Financial Assistance Notice of Funding Opportunity

Part 2

The NOFO Part 2 is a companion document to the NOFO Part 1. The NOFO Part 1 describes DOE’s program goals and evaluation criteria, eligibility, and other components 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. You should review both the NOFO Part 1 and the NOFO Part 2 before applying.

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Notice of Funding Opportunity Part 2

Table of Contents

I. Basic Information II. Eligibility

A. Cost Sharing

1. Legal Responsibility

2. Cost-Share Allocation

3. Cost Share Types and Allowability

4. Cost Share Contributions by FFRDCs

5. Cost Share Verification

6. Cost Share Calculation Examples

B. Other Eligibility Information

1. Questions Regarding Eligibility

2. Entity of Concern Prohibition

3. Notice Regarding Eligible/Ineligible Activities

III. Program Description A. Informational Webinar B. Statement of Substantial Involvement

IV. Application Content and Form A. Use and Disclosure of Application Information B. Application Format Summary C. Application Content Requirements

1. How to Distinguish Between a New and Renewal Application

2. How Federally Affiliated Organizations May Participate and Be Funded

3. How Federally Affiliated Organizations May Apply

4. How Consortia May be Used

5. How to Submit Letters of Intent

6. How to Submit a Pre-Application

7. How to Register and Submit an Application in Grants.gov

8. How to Prepare an Application

9. How to Prepare a Biographical Sketch

10. How to Prepare a List of Individuals Who Should Not Serve as Reviewers

11. How to Prepare Current and Pending Support

12. How to Prepare a Data Management and Sharing Plan

13. How to Prepare a Research and Related Budget and Justification

D. Additional Requirements

1. Allowable Costs

2. Pre-Award Costs

3. Equipment and Supplies

4. Prohibition on Using Funds for Activities Related to Federal Acquisition Security Council

(FASC)-Prohibited Unmanned Aircraft Systems

5. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment .. 35

6. Prohibition on Discrimination and Harassment

7. Prohibition on Lobbying Activity

V. Submission Requirements and Deadlines A. Required Registrations

1. Unique Entity Identifier (UEI) and System for Award Management (SAM)

2. How to Register in PAMS

3. How to View Applications in PAMS

4. How to Register in Other Systems Before Submitting an Application

VI. Application Review Information A. Standard Evaluation and Selection Processes

1. Overview

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2. Recipient Responsibility and Qualifications

3. Due Diligence Review for Research, Technology, and Economic Security

4. Evaluation and Administration by Non-Federal Personnel

5. Selection

VII. Selection and Award Notices A. Selection Notices

1. Ineligible Submissions

2. Applicants Selected for Award Negotiations

3. Alternate Selections

4. Applicants Not Selected for Award Negotiations

B. Post-Selection Information Requests

1. Example Information Requests

2. Entity Risk Assessment

3. Environmental Review Under the National Environmental Policy Act (NEPA)

4. Trafficking in Persons

5. Interim Conflict of Interest Policy for Financial Assistance

6. Prohibition Related to Malign Foreign Talent Recruitment Programs

C. Award Notices

1. Register with FedConnect

VIII. Award Administration Information A. Post-Award Requirements and Administration

1. Real Property and Equipment Continued Use

2. Cost Share Payment

IX. Other Information A. Government Right to Reject or Negotiate B. Commitment of Public Funds C. Notice of Right to Conduct a Review of Financial Capability D. Requirement for Full and Complete Disclosure E. Retention of Submissions F. Intellectual Property (IP) Provisions G. Title to Subject Inventions H. Government Rights in Subject Inventions I. U.S. Manufacturing Commitments J. Subject Invention Utilization Reporting K. Copyright L. Personally Identifiable Information (PII) M. Annual Independent Audits N. Buy America Preference for Infrastructure Projects O. Conference Spending (February 2015) P. Corporate Felony Conviction and Federal Tax Liability Representations (March 2014) Q. Covered Individual Definition, Designation, and Responsibility R. Digital Persistent Identifier (PID) S. Environmental, Safety and Health (ES&H) Performance of Work at DOE Facilities T. Federal, State, and Local Requirements U. Foreign Travel V. Framework for Nucleic Acid Synthesis Screening Requirement W. Logos and Wordmarks X. Modifications Y. Nondisclosure and Confidentiality Agreements Representations (June 2015) Z. Publications AA. Research Misconduct BB. Research Security Training Requirement

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CC. Statement of Federal Stewardship

DD. Subaward and Executive Reporting EE. Acronyms FF. Checklist for Avoiding Common Errors

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Notice of Funding Opportunity, Part 2

I. Basic Information

Refer to the NOFO Part 1, Basic Information, for Key Facts, Executive Summary, and

Agency Contact Information.

