Attachment 1 - NOFO Part 2_NETL.docx

Notice of Funding Opportunity Part 2 Section IX. Other Information

Financial Assistance Notice of Funding Opportunity Part 2

This is Part 2 of the Notice of Funding Opportunity (NOFO). The NOFO Part 2 is intended as a companion document to the NOFO Part 1. The NOFO Part 1 describes the specific DOE programmatic goals and evaluation criteria, eligibility, and other components that are specific to each funding opportunity.

Part 2 includes fixed DOE requirements that generally do not change from NOFO to NOFO. This document includes standard information for the application phase and describes expectations for award negotiations and post-award requirements for selected applications.

Applicants should review both the NOFO Part 1 and the NOFO Part 2 prior to applying.

Application Content and Form

Table of Contents

DISCLAIMER: Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. If the application contains information that the applicant organization considers to be trade secrets, information that is commercial or financial, or information that is privileged or confidential, the pages containing that information should be identified as specified in the application instructions. When such information is included in the application, it is furnished to the Federal government in confidence, with the understanding that the information will be used or disclosed only for evaluation of the application. The information contained in the application will be protected by DOE from unauthorized disclosure, consistent with the need for merit review of applications of financial assistance awards to assure the integrity of the competitive process and the accuracy and completeness of the information. If a Federal financial assistance award is made as a result of or in connection with an application, the Federal government has the right to use or disclose the information to the extent authorized by law. This restriction does not limit the Federal government’s right to use the information if it is obtained without restriction from another source.

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Table of Contents

I. Get Registered

There are several required one-time actions applicants must take before applying to this NOFO. Some of these actions may take several weeks, so it is vital applicants build in enough time to complete them. Failure to complete these actions could interfere with application or negotiation deadlines or the ability to receive an award if selected. If you are already registered, project make sure your registration is active and up to date. All registrations are free.

See Step 3: Submit Your Application

SAM.gov Registration You must have an active account with SAM.gov, the System for Award Management (SAM). This includes having a Unique Entity Identifier (UEI).

· What is it? SAM is a federal procurement database. All entities that want to do business with the federal government MUST be registered in SAM.

· Existing SAM registrations must be updated annually.

· Duration to complete: can take several weeks.

· Registration Link: https://sam.gov/content/home

· NOTE: Subrecipients are not required to obtain an active SAM registration but must obtain a Unique Entity Identifier.

· HELP: https://sam.gov/content/help Applicants must allow several weeks for the SAM process to complete. All registrations rely on completion of the SAM registration. (START Early)

Unique Entity Identifier (UEI)

· What is it? UEI is a non-proprietary identifier that has replaced the Federal Government use of Data Universal Numbering System (DUNS) number effective April 4, 2022.

· Applicants must obtain an UEI from the SAM to uniquely identify the entity. The UEI is available in the SAM entity registration record.

· Note: Subawardees/subrecipients at all tiers must also obtain an UEI from the SAM and provide the UEI to the recipient before the subaward can be issued.

· Duration to complete: can take several weeks.

· Registration Link: https://sam.gov/content/entity-registration

· HELP: https://www.fsd.gov/gsafsd_sp

Grants.gov Registration You must have an active Grants.gov registration in order to receive automatic updates when modifications to this NOFO are posted and to submit an application. Doing so requires a Login.gov registration as well.

· What is it? Website used to enable federal grant-making agencies to notify potential applicants of funding opportunities and to submit an application in response to a funding opportunity. Please note that letters of intent and concept papers will not be accepted through Grants.gov.

· Step-by step instructions for applicants at How to Apply for Grants website https://www.grants.gov/applicants/grant-applications/how-to-apply-for-grants

· Duration to complete: can take several days.

· Registration Link: https://grants.gov

· HELP: https://apply07.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm

DISCLAIMER:

Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. If the application contains information that the applicant organization considers to be trade secrets, information that is commercial or financial, or information that is privileged or confidential, the pages containing that information should be identified as specified in the application instructions. When such information is included in the application, it is furnished to the federal government in confidence, with the understanding that the information will be used or disclosed only for evaluation of the application.

