projected changes in (left) cell technology and in (right) cell interconnection methods over the next ten years. Adapted from the 2016 International Technology Roadmap for Photovoltaics.
Next-generation modules will also need to accommodate changes in cell architecture and system operation. Figure 3shows a summary of two projections by the International Technology Roadmap for Photovoltaics (ITRPV), showing predictions of increasing diversity in cell types and interconnection methods over the next ten years. While the predicted cell types in 2026 have diverged substantially from the standard back surface field cell, the predicted interconnection method in 2026 is still dominated by standard ribbon interconnects. It is one of the intentions of this funding opportunity to support the development and analysis of advanced module architectures with new and more sophisticated cell interconnection methods that can lower overall LCOE.
Figure 4. Photovoltaic module power losses over time sorted by time and categorized by individual degradation mechanisms. Source: IEA-PVPS, “Review of Failures of Photovoltaic Modules,” 2014.
The process of interconnecting and packaging cells into modules occupies an important position in determining the performance over time of the completed module. Figure 4showsa variety ofobserved losses in module power outputdue to degradation and failure in the field. As is visible in the figure, power lost over the module lifetimeis mainly attributable to problems and mechanisms that arise from module packaging and interconnection methods. Projects that address reliability concerns, maximize service lifetime, and minimize degradation of photovoltaic modules are areas of interest to this funding opportunity.
Figure 5. (a) Breakdown of costs between notable sections of the silicon supply chain. (b) Relative breakdown of costs during Module Assembly. (c) Approximate material costs used during various steps of the module assembly process. Source: NREL Strategic Energy Analysis Center.
Figure 5shows a breakdown of photovoltaic module costs across some of the notable stages of the silicon PV supply chain. Conversion from cell to module represents the largest cost category, and certain steps, such as lamination procedures, are also time consuming and contribute significantly to factory floor space requirements. This funding opportunity is intended to support the development of new module designs and fabrication methods that take advantage of the significant opportunities that exist for cost reductions based on the replacement or the more efficient use of metallization, interconnection, and packaging materials during the module manufacturing process.
Cell to module conversionaccounts for a significant amount of efficiency loss, and module architectures with front-contact metallization and ribbon interconnects can easily result in more than 10% relative efficiency loss between cell and completed module. Figure 6 illustrates some of the power loss mechanisms that reduce the efficiency of completed modules. In order to reduce such losses, this funding opportunity intends to support the investigation of strategies for reducing optical and electrical losses during module conversion, including advanced cell metallization, interconnection, and packagingmethods.