II. Eligibility

NOFO Part 1, Eligibility, provides the eligibility criteria specific to your application.

This section includes additional information to help you understand the standard eligibility requirements across all DOE NOFOs.

A. Cost Sharing

This section contains additional information to help you understand Federal cost sharing requirements. NOFO Part 1, Eligibility—Cost Sharing, provides the cost-sharing criteria specific to your application.

1. 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 before the end of the project period, the recipient must 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 obligations assumed by project team members in subawards or related agreements.

2. 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.

3. Cost Share Types and Allowability

Cost share must meet requirements set forth in 2 C.F.R. §§ 200.306 and 910.130 and the 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 when the application is submitted

• Be cash, cash equivalents, or in-kind contributions https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/section-200.306 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-B/section-910.130 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-E/subject-group-ECFR1f52baf5ea70fff/section-200.400 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-D/section-910.352

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• Come from nonfederal sources (unless otherwise allowed by law), such as project participants, state or local governments, or other third-party financing

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). 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 the value of the contribution can be readily determined, verified, and justified but no actual cash is transacted to secure the good or service that makes up the contribution. For allowable types of cost share, refer to 2 C.F.R. § 910.130 for for-profit entities or 2 C.F.R. § 200.306 for all other entity types.

Project teams may use funding or property received from state or local governments to meet the cost share requirement as 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

• Necessary and reasonable for proper and efficient accomplishment of the project

Because all sources of cost share are part of total project cost, DOE will review the cost share dollars according to the same Federal regulations as Federal dollars to the project. The DOE Grants Officer must review and approve every cost share contribution and incorporate them into the project budget before the expenditures are incurred.

4. Cost Share Contributions by FFRDCs

Because federally funded research and development centers (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 nonfederal source.

5. Cost Share Verification

You must provide written assurance of your proposed cost share contribution in your application. If selected for award negotiations, you must provide additional information and documentation on your cost share contributions. NOFO Part 1, Eligibility—Cost Sharing, provides specific requirements.

6. Cost Share Calculation Examples

Cost sharing is calculated as a percentage of the total project cost. If applicable, FFRDC costs must be included in total project costs. Cost share calculation should not go beyond 2 decimals (e.g., 79.25 - not 79.24875).

Example 1. Standard Cost Share Calculation

A project with $1 million in federal funds with a minimum 20% nonfederal cost sharing requirement:

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• Formula: Federal share ($) divided by Federal share (%) = total project cost

• Example: $1,000,000 divided by 80% = $1,250,000

• Formula: total project cost ($) minus Federal share ($) = nonfederal share ($)

• Example: $1,250,000 minus $1,000,000 = $250,000

• Formula: nonfederal share ($) divided by total project cost ($) = nonfederal share (%)

• Example: $250,000 divided by $1,250,000 = 20%

Example 2. Blended Cost Share Calculation

A project with $2 million in Federal funds with four tasks requiring different nonfederal cost share percentages:

Task Proposed Federal Share

Federal Share % Recipient Share %

Task 1 (R&D) $1,000,000 80% 20% Task 2 (R&D) $500,000 80% 20% Task 3 (Demonstration) $400,000 50% 50% Task 4 (Outreach) $100,000 100% 0%

Federal share ($) divided by Federal share (%) = task cost Each task must be calculated individually:

Task 1

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

• Task 1 cost minus Federal share = nonfederal share

• $1,250,000 - $1,000,000 = $250,000 (nonfederal share)

Task 2

• $500,000 divided by 80% = $625,000 (Task 2 cost)

• Task 2 cost minus Federal share = nonfederal share

• $625,000 - $500,000 = $125,000 (nonfederal share)

Task 3

• $400,000 divided by 50% = $800,000 (Task 3 cost)

• Task 3 cost minus Federal share = nonfederal share

• $800,000 - $400,000 = $400,000 (nonfederal share)

Task 4

• Federal share = $100,000

• Nonfederal cost share is not required for outreach = $0 (nonfederal share)

Complete the calculation as follows.

