Fuel Cycle Research and Development NOFO Part 2.pdf

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.

Notice of Funding Opportunity Part 2 Section II. Eligibility

Table of Contents

I. GET REGISTERED

A. SAM.gov Registration B. Unique Entity Identifier (UEI) C. Grants.gov Registration

II. ELIGIBILITY

A. Cost Sharing

1. Legal Responsibility

2. Cost Share Allocation

3. Cost Share Types and Allowability

4. Unallowable Cost Share Sources

5. Cost Share Contributions by FFRDCs

6. Cost Share Verification

7. Cost Share Calculation Examples

B. Other Eligibility Information

1. Questions Regarding Eligibility

2. Entity of Concern Prohibition

3. Artificial Intelligence (AI) Application Use

III. PROGRAM DESCRIPTION

A. Informational Webinar

IV. APPLICATION CONTENT AND FORM

A. Application Format Summary B. Application Content Requirements

1. Application for Federal Assistance (SF-424)

2. Letters of Commitment

3. Impacted Indian Tribes Documentation

4. Conflict of Interest Statement Certification

5. Statement of Project Objectives (SOPO)

6. Project Abstract

7. Project Management Plan

8. Research & Related Budget (Total Federal + Non-Federal)

9. Budget Justification

10. Subrecipient Budget Justification

11. Work Proposal (Budget) for DOE FFRDC

12. Authorization for Non-DOE or DOE FFRDCs (if applicable)

13. Benefits of Collaboration

14. Capabilities

15. Certifications and Assurances

16. SF 328 or Facility Clearance

17. Research and Related Other Project Information

18. Project Commitment to Energy Justice and Energy Equity

19. Resumes for Research and Related Senior/Key Person

20. Current and Pending Support

21. Digital Persistent Identifier (PID)

22. Research Security Training Requirement

23. Transparency of Foreign Connections

24. Data Management Plan

25. Project/Performance Site Location

26. Environmental Checklist

27. Certifications Regarding Lobbying Activities

D. Funding Restrictions

1. Allowable Costs

2. Pre-Award Costs

3. Foreign Travel

4. Lobbying

5. Equipment and Supplies

V. SUBMISSION REQUIREMENTS AND DEADLINES

VI. APPLICATION REVIEW INFORMATION

A. Standard Evaluation and Selection Processes A. Merit Review B. Program Policy Factors C. Selection D. Review of Risk E. Reporting of Matters Related to Recipient Integrity and Performance F. Government Discussions with Applicant G. Anticipated Notice of Selection and Award Dates

VII. SELECTION AND AWARD NOTICES

A. Selection Notices

1. Ineligible Submissions

2. Application Notifications

3. Applicants Selected for Award Negotiations

4. Alternate Selections

5. Applicants Not Selected for Award Negotiations

B. Post-Selection Information Requests

1. Example Information Requests

2. Entity Risk Assessment

3. Environmental Review in Accordance with National Environmental Policy Act (NEPA)

4. Flood Resilience

5. Trafficking in Persons

C. Award Notices

VIII. AWARD ADMINISTRATION INFORMATION

A. Post-Award Requirements and Administration

1. Award Administrative Requirements

2. Subaward and Executive Reporting

3. National Policy Requirements

4. Applicant Representations and Certifications

5. Statement of Federal Stewardship

6. Uniform Commercial Code (UCC) Financing Statements

7. Interim Conflict of Interest Policy for Financial Assistance

8. Whistleblower Protections

9. Fraud, Waste, and Abuse

10. Participants and Collaborating Organizations

11. Current and Pending Support

12. Prohibition Related to Malign Foreign Talent Recruitment Programs

13. Intellectual Property Provisions

14. Conference Spending

15. Invoice Review and Approval

16. Cost Share Payment

17. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty

18. Affirmative Action and Pay Transparency Requirements

B. Reporting

IX. OTHER INFORMATION

A. Modifications B. Proprietary Application Information C. No Cost Time Extensions D. Re-Budget Request E. Government Right to Reject or Negotiate F. Commitment of Public Funds G. Treatment of Application Information H. Notice Regarding Eligible/Ineligible Activities I. Notice of Right to Conduct a Review of Financial Capability J. Requirement for Full and Complete Disclosure K. Retention of Submissions L. Title to Subject Inventions M. Government Rights in Subject Inventions N. Copyright O. Export Control P. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment Q. Personally Identifiable Information (PII) R. Annual Independent Audits S. Acronyms

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, make sure your registration is active and up to date. All registrations are free.

See Step 3: Submit Your Application

A. 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 o 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)

B. 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.

o 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

C. Grants.gov Registration You must have an active Grants.gov registration to receive automatic updates when modifications to this NOFO are posted. 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.