The information contained in the application will be protected by DOE from unauthorized disclosure, consistent with the need for merit review of applications of financial assistance awards to assure the integrity of the competitive process and the accuracy and completeness of the information. If a federal financial assistance award is made as a result of or in connection with an application, the federal government has the right to use or disclose the information to the extent authorized by law. This restriction does not limit the federal government’s right to use the information if it is obtained without restriction from another source. Information included in the applicant's Community Benefits Plan, or the entire Community Benefits Plan, may be shared with the public at selection at the discretion of DOE, and Applicants should specifically mark any information in the Community Benefits considered trade secrets, commercial, financial or privileged or confidential as per application instructions.

Get Registered

Section I: Get Registered

II. Eligibility

Please refer to the NOFO Part 1, Eligibility for the eligibility criteria specific to your application. This section includes additional information to help applicants understand the standard eligibility requirements across all DOE NOFOs.

A. Cost Sharing This section contains additional information to help applicants understand federal cost sharing requirements. Please refer to the NOFO Part 1, Eligibility—Cost Sharing for the cost sharing criteria specific to your application.

Legal Responsibility Although the cost share requirement applies to the entire project, including work performed by members of the project team other than the recipient, the recipient is legally responsible for paying the entire cost share. The recipient’s cost share obligation is expressed in the Assistance Agreement as a static amount in U.S. dollars (cost share amount) and as a percentage of the Total Project Cost (cost share percentage). If the funding agreement is terminated prior to the end of the project period, the recipient is required to contribute at least the cost share percentage of total expenditures incurred through the date of termination.

The recipient is solely responsible for managing cost share contributions by the project team and enforcing cost share obligation assumed by project team members in subawards or related agreements.

Cost Share Allocation Each project team is free to determine how best to allocate the cost share requirement among the team members. The amount contributed by individual project team members may vary, as long as the cost share requirement for the entire project is met.

Cost Share Types and Allowability Cost share must meet requirements set forth in 2 C.F.R. §§ 200.306 and 910.130, and cost principles set forth in 2 C.F.R. §§ 200.400-476 and 2 C.F.R. §§ 910.352. In addition, cost share must be verifiable upon submission of the full application. Cost share may be provided in the form of cash or cash equivalents, or in-kind contributions. Cost share must come from non-federal sources (unless otherwise allowed by law), such as project participants, state or local governments, or other third-party financing. DOE Loan Guarantees cannot be leveraged by applicants to provide the required cost share or otherwise support the same scope that is proposed under a project.

Cost share may be provided by the recipient, subrecipients, or third parties (entities that do not have a role in performing the scope of work). Vendors/contractors may not provide cost share. Any partial donation of goods or services is considered a discount and is not allowable.

Cash contributions include but are not limited to personnel costs, fringe costs, supply and equipment costs, indirect costs, and other direct costs.

In-kind contributions are those where a value of the contribution can be readily determined, verified, and justified but where no actual cash is transacted in securing the good or service comprising the contribution. Allowable in-kind contributions include but are not limited to the donation of volunteer time or the donation of space or use of equipment.

Project teams may use funding or property received from state or local governments to meet the cost share requirement, so long as the federal government did not provide the funding to the state or local government.

Funding or property received from state or local governments may be used to meet the cost share requirement, so long as the federal government did not provide the funding to the state or local government.

Cost share contributions must be specified in the project budget, verifiable from the recipient’s records, and necessary and reasonable for proper and efficient accomplishment of the project. As all sources of cost share are considered part of total project cost, DOE will review the cost share dollars according to the same federal regulations as federal dollars to the project. Every cost share contribution must be reviewed and approved in advance by the Grants Officer and incorporated into the project budget before the expenditures are incurred.

Unallowable Cost Share Sources The recipient and subrecipient(s) may not use the following sources to meet cost share obligations:

· Cost share derived from federal sources (unless otherwise authorized by law).

· Cost share that does not meet:

· Requirements set forth in 2 C.F.R. §§ 200.306 and 910.130;

· Cost principles set forth in 2 C.F.R. §§ 200.400-476 and 2 C.F.R. §§ 910.352;

· For State Energy Programs, refer to 10 C.F.R. §§ 420.

· Cost share derived from the DOE loan program.

· 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 (e.g., federal grants, equipment owned by the federal government);

· Expenditures that were reimbursed under a separate federal program.