Tasks $ Federal

Share % Federal

Share $ Nonfederal

Share % Nonfederal

Share Total Project

Cost Task 1 $1,000,000 80% $250,000 20% $1,250,000 Task 2 $500,000 80% $125,000 20% $625,000 Task 3 $400,000 50% $400,000 50% $800,000 Task 4 $100,000 100% $0 0% $100,000 Totals $2,000,000 $775,000 $2,775,000

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Blended cost-share percentage

• Nonfederal share ($775,000) divided by total project cost ($2,775,000) = 27.9%

(nonfederal)

• Federal share ($2,000,000) divided by total project cost ($2,775,000) = 72.1% (Federal)

B. Other Eligibility Information

NOFO Part 1, Eligibility—Eligible Applicants, provides NOFO-specific eligibility information. The following information is standard for all DOE NOFOs.

1. Questions Regarding Eligibility We will not determine eligibility before the application due date in NOFO Part 1, Key

Facts.

2. Entity of Concern Prohibition

Prohibition

No Entity of Concern (as defined in section 10114 of Public Law 117-167 [42 U.S.C 18912]) may receive any grant, contract, cooperative agreement, or loan of $10 million or more in Department of Energy funds, including funds made available by the Consolidated Appropriations Act, 2024 (Public Law 118-42).

In addition, for all awards involving Department activities authorized under Public Law 117-167, no Entity of Concern (including an individual that owns or controls, is owned or controlled by, or is under common ownership or control with an Entity of Concern) may receive DOE funds or perform work under any award, subject to certain penalties. (section 10114 of Public Law 117-167 [42 U.S.C 18912]) and Division D, Title III, section 310 of Division D of the Consolidated Appropriations Act of 2024 [Pub. L. No. 118-42]). By applying to this NOFO, you certify that neither the applicant nor any of the project participants qualify as Entities of Concern.

Definitions

Entity of Concern is (section 10114 of Public Law 117-167 [42 U.S.C. 18912], also known as the CHIPS and Science Act) “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 https://www.congress.gov/117/plaws/publ167/PLAW-117publ167.pdf#page=105 https://www.congress.gov/117/plaws/publ167/PLAW-117publ167.pdf#page=105 https://www.congress.gov/118/bills/hr4366/BILLS-118hr4366enr.pdf https://www.congress.gov/117/plaws/publ167/PLAW-117publ167.pdf#page=105 https://www.congress.gov/117/plaws/publ167/PLAW-117publ167.pdf#page=105 https://www.congress.gov/117/plaws/publ167/PLAW-117publ167.pdf#page=105 https://www.congress.gov/117/plaws/publ167/PLAW-117publ167.pdf#page=105 https://www.congress.gov/118/bills/hr4366/BILLS-118hr4366enr.pdf https://www.congress.gov/118/bills/hr4366/BILLS-118hr4366enr.pdf https://media.defense.gov/2025/Jan/07/2003625471/-1/-1/1/ENTITIES-IDENTIFIED-AS-CHINESE-MILITARY-COMPANIES-OPERATING-IN-THE-UNITED-STATES.PDF https://www.ecfr.gov/current/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/appendix-Supplement%20No.%204%20to%20Part%20744 https://www.ecfr.gov/current/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/appendix-Supplement%20No.%204%20to%20Part%20744

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• 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.”

3. Notice Regarding Eligible/Ineligible Activities

Eligible activities include those that describe and promote the understanding of scientific and technical aspects of specific energy technologies and exclude those that encourage or support political activities, such as collecting and disseminating information related to potential, planned, or pending legislation.

III. Program Description

NOFO Part 1, Program Description, provides all information (goals, objectives, and topic areas) related to the NOFO you are applying to.

A. Informational Webinar

NOFO Part 1, Basic Information—Key Dates, includes information on whether we will conduct an informational webinar while the NOFO is open.

For some NOFOs, we conduct an informational webinar during the NOFO process. We typically hold it after the initial NOFO release but before the due date for preliminary submissions 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 submissions. The webinar is open to all potential applicants who wish to participate. Please refrain from asking questions or communicating information that would reveal confidential or proprietary information about your project.