• 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

Submitting applications in Grants.gov The application package is available at Grants.gov under NOFO number identified on the NOFO Cover Page. The Authorized Organizational Representative (AOR) must register at https://grants.gov and set up your WorkSpace. You cannot submit an application through Grants.gov unless you are registered.

https://sam.gov/content/home https://sam.gov/content/home https://sam.gov/content/help https://sam.gov/content/entity-registration https://www.fsd.gov/gsafsd_sp https://www.grants.gov/forms/forms-repository/sf-424-family https://www.grants.gov/applicants/grant-applications/how-to-apply-for%20-grants https://grants.gov/ https://apply07.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm https://grants.gov/

Please read the registration requirements carefully and start the process immediately.

For more detailed instructions about creating a profile on Grants.gov, refer to:

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

Note: The maximum file size that can be uploaded to the Grants.gov website is 10MB. Files in excess of 10MB cannot be uploaded, and hence cannot be submitted for review. If a file exceeds 10MB but is still within the maximum page limit specified in the NOFO, it must be broken into parts and denoted to that effect. For example:

Project Part 1 Project Part 2, etc.

No mailed applications will be accepted. DOE will only accept electronically submitted applications through Grants.gov. DOE will not accept late submissions that resulted from technical difficulties due to uploading files that exceed 10MB.

Electronic Authorization of Applications and Award Documents

Submission of applications and supplemental information under this NOFO through electronic systems used by the DOE, including Grants.gov, constitutes the authorized representative’s approval and electronic signature.

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.

II. Eligibility https://grants.gov/applicants/workspace-overview/

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.

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 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.

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 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 the 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.

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

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.

4. 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:

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

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

o 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.

5. 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.

6. 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.

7. 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:

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 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:

Tasks $ Federal Share

% Federal Share

$ Non-Federal Share

% Non-Federal 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

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.

2. 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 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.

3. 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 III. Program Description

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.

DOE will hold an in person or live webinar on TBD (date) to discuss the structure and execution of this NOFO. Applicants can watch and participate in the live webinars and submit questions, to be answered in real time through the GoToWebinar interface. Registration information and webinar presentations are available on TBD for review by applicants.

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 IV. Application Content and Form

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

Parameter Requirement

File Format The preferred file format is Adobe Portable Document Format (PDF) for all documents.

Language English

Paper Size 8.5" x 11"

Margins Not less than 1" (>= 1") on every side

Font Times New Roman typeface, a black font color, and a font size of 11-point or larger (except in figures or tables, which may be 10-point font). A symbol font may be used to insert Greek letters or special characters, but the font size requirement still applies.

References References must be included as footnotes or endnotes in a font size of 10 or larger. Footnotes and endnotes are counted toward the maximum page requirement.

Page Numbers Page numbers must be included in the footer of every page.

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.

Page Count Limitations Applicants must comply with all pertinent page limitations. Any text (including references and data tables) in a document that does not adhere to the requirements listed above (except graphics, graphs, charts, and equations) will be removed from the document and will not be reviewed. DOE reserves the right to dismiss applications that violate formatting requirements, including locking spreadsheet cells. Signature blocks must be signed by the designated official.

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 project narrative 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) Application forms and instructions are available at grants.gov. To access these materials, go to http://www.grants.gov, select “FORMS” and then select “R&R Family.” The approved OPM forms for submitting application packages are provided on this web page within the grants.gov website. The Standard Form 328 may be obtained from GSA.gov as well as other Federal websites. Applicants must complete the SF-424: Application for Federal Assistance. The list of certifications and assurances can also be found on the site noted above. Complete all required fields in accordance with the instructions on the form.

Please ensure that the dates (Block 12) and dollar amounts (Block 15) 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.

Name File: SF424RR

2. 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

Organization Name Phone, email, and address

Proposed Dollar Amount to be Provided

Value of the contribution

Cost Sharing Type Cash or In-Kind contribution (or both)

Each letter must not exceed one page.

Name File: Letter of Commitment

3. Impacted Indian Tribes Documentation For any application that potentially impacts Indian Tribes or is on Tribal land1 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 representative2 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).

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

Item Criteria

Letter of Support from Tribal Leadership

The letter must be signed by an authorized representative of the Indian Tribe. The signer(s) must be holding their position while the award is open for applications or negotiations.

Tribal Council Resolution, Board resolution (including the Board of Directors of an Alaska Native Corporation (ANC)), or similar act passed by the legislative body of the Tribal government or Board of Directors of an ANC

Must express support for the project.

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.

1 Tribal land is as defined in 25 U.S.C. §§ 3501(2), (3), (4)(A) and (13).

2 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.

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 Item Location

Map of Indian Lands https://bia-geospatial-internal.geoplatform.gov/indianlands/

Tribal Treaties Database https://treaties.okstate.edu/

Directory of federally recognized Tribes and Tribal leaders https://www.bia.gov/service/tribal-leaders-directory

Best Practices for Identifying and Protecting Tribal Treaty Rights, Reserved Rights, and other similar rights in federal regulatory actions https://www.bia.gov/sites/default/files/dup/inline-files/best_practices_guide.pdf

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

Type of Action Assessment Mitigation

If Research and Development (R&D)

Identify any [specific resources] which will be [quantified/modeled] on or near Tribal land, traditional homelands, Tribal historic sites, sacred sites, or in areas where an Indian Tribe maintains rights to [specific resources]. Identify which Indian Tribe(s) may be impacted? Explain any instances of uncertainty or confidentiality.”