· Cash or in-kind contributions used to meet cost share requirements for another federal project or program;

· Existing data as an in-kind contribution (e.g., data owned by an entity, that is not routinely sold commercially but is instead donated to the project and assigned a value);

· In general, deferred or avoided costs such as unrealized tax credits; or

· If applicable, other items as identified by DOE Programs and as specified in the applicable NOFO Part 1, Eligibility—Cost Sharing.

Cost share contributions must be specified in the project budget, verifiable from the recipient’s records, and necessary and reasonable for proper and efficient accomplishment of the project. As all sources of cost share are considered part of total project cost, the cost share dollars will be scrutinized under the same federal regulations as federal dollars to the project. Every cost share contribution must be reviewed and approved in advance by the Grants Officer and incorporated into the project budget before the expenditures are incurred.

Cost Share Contributions by FFRDCs Because FFRDCs are funded by the federal government, costs incurred by FFRDCs generally may not be used to meet the cost share requirement. FFRDCs may contribute cost share only if the contributions are paid directly from the contractor’s Management Fee or another non-federal source.

Cost Share Verification Applicants are required to provide written assurance of their proposed cost share contributions in their applications. If selected for award negotiations, applicants are required to provide additional information and documentation regarding their cost share contributions. Please refer to the NOFO Part 1, Eligibility—Cost Sharing for specific requirements.

Cost Share Calculation Examples Cost sharing is calculated as a percentage of the Total Project Cost. FFRDC costs must be included in Total Project Costs.

Example 1, Standard Cost Share Calculation The following is an example of how to calculate cost sharing amounts for a project with $1 million in federal funds with a minimum 20% non-federal cost sharing requirement:

· Formula: Federal share ($) divided by federal share (%) = Total Project Cost Example: $1,000,000 divided by 80% = $1,250,000

· Formula: Total Project Cost ($) minus federal share ($) = Non-federal share ($) Example: $1,250,000 minus $1,000,000 = $250,000

· Formula: Non-federal share ($) divided by Total Project Cost ($) = Non-federal share (%) Example: $250,000 divided by $1,250,000 = 20%

Example 2, Blended Cost Share Calculation The following example shows the math for calculating required cost share for a project with $2 million in federal funds, with four tasks requiring different non-federal cost share percentages:

Federal share ($) divided by federal share (%) = Task Cost

Each task must be calculated individually as follows:

Task 1

· $1,000,000 divided by 80% = $1,250,000 (Task 1 Cost)

· Task 1 Cost minus federal share = non-federal share

· $1,250,000 - $1,000,000 = $250,000 (non-federal share)

Task 2

· $500,000 divided 80% = $625,000 (Task 2 Cost)

· Task 2 Cost minus federal share = non-federal share

· $625,000 - $500,000 = $125,000 (non-federal share)

Task 3

· $400,000 / 50% = $800,000 (Task 3 Cost)

· Task 3 Cost minus federal share = non-federal share

· $800,000 - $400,000 = $400,000 (non-federal share)

Task 4

· Federal share = $100,000

· Non-federal cost share is not mandated for outreach = $0 (non-federal share)

The calculation may then be completed as follows:

$775,000

$2,775,000

Blended Cost Share %

· Non-federal share ($775,000) divided by Total Project Cost ($2,775,000) = 27.9% (non-federal)

· Federal share ($2,000,000) divided by Total Project Cost ($2,775,000) = 72.1% (federal)

B. Other Eligibility Information Refer to NOFO Part 1, Eligibility—Eligible Applicants for NOFO-specific eligibility information. The information below is standard for DOE NOFOs.

1. Questions Regarding Eligibility DOE will not make eligibility determinations for potential applicants prior to the date on which applications to the NOFO Part 1 must be submitted. The decision to apply in response to the NOFO Part 1 lies solely with the applicant.

Entity of Concern Prohibition Prohibition DOE is prohibited by law from funding any grant, contract, cooperative agreement, or loan of $10 million or more in DOE funds to Entities of Concern. In addition, such entities (including an individual that owns or controls, is owned or controlled by, or is under common ownership or control with an Entity of Concern) are prohibited from receiving any funds or performing work under any award involving Department activities authorized under Division A or B of Public Law 117-167, subject to certain penalties. See section 10114 of Public Law 117-167 (42 USC 18912) and section 310 of Public Law 118-42 and other applicable law for additional information.