B. Statement of Substantial Involvement

If cooperative agreements will be made under this NOFO as indicated in Key Facts in

NOFO Part 1. DOE will include a statement of DOE’s substantial involvement in the work performed under the resulting awards. For cooperative agreements, we do not limit our involvement to the administrative requirements of the award. Instead, we have substantial involvement in directing and redirecting the technical aspects of the project. Our substantial involvement in resulting awards may include the statements below and additional program-specific statements:

• Sharing responsibility with the recipient for the management, control, direction, and project performance

• Intervening in the conduct or performance of work under this award for programmatic reasons, which includes interrupting or modifying the conduct or performance of project activities

• Redirecting or stopping funding based on our evaluation at the Go/No-Go decision points

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• Participating in major project decision-making processes

IV. Application Content and Form

This section contains supplemental information to help you understand the application content and form requirements outlined in the NOFO, including detailed information on the content and naming conventions of the application content. NOFO Part 1, Application Content and Form, provides the application contents and form specific to the NOFO you are applying to.

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

A. Use and Disclosure of Application Information

Applicants should not include trade secrets or business-sensitive, proprietary, or otherwise confidential information (Proprietary Information) in their application unless you need that information to explain the proposed project or to comply with a requirement in the NOFO.

All application information is subject to public release under the Freedom of Information Act (FOIA) except information that qualifies under a FOIA exemption. One of the exemptions is trade secrets or commercial or financial information that is confidential or privileged.

Accordingly, if you include Proprietary Information with your application, you must mark it with the Notice below and follow the marking requirements below to protect it from disclosure under FOIA or otherwise. Note that the protective markings alone do not automatically make the information exempt under FOIA but help the DOE’s designated FOIA Officer determine if the information qualifies for a FOIA exemption. You can find more information on how DOE process FOIA requests at 10 C.F.R. Part 1004.

Notice of Restriction on Use and Disclosure of Information:

Pages [list applicable pages] of this document may contain trade secrets or business-sensitive, proprietary, or otherwise confidential information that is exempt from public disclosure. Such information can be used or disclosed only for evaluation purposes or in accordance with a financial assistance agreement between the submitter and the Government, with the restriction that the information must be retained in confidence and not be further disclosed. The Government may use or disclose any information that is not appropriately marked or otherwise restricted, regardless of source. [End of Notice]

In addition:

• The header and footer of every page that contains Proprietary Information must say:

“CONTAINS TRADE SECRETS, BUSINESS-SENSITIVE, PROPRIETARY, OR

OTHERWISE CONFIDENTIAL INFORMATION EXEMPT FROM PUBLIC

DISCLOSURE”

• Every line or paragraph containing Proprietary Information must be clearly marked with double brackets or highlighting Properly marked Proprietary Information will be used or disclosed only for evaluation purposes. For example, DOE may disclose such information to determine whether to select the project for funding under this NOFO or other Government programs, or as otherwise authorized

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The Federal Government is not liable for disclosing or using unmarked information, and it may use or disclose unmarked information for any purpose.

B. Application Format Summary

All submissions must conform to the form and content requirements described below.

NOFO Part 1, Application Content and Form, provides the page limits.

Format Requirements

Parameter Requirement

File Format Portable Document Format (PDF) unless stated otherwise Language English Paper Size 8.5" x 11" Margins Not less than 1" (>= 1") on every side Font • Black font color

• Size 12-point or larger (except in figures or tables, which may be 10-point font).

• You can use a symbol font to insert Greek letters or special characters, but the font size requirement still applies.

References References:

• Must be footnotes or endnotes

• Must be font size of 10 or larger.

• Are counted toward the maximum page requirement

Page Count Limitations If you exceed the maximum page limit, we will review only the authorized number of pages and disregard any additional pages.

The specified maximum page limit includes the cover page, charts, graphs, maps, and photographs when printed using the formatting requirements set forth above and single spaced.

C. Application Content Requirements

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 page limits. Each application must be limited to a single concept and must not exceed the stated page limits. DOE reserves the right not to proceed with merit reviews of incomplete applications.

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1. How to Distinguish Between a New and Renewal Application

New Application: An application must be submitted as “new” in the following circumstances:

• When applying for funding to create a new research award that has not previously received

DOE funding, including any funding for the current year,

• When applying for funding to support continued research from the same applicant institution as the current grant but with a significant change in fundamental nature of the research, or

• When applying for funding to support continued research supported by an existing DOE award but at a new applicant institution.

Renewal Application: A renewal application is appropriate when funds are requested for an award from the same recipient/applicant institution that has no significant changes in the following items:

• The award’s senior leadership, and

• The fundamental nature of the award.

A change in an award’s PI does not necessarily require submission as a new application:

The change in personnel must be considered in light of other changes.

Renewal applications compete for funds with all other peer-reviewed applications and must be developed as fully as though the applicant were applying for the first time. Renewal applications must be submitted by the same sponsoring institution as that holding the current award for which renewal funding is requested, and the proposed research topic must be logical scientific extensions of the research that has been performed in the current award.

2. How Federally Affiliated Organizations May Participate and Be Funded

Value/Funding for DOE/NNSA National Laboratories and Non-DOE/NNSA FFRDCs

For grant awards, the value of, and funding for, a DOE/NNSA National Laboratory contractor, a non-DOE/NNSA Federally Funded Research and Development Center (FFRDC) contractor, or another Federal agency’s portion of the work will not be included in the award to the successful applicant. DOE will fund a DOE/NNSA National Laboratory contractor through the DOE field work authorization system or other appropriate process and may fund non- DOE/NNSA FFRDC contractors and other Federal agencies through an interagency agreement in accordance with the Economy Act, 31 U.S.C. § 1535, or other statutory authority.

Responsibility

The successful prime applicant/recipient (lead organization) 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 any team member, and/or subrecipient.

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If an award is made to a DOE/NNSA National Laboratory, all Disputes and Claims will be resolved in accordance with the terms and conditions of the DOE/NNSA National Laboratory’s management and operating (M&O) contract, as applicable, in consultation between DOE and the prime recipient.

If an award is made to another Federal agency or its FFRDC contractor, all Disputes and

Claims will be resolved in accordance with the terms and conditions of the interagency agreement in consultation between DOE and the prime recipient.

3. How Federally Affiliated Organizations May Apply

DOE SC National Laboratories

DOE Office of Science (SC) National Laboratories (Ames National Laboratory, Argonne

National Laboratory, Brookhaven National Laboratory, Fermi National Accelerator Laboratory, Lawrence Berkeley National Laboratory, Oak Ridge National Laboratory, Pacific Northwest National Laboratory, Princeton Plasma Physics Laboratory, SLAC National Accelerator Laboratory, Thomas Jefferson National Accelerator Facility)

DOE SC National Laboratories, if eligible either as a prime applicant or a proposed team member on another entity’s application, should ensure that their cognizant DOE Contracting Officer provides written authorization. This authorization does not need to be submitted with the application as part of the Budget Justification for DOE SC National Laboratory Contractor File.

However, this authorization must be provided prior to any award being made. [This is not required for the National Energy Technology Laboratory because it is a Government Owned/Government Operated (GOGO) Laboratory.] If a DOE SC National Laboratory Contractor is selected for award, or proposed as a team member, the proposed work will be authorized under the DOE field work authorization system or other appropriate process and performed under the laboratory Contractor’s M&O contract, as applicable. The authorization may be addressed “To Whom It May Concern:”. 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 and will not adversely impact execution of the DOE/NNSA assigned programs at the laboratory.”

(End of acceptable authorization)

If a DOE/NNSA FFRDC is selected for award negotiation, the proposed work will be authorized under the DOE work authorization process and performed under the laboratory’s Management and Operating (M&O) contract.

DOE Non-SC/NNSA National Laboratories

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DOE Non-SC/NNSA National Laboratories (Idaho National Laboratory, Lawrence Livermore National Laboratory, Los Alamos National Laboratory, National Laboratory of the Rockies, Sandia National Laboratories, and Savannah River National Laboratory)

DOE Non-SC/NNSA National Laboratories, if eligible either as a prime applicant or a proposed team member on another entity’s application, should consult with their site office or cognizant contracting officer about the preferred timing to submit written authorization. This authorization may be submitted with the application as part of the Budget Justification for DOE/NNSA National Laboratory Contractor File. [This is not required for the National Energy Technology Laboratory because it is a Government Owned/Government Operated (GOGO) Laboratory.] Please note that failure to provide this authorization may result in rejection of an application prior to merit review. If a DOE/NNSA National Laboratory Contractor is selected for award, or proposed as a team member, the proposed work will be authorized under the DOE field work authorization system or other appropriate process and performed under the laboratory Contractor’s M&O contract, as applicable. The authorization may be addressed “To Whom It May Concern:”. The following wording is acceptable for the authorization:

complementary to the missions of the laboratory and will not adversely impact execution of the DOE/NNSA assigned programs at the laboratory.”

(End of acceptable authorization)

If a DOE/NNSA FFRDC is selected for award negotiation, the proposed work will be authorized under the DOE work authorization process and performed under the laboratory’s Management and Operating (M&O) contract.