By submitting an application to this NOFO, the applicant is certifying that neither the applicant nor any of the project participants qualify as Entities of Concern.

Definitions Entity of Concern is defined as in section 10114 of Public Law 117-167 (42 USC 18912), also known as the CHIPS and Science Act, as any entity, including a national, that is—

(A) identified under section 1237(b) of the Strom Thurmond National Defense Authorization Act for Fiscal Year 1999 (50 U.S.C. 1701 note; Public Law 105–261);

(B) identified under section 1260H of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021 (10 U.S.C. 113 note; Public Law 116– 283);

(C) on the Entity List maintained by the Bureau of Industry and Security of the Department of Commerce and set forth in Supplement No. 4 to part 744 of title 15, Code of Federal Regulations;

(D) included in the list required by section 9(b)(3) of the Uyghur Human Rights Policy Act of 2020 (Public Law 116–145; 134 Stat. 656); or

(E) identified by the Secretary, in coordination with the Director of the Office of Intelligence and Counterintelligence and the applicable office that would provide, or is providing, covered support, as posing an unmanageable threat—

(i) to the national security of the United States; or

(ii) of theft or loss of United States intellectual property.

Artificial Intelligence (AI) Application Use Any use of artificial intelligence in the creation of any part of an application for this NOFO must be appropriately attributed. Even with the use of artificial intelligence, each applicant is responsible for and is representing to the U.S. Government that the information in its application documents is accurate, that the applicant is fully capable of performing the work described in the application, and that the submission of the application does not and will not infringe or violate any rights of any third party or entity.

Section II. Eligibility

III. Program Description

Refer to NOFO Part 1, Program Description for all information related to the specific NOFO goals, objectives, and topic areas, if any.

A. Informational Webinar Refer to the NOFO Part 1, Basic Information—Key Dates to determine if DOE plans to conduct an informational webinar while the NOFO is open.

If applicable, DOE will conduct an informational webinar during the NOFO process. It will be held after the initial NOFO release but before the due date for concept papers or the application if concept papers are not required.

Attendance is not mandatory and will not positively or negatively impact the overall review of any applicant submissions. The webinar will be open to all potential applicants who wish to participate. Applicants should refrain from asking questions or communicating information that would reveal confidential and/or proprietary information specific to their project.

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Section III. Program Description

IV. Application Content and Form

This section contains supplemental information to help applicants understand the application content and form requirements outlined in the NOFO including detailed information on the content and naming conventions of the application content. Please refer to the NOFO Part 1, Application Content and Form section for the application contents and form specific to your application.

Note that some of the required application elements below have separate requirements for Research and Development (R&D) versus non-R&D NOFOs. Refer to the NOFO Part 1, Application Content Requirements section for specific instructions.

A. Application Format Summary All submissions must conform to the form and content requirements described below. Refer to the NOFO Part 1, Application Content and Form for the page limits.

Format Requirements

Each submission 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.

The following information is intended to address Grants.gov issues typically encountered during the application process. Refer to NOFO Part 1, Submission Requirements and Deadlines—Application Package for the Grants.gov site location and support for technical assistance information.

Additional Grants.gov Information

DOE will not accept late submissions that resulted from technical difficulties due to uploading files that exceed 10MB.

B. Application Content Requirements The NOFO Part 1, Application Content Requirements identifies which of the following application documents are required including the program-specific requirements such as the technical volume and specified page limits. Each application must be limited to a single concept and must not exceed the stated page limits.

1. Application for Federal Assistance (SF-424) Applicants must complete the SF-424: Application for Federal Assistance first to populate data in other forms. Complete all required fields in accordance with the instructions on the form. The list of certifications and assurances is available on Financial Assistance Forms and Information For Applicants and Recipients | Department of Energy.

Please ensure that the dates (Block 17) and dollar amounts (Block 18) on the SF-424 are for the complete project period and not just the first project year, first phase, or another subset of the project period.

Letters of Commitment Submit letters of commitment from all subrecipients. In addition, submit letters of commitment from all third-party cost share providers. If applicable, the letter must state that the third party is committed to providing a specific minimum dollar amount or value of in-kind contributions allocated to cost sharing. Letters of support or endorsement for the project from entities that do not have a substantive role in the project will not be accepted. The following information for each third party contributing to cost sharing should be identified:

Letters of Commitment Content

Each letter must not exceed one page. Save the information in a single PDF file named “LOC” and click on “Add Optional Other Attachment” to attach.