Non-DOE/NNSA FFRDCs

Non-DOE/NNSA FFRDCs, if eligible either as a prime applicant or a proposed team member on another entity’s application, should follow the following guidelines:

The prime applicant must obtain written authorization for non-DOE/NNSA FFRDC participation. The cognizant Contracting Officer for the Federal agency sponsoring the FFRDC contractor must authorize in writing the participation of the FFRDC contractor on the proposed project and this authorization should be submitted with the application. The written authorization must also contain a determination that the use of a FFRDC contractor is consistent with the contractor’s authority under its award and does not place the FFRDC contractor in direct competition with the private sector, in accordance with FAR Part 17.5. Please note that failure to provide this authorization may result in rejection of an application prior to merit review.

The authorization may be addressed “To Whom It May Concern:”. The following wording is acceptable for the authorization:

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(End of acceptable authorization)

Other Federal Agencies

Other Federal Agencies, if eligible either as a prime applicant or a proposed team member on another entity’s application, must include in their budget justifications any specific statutory authorization (other than the Economy Act) that permits their receipt of an interagency agreement or that authorizes the payment of certain costs.

4. How Consortia May be Used

Incorporated Consortia

Incorporated consortia are eligible to apply for funding as a prime recipient (lead organization) or subrecipient (team member).

Each incorporated consortium must have an internal governance structure and a written set of internal rules. Upon request, the consortium must provide a written description of its internal governance structure and its internal rules to the DOE Contracting Officer. There is no requirement that subawards be formalized into incorporated consortia.

Unincorporated Consortia

Unincorporated consortia (team arrangements) must designate one member of the consortium to serve as the prime recipient/consortium representative (lead organization). There is no requirement that subawards be formalized into unincorporated consortia.

Upon request, unincorporated consortia must provide the DOE Contracting Officer with a collaboration agreement, commonly referred to as the articles of collaboration, which sets out the rights and responsibilities of each consortium member. This agreement binds the individual consortium members together and should discuss, among other things, the consortium’s:

• Management structure;

• Method of making payments to consortium members;

• Means of ensuring and overseeing members’ efforts on the project;

• Provisions for members’ cost sharing contributions (though neither required nor considered);

and

• Provisions for ownership and rights in intellectual property developed previously or under the agreement.

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Note that a consortium is applied for in one application and results in one award with subawards to consortia members. Multi-institutional teams may, if permitted under this NOFO, submit collaborative applications with each institution submitting its own application with an identical Project Narrative, resulting in multiple awards to the collaborating institutions.

5. How to Submit Letters of Intent

Do not submit an LOI unless a NOFO requires or allows their submission.

It is important that the LOI be a single file with extension .pdf, .docx, or .doc. The filename must not exceed 50 characters. The PI and anyone submitting on behalf of the PI must register for an account in PAMS before it will be possible to submit a LOI. All PIs and those submitting LOIs on behalf of PIs are encouraged to establish PAMS accounts as soon as possible to avoid submission delays.

Submit Your Letter of Intent:

• Create your LOI outside the system and save it as a file with extension .docx, .doc, or .pdf.

Make a note of the location of the file on your computer so you can browse for it later from within PAMS.

• Log into PAMS and click the Proposals tab. Click the “View / Respond to Funding Opportunity Announcements” link and find the current announcement in the list. Click the “Actions/Views” link in the Options column next to this announcement to obtain a dropdown menu. Select “Submit Letter of Intent” from the dropdown.

• On the Submit Letter of Intent page, select the institution from which you are submitting this LOI from the Institution dropdown. If you are associated with only one institution in the system, there will only be one institution in the dropdown.

• Note that you must select one and only one PI per LOI; to do so, click the “Select PI” button on the far-right side of the screen. Find the appropriate PI from the list of all registered users from your institution returned by PAMS. (Hint: You may have to sort, filter, or search through the list if it has multiple pages.) Click the “Actions” link in the Options column next to the appropriate PI to obtain a dropdown menu. From the dropdown, choose “Select PI.”

• If the PI for whom you are submitting does not appear on the list, it means he or she has not yet registered in PAMS. For your convenience, you may have PAMS send an email invitation to the PI to register in PAMS. To do so, click the “Invite PI” link at the top left of the “Select PI” screen. You can enter an optional personal message to the PI in the “Comments” box, and it will be included in the email sent by PAMS to the PI. You must wait until the PI registers before you can submit the LOI. Save the LOI for later work by clicking the “Save” button at the bottom of the screen. It will be stored in “My Letters of Intent” for later editing.

• Enter a title for your LOI.