Impacted Indian Tribes Documentation For any application that potentially impacts Indian Tribes or is on Tribal land[footnoteRef:2] including when the potentially impacted Indian Tribe is the applicant, applicants are required to submit additional documentation at the time of application, and possibly during negotiation and prior to award. For any project that potentially impacts Indian Tribes, applicants are required to submit documentation demonstrating that an authorized representative of each potentially impacted Indian Tribe is, at a minimum, aware of the nature of the application and its potential impacts to the relevant Indian Tribes. The notified authorized representative[footnoteRef:3] must be holding their position while the award is open for applications, and documentation must demonstrate affirmative awareness of the application (e.g. a delivery record from certified mail, a reply by the authorized representative). [2: Tribal land is as defined in 25 U.S.C. §§ 3501(2), (3), (4)(A) and (13). ] [3: An authorized representative must be an elected official or designated leader according to the traditions, constitution, or charter of the Indian Tribe, or someone with relevant delegated authority within the Tribal government. Examples include: Chief, Chairman, Chairwoman, Governor, Nation Representative, President, Chief Executive Officer, Chief Financial Officer, Speaker of the Council, Speaker of the Congress, Tribal administrator.]

For any project intended to be sited on Tribal land(s) or intersecting with Tribal subsurface rights, applicants are required to submit documentation demonstrating support from the relevant Indian Tribes at the time of application. Documentation of support submitted at the time of application will also be considered.

Helpful Resources

Applicants are encouraged to reference or include any applicable community benefits agreements in the Tribal support documentation, and to integrate any Tribal support documentation in the community benefits plan as appropriate, For projects not intended to be sited on Tribal land(s) or intersecting with Tribal subsurface rights, but that may have other potential impacts on Tribal resources or reserved rights, letters of support or resolutions of support are strongly encouraged and, depending on the nature of the impact, may be required if selected for negotiation of an agreement. Applicants are encouraged to reach out to Indian Tribes as early as possible in the application process to give Indian Tribes ample time to evaluate and respond.

The following resources may be useful to help determine if a project may impact an Indian Tribe(s) resources or reserved rights and the appropriate contacts. These resources are not exhaustive, and many Indian Tribes have resources or reserved rights which extend beyond their Tribal lands, or are covered within treaties, statutes, or case-law. Applicants are encouraged to do additional research:

Helpful Resources

To help determine if an Indian Tribe’s resources or reserved rights may be impacted by the project, applicants must address the following elements, as applicable to the application. If the applicant is an Indian Tribe, these elements should be addressed to ascertain impacts to Indian Tribes other than the applicant. Applicants do not need to reveal specific details about sacred sites such as specific location or specific ceremonies:

Indian Tribe Resource or Reserved Rights Impact Assessment

Applicants are required to document any efforts taken to identify any potential impacts to Indian Tribes, Indian lands, Alaska Native regional and village land, traditional homelands, Tribal rights, or Tribal historic sites, or sacred sites. This includes any correspondence with Indian Tribes. These documents should be available on request to DOE. An applicant’s failure to submit documentation of an Indian Tribe’s awareness, or a letter of support, when required as described above, may constitute grounds for determining an application ineligible, non-responsive to the NOFO, not subject to further review, and/or not otherwise subject to selection or award.

Any application that may potentially impact Indian Tribe(s) may be shared with the potentially impacted Indian Tribe(s). Applicants should include a Notice of Restriction on Disclosure and Use of Data identifying any business sensitive, trade secrets, proprietary, or otherwise confidential information.

Such information shall be used or disclosed only for evaluation of the application or to determine whether the proposed project affects an Indian Tribe(s). If an applicant determines an Indian Tribe(s) will be impacted, the applicant must provide information on the project location, potential impacts and how the applicant will engage with Indian Tribe(s), during the period of performance of the agreement, and, if necessary, after the end of the agreement. If the applicant proposes any activities that could impact Tribal resources or reserved rights, including but not limited to lands, cultural sites, sacred sites, water rights, mineral rights, fishing rights, and hunting rights, they must notify DOE as outlined below in the application submission requirements. DOE will determine if formal government-to-government consultation is needed, and DOE will conduct that consultation accordingly, in addition to any engagement by applicant.

Save the information in a single PDF file named “ImpactedTribes” and click on “Add Optional Other Attachment” to attach.

Statement of Project Objectives (SOPO) Refer to the NOFO Part 1, Technical Volume for specific requirements. If required, applicants must submit a SOPO. The SOPO template is available as an attachment to this NOFO in FedConnect, which is provided for the administrative convenience of the applicant. Applicants are strongly encouraged to use the template to complete their SOPO. If the template is not used, the SOPO must address all the elements described in NOFO Part 1, Technical Volume, and as outlined in the template.

Project Management Plan Refer to the NOFO Part 1, Technical Volume for specific requirements. If required, applicants must submit a PMP. The PMP template is available as an attachment to this NOFO in FedConnect, which is provided for the administrative convenience of the applicant. Applicants are strongly encouraged to use the template to complete their PMP. If the template is not used, the PMP must address all of the elements described in NOFO Part 1, Technical Volume, and as outlined in the template.

Save the information in a single Microsoft Word file named “SOPO” and click on “Add Optional Other Attachment” to attach.

Budget Information-Non-Construction Programs (SF-424A) If applicants elect to use the budget justification workbook, provided as an attachment to this NOFO in FedConnect, they do not need to submit a separate SF-424A. Applicants must provide a separate budget for each year of support requested and a cumulative budget for the total project period of performance. Use the SF-424A Excel, "Budget Information - Non-Construction Programs" form on the DOE Financial Assistance Forms Page at Financial Assistance Forms and Information For Applicants and Recipients | Department of Energy.

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 standard Funding Restrictions described below or any program-specific restrictions in the NOFO Part 1, Application Content and Form—Funding Restrictions.

Save the information in a single Microsoft Excel file named “SF-424A” and click on “Add Optional Other Attachment” to attach.

Budget Justification Workbook Please refer to the Budget Justification Workbook template, provided as an attachment to this NOFO in FedConnect. Applicants are strongly encouraged to use the suggested template. If applicants choose not use the suggested template, you must also submit an SF-424A Budget Information form (available on grants.gov) and include a breakdown of all costs by Budget Category as outlined in the SF-424A and the Budget Justification suggested template, including all work to be performed by the recipient and its subrecipients and contractors.

In addition to project-specific costs, applicants should include costs associated with the following activities, as applicable:

· Oversight;

· Required annual audits and incurred cost proposals (such costs may be reimbursed as a direct or indirect cost).

· Implementing award-specific requirements such as Buy America requirements, Davis-Bacon Act requirements, and Community Benefits Plans;

· Reporting;

· Construction signage; and

The “Instructions and Summary” and “SF-424A” tabs included with the Budget Justification Workbook will auto-populate as the applicant enters information into the Workbook. Applicants must carefully read the “Instructions and Summary” tab provided within the Budget Justification Workbook.

Save the information in a single Microsoft Excel file named “Budget_Justification” and click on “Add Optional Other Attachment” to attach.

Subrecipient Budget Justification Applicants must provide a separate budget justification for each subrecipient that is expected to perform work estimated to be more than $500,000 or 25% of the total work effort, whichever is less. The budget justification must include the same justification information described in the Budget Justification Workbook section above.

Save the information in a single Microsoft Excel file named “Subrecipient_Budget_Justification” and click on “Add Optional Other Attachment” to attach.

Work Proposal for DOE FFRDC If a DOE FFRDC is to perform a portion of the work, the applicant must provide a DOE work proposal (WP) in accordance with the requirements in DOE Order 412.1A, Work Authorization System, available at: https://www.directives.doe.gov/directives-documents/400-series/0412.1-Border-a-chg1-AdmChg.

Save the information in a single file named “WP” and click on “Add Optional Other Attachment” to attach.

Authorization for Non-DOE or DOE FFRDCs (if applicable) If an FFRDC is to perform a portion of the work, the federal agency sponsoring the FFRDC must authorize in writing the use of the FFRDC on the proposed project. This authorization must be submitted with the application. The use of a FFRDC must be consistent with the contractor’s authority under its award.