• Select the appropriate technical contact from the Program Manager dropdown.

• To upload the LOI file into PAMS, click the “Attach File” button at the far-right side of the screen. Click the “Browse” (or “Choose File” depending on your browser) button to search for your file. You may enter an optional description of the file you are attaching. Click the “Upload” button to upload the file.

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• At the bottom of the screen, click the “Submit to DOE” button to save and submit the LOI to

DOE.

• Upon submission, the PI will receive an email from the PAMS system <PAMS.Autoreply@science.doe.gov> acknowledging receipt of the LOI.

• If this NOFO requires that LOIs be submitted only by an authorized institutional official, the PI (or the PI’s delegate) will only be able to send the LOI to a user at the PI’s institution with the institutional “submit to DOE” privilege. That user will then apply an institutional countersignature to the LOI when it is sent to DOE.

You are encouraged to register for an account in PAMS at least a week in advance of the

LOI submission deadline so that there will be no delays with your submission.

WARNING: The PAMS website at https://pamspublic.science.energy.gov/ will permit you to revise a previously submitted LOI in the time between your submission and the deadline. Doing so will remove your previously submitted version from consideration. If you have not submitted the revision at the time of the deadline, you will not have a valid submission. Please pay attention to the deadline.

Do not attach pre-applications to Field 20 of the SF-424(R&R) form or letters of intent to

Field 21 of the SF-424(R&R) form. Doing so will render your application unreadable.

6. How to Submit a Pre-Application

Do not submit a pre-application unless a NOFO requires or permits their submission.

It is important that the pre-application be a single file with extension .pdf, .docx, or .doc.

The filename must not exceed 50 characters. The PI and anyone submitting on behalf of the PI must register for an account in PAMS before it will be possible to submit a pre-application. All PIs and those submitting pre-applications on behalf of PIs are encouraged to establish PAMS accounts as soon as possible to avoid submission delays.

Submit Your Pre-Application:

• Create your pre-application (called a preproposal in PAMS) outside the system and save it as a file with extension .docx, .doc, or .pdf. Make a note of the location of the file on your computer so you can browse for it later from within PAMS.

• Log into PAMS and click the Proposals tab. Click the “View / Respond to Funding Opportunity Announcements” link and find the current announcement in the list. Click the “Actions/Views” link in the Options column next to this announcement to obtain a dropdown menu. Select “Submit Preproposal” from the dropdown.

• On the Submit Preproposal page, select the institution from which you are submitting this preproposal from the Institution dropdown. If you are associated with only one institution in the system, there will only be one institution in the dropdown.

• Note that you must select one and only one PI per preproposal; to do so, click the “Select PI” button on the far-right side of the screen. Find the appropriate PI from the list of all registered users from your institution returned by PAMS. (Hint: You may have to sort, filter, or search through the list if it has multiple pages.) Click the “Actions” link in the Options mailto:PAMS.Autoreply@science.doe.gov https://pamspublic.science.energy.gov/

Version 4.1 Page 18 of 67 column next to the appropriate PI to obtain a dropdown menu. From the dropdown, choose “Select PI.”

• If the PI for whom you are submitting does not appear on the list, it means he or she has not yet registered in PAMS. For your convenience, you may have PAMS send an email invitation to the PI to register in PAMS. To do so, click the “Invite PI” link at the top left of the “Select PI” screen. You can enter an optional personal message to the PI in the “Comments” box, and it will be included in the email sent by PAMS to the PI. You must wait until the PI registers before you can submit the preproposal. Save the preproposal for later work by clicking the “Save” button at the bottom of the screen. It will be stored in “My Preproposals” for later editing.

• Enter a title for your preproposal.

• Select the appropriate technical contact from the Program Manager dropdown.

• To upload the preproposal file into PAMS, click the “Attach File” button at the far-right side of the screen. Click the “Browse” (or “Choose File” depending on your browser) button to search for your file. You may enter an optional description of the file you are attaching.

Click the “Upload” button to upload the file.

• At the bottom of the screen, click the “Submit to DOE” button to save and submit the preproposal to DOE.

• Upon submission, the PI will receive an email from the PAMS system <PAMS.Autoreply@science.doe.gov> acknowledging receipt of the preproposal.

• If this NOFO requires that pre-applications be submitted only by an authorized institutional official, the PI (or the PI’s delegate) will only be able to send the pre-application to a user at the PI’s institution with the institutional “submit to DOE” privilege. That user will then apply an institutional countersignature to the pre-application when it is sent to DOE.