Save the information in a single PDF file named “FFRDCAuth” and click on “Add Optional Other Attachment” to attach.

Waiver for Foreign Entity Participation All recipients receiving funding under the applicable NOFO Part 1 must be incorporated (or otherwise formed) under the laws of a state or territory of the United States and have a physical location for business operations in the United States. To request a waiver of this requirement, an applicant must submit an explicit waiver request in the application.

Waiver Criteria Foreign entities seeking to participate in a project funded under this NOFO must demonstrate to the satisfaction of DOE that:

1. Its participation is in the best interest of the United States industry and United States economic development;

2. The project team has appropriate measures in place to control sensitive information and protect against unauthorized transfer of scientific and technical information;

3. Adequate protocols exist between the United States subsidiary and its foreign parent organization to comply with export control laws and any obligations to protect proprietary information from the foreign parent organization;

4. The work is conducted within the United States, and the entity acknowledges and demonstrates that it has the intent and ability to comply with the U.S. Competitiveness Provision (see Post-Award Requirements--U.S. Manufacturing Commitments below); and

5. The foreign entity will satisfy other conditions that DOE may deem necessary to protect U.S. government interests.

Content for Waiver Request A Foreign Entity waiver request must include all of the following:

1. Information about the entity(ies) involved in the proposed work to be conducted outside the United States (i.e., the entity seeking a waiver and the entity(ies) that will conduct the work): name, point of contact, and proposed type of involvement in the project;

2. Country of incorporation, the extent of the ownership/level control by foreign entities, whether the entity is state owned or controlled, a summary of the ownership breakdown of the foreign entity, and the percentage of ownership/control by foreign entities, foreign shareholders, foreign state, or foreign individuals;

3. The rationale for proposing a foreign entity participate (must address criteria above);

4. A description of the project’s anticipated contributions to the United States economy;

a. How the project will benefit United States R&D and manufacturing, including contributions to employment in the United States and growth in new markets and jobs in the United States;

b. How the project will promote domestic American manufacturing of products and/or services;

5. A description of how the foreign entity’s participation is essential to the project;

6. A description of the likelihood of IP being created from the work and the treatment of any such IP; and

7. Countries where the work will be performed. (Note: If any work is proposed to be conducted outside the United States, the applicant must also complete a separate request foreign work waiver.)

DOE may also require:

1. A risk assessment with respect to IP and data protection protocols that includes the export control risk based on the data protection protocols, the technology being developed, and the foreign entity and country. These submissions could be prepared by the project lead (if not the recipient), but the recipient must make a representation to DOE as to whether it believes the data protection protocols are adequate and make a representation of the risk assessment – high, medium, or low risk of data leakage to a foreign entity.

2. Additional language be added to any agreement or subagreement to protect IP, mitigate risk, or other related purposes.

DOE may require additional information before considering the waiver request. DOE’s decision concerning a waiver request is not appealable.

Save the information in a single PDF file named “FEW” and click on “Add Optional Other Attachment” to attach.

Performance of Work in the United States (Foreign Work Waiver) All work for the projects selected must be performed in the United States. To request a waiver of this requirement, the applicant must submit an explicit waiver request in the application. A separate waiver request must be submitted for each entity proposing performance of work outside of the United States.

Overall, a waiver request must demonstrate to the satisfaction of DOE that it would further the purposes of this NOFO and is otherwise in the economic interests of the United States to perform work outside of the United States. A request for a foreign work waiver must include the following:

1. The rationale for performing the work outside the United States (“foreign work”);

2. A description of the work proposed to be performed outside the United States;

3. An explanation as to how the foreign work is essential to the project;

4. A description of the anticipated benefits to be realized by the proposed foreign work and the anticipated contributions to the U.S. economy;

5. The associated benefits to be realized and the contribution to the project from the foreign work;

6. How the foreign work will benefit the United States, including manufacturing, contributions to employment in the United States and growth in new markets and jobs in the United States;

7. How the foreign work will promote manufacturing of products and/or services in the United States;

8. A description of the likelihood of IP being created from the foreign work and the treatment of any such IP;

9. The total estimated cost (DOE and recipient cost share) of the proposed foreign work;

10. The countries in which the foreign work is proposed to be…