You are encouraged to register for an account in PAMS at least a week in advance of the preproposal submission deadline so that there will be no delays with your submission.

WARNING: The PAMS website at https://pamspublic.science.energy.gov will permit you to revise a previously submitted pre-application in the time between your submission and the deadline. Doing so will remove your previously submitted version from consideration. If you have not submitted the revision at the time of the deadline, you will not have a valid submission. Please pay attention to the deadline.

Do not attach pre-applications to Field 20 of the SF-424(R&R) form or letters of intent to

Field 21 of the SF-424(R&R) form. Doing so will render your application unreadable.

7. How to Register and Submit an Application in Grants.gov

This section provides the application submission and receipt instructions for applications to SC. Please read the following instructions carefully and completely.

Electronic Delivery

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SC is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. SC requires applicants to submit their applications online through Grants.gov.

How to Register to Apply through Grants.gov

a. Instructions: Read the instructions below about registering to apply for SC funds.

Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

Organizations must have an active System for Award Management (SAM) registration which provides a Unique Entity Identifier (UEI), and Grants.gov account to apply for grants. If individual applicants (those submitting on their own behalf) are eligible to apply for this funding opportunity, they need only refer to steps 2 and 3 below.

Creating a Grants.gov account can be completed online in minutes, but SAM registration may take several weeks. Therefore, an organization’s registration should be done in sufficient time to ensure it does not impact the entity’s ability to meet required application submission deadlines.

1) Register with SAM: All organizations applying online through Grants.gov must register with SAM at https://www.sam.gov. Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually. For more detailed instructions for registering with SAM, refer to:

https://www.grants.gov/applicants/applicant-registration/

2) Create a Grants.gov Account: The next step is to register an account with

Grants.gov. Follow the on-screen instructions provided on the registration page.

3) Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all of your grant applications.

To add an organizational profile to your Grants.gov account, enter the UEI (Unique Entity Identifier) for the organization in the UEI field. If you are an individual applicant submitting on your own behalf, you do not need a UEI to add the profile. For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/applicants/applicant-registration/add-profile

4) EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant’s request for Grants.gov roles and access is sent to the Electronic Business Point of Contact (EBiz https://www.sam.gov/ https://www.grants.gov/applicants/applicant-registration/ https://www.grants.gov/applicants/applicant-registration/add-profile

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POC)1. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the Authorized Organization Representative (AOR) role, thereby giving you permission to complete and submit applications on behalf of the organization.

You will be able to submit your application online any time after you have been assigned the AOR role. For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/applicants/applicant-registration/ebiz-poc-authorizes-profile-roles

5) Track Role Status: To track your role request, refer to:

https://www.grants.gov/applicants/applicant-registration/track-profile-role-status

b. Electronic Signature: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize people who are able to make legally binding commitments on behalf of the organization as a user with the AOR role; this step is often missed, and it is crucial for valid and timely submissions.

How to apply to SC via Grants.gov

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different webforms within an application. For each NOFO, you can create individual instances of a workspace.

For an overview of applying on Grants.gov using Workspaces, refer to:

https://www.grants.gov/applicants/workspace-overview/

1) Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

2) Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission. The Workspace progress bar will display the state of your application process as you apply. As you apply using Workspace, you may click the blue question mark icon near the upper-right corner of each page to access context-sensitive help.

a. Adobe Reader: If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

1 Individuals with the EBiz POC role are commonly found in an Office of Sponsored Research or similar institutional business office. Other than small businesses, a PI would usually not have the EBiz POC role.

https://www.grants.gov/applicants/applicant-registration/ebiz-poc-authorizes-profile-roles https://www.grants.gov/applicants/applicant-registration/track-profile-role-status https://www.grants.gov/applicants/workspace-overview/

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NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at: https://www.grants.gov/applicants/adobe-software-compatibility

b. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

c. Complete SF-424 Fields First: These forms are designed to fill in common required fields across other forms, such as the applicant's name, address, and SAM UEI.

Once it is completed, the information will transfer to the other forms.

3) Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

4) Track a Workspace: After successfully submitting a workspace package, a Grants.gov

Tracking Number (GRANTXXXXXXXX) is automatically assigned to the package. The number will be listed on the Confirmation page that is generated after submission.

For additional training resources, including video tutorials, refer to:

https://www.grants.gov/applicants/applicant-training

Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number

1-800-518-4726 and email at support@Grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are…