Explain any actions taken by the applicant to mitigate or address any potential impacts identified, including engaging with the potentially impacted Indian Tribe(s), in the application.

If Demonstration and Deployment (D&D)

Identify any elements of the project that will occur on or near Indian land, Tribal historic sites, or sacred sites and describe its potential impacts to Indian Tribes. Identify the potentially impacted Indian Tribe(s).

https://bia-geospatial-internal.geoplatform.gov/indianlands/ https://bia-geospatial-internal.geoplatform.gov/indianlands/ https://treaties.okstate.edu/ https://www.bia.gov/service/tribal-leaders-directory https://www.bia.gov/service/tribal-leaders-directory https://www.bia.gov/sites/default/files/dup/inline-%20files/best_practices_guide.pdf https://www.bia.gov/sites/default/files/dup/inline-%20files/best_practices_guide.pdf

Subsurface Resource Activities (carbon sequestration, oil & gas, geothermal, critical minerals, groundwater, etc.)

Identify any Tribal mineral rights, subsurface, or water rights at or near the proposed project location. Explain any relevant studies already performed, such as groundwater studies? Identify which Indian Tribe(s) might be impacted. Explain any instances of uncertainty and any potential for subsurface resource migration which has been considered.

If Hydropower, Offshore Wind, or other Water Related Projects

Identify any Tribal resources or reserved rights (e.g., water, fishing, or other treaty rights) which could be impacted by the proposed project. Identify any Tribal historic sites, sacred sites, or relevant vistas, which could be impacted by the project. Identify the potentially impacted Indian Tribe(s) and explain any sources of uncertainty or confidentiality.

If Infrastructure (e.g., Transmission and Pipeline) Projects

Identify any Indian Land (as defined in 25 U.S.C. § 3501), traditional homelands, or Tribal historic and sacred sites which will be crossed, or adjacent to the proposed infrastructure. Identify which Indian Tribe(s) might be impacted and explain any instances of uncertainty or confidentiality.

Other Actions Not Categorized Above

Identify any [other] proposed actions which may impact an Indian Tribe(s) resources or reserved rights. Tribal resources and reserved rights include, and are not limited to, an Indian Reservation or Land (as defined in 25 U.S.C. § 3501) [or intersecting Tribal sub-surface rights], historic homelands from which they were removed, cultural sites, sacred sites, water rights, mineral and other subsurface rights, fishing rights, and hunting rights. Identify the Tribe(s) potentially impacted and any sources of uncertainty or confidentiality.

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.

Name File: Impacted Indian Tribes

4. Conflict of Interest Statement Certification

The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy) can be found at Financial Assistance Letter No. FAL 2022-02 | Department of Energy. This policy is applicable to all non-Federal entities applying for, or that receive, DOE funding by means of a financial assistance award (e.g., a grant, cooperative agreement, or technology investment agreement) and, through the implementation of this policy by the entity, to each Investigator who is planning to participate in, or is participating in, the project funded wholly or in part under the DOE financial assistance award. DOE’s interim COI Policy establishes standards that provide a reasonable expectation that the design, conduct, and reporting of projects funded wholly or in part under DOE financial assistance awards will be free from bias resulting from financial conflicts of interest or organizational conflicts of interest.

The applicant is subject to the requirements of the interim COI Policy and within each application for financial assistance, the applicant must certify that it is, or will be by the time of receiving any financial assistance award, compliant with all requirements in the interim COI Policy. The applicant must flow down the requirements of the interim COI Policy to any subrecipient non-Federal entities.

Conflicts of interest (COI) may exist due to previous efforts performed by the National Laboratories or assistance provided in program direction and other mission related activities. A file that explains the conflict must be attached, which includes a statement identifying the potential conflict and how the potential conflict will be avoided, neutralized, or mitigated. This document must be attached even if the conflict appears to be insignificant. If no COI exists, include a written statement that there is no COI.

For each subapplicant that is DOE/NNSA FFRDC/NL or non-DOE FFRDC/NL, identify any potential COI, fully explain the conflict, whether you feel it is significant or not, along with your rationale and, if significant, how you will avoid, neutralize, or mitigate the potential conflict.

The applicant is required to disclose, manage, and report conflicts of interest as per the DOE interim COI Policy. If any disclosures need to be made, attach to Research and Related Other Project Information,

12. Other Attachments.

Name File: 2025 COI Disclosure “Insert Tracking ID #” https://www.energy.gov/management/financial-assistance-letter-no-fal-2022-02 https://www.energy.gov/management/financial-assistance-letter-no-fal-2022-02

5. Statement of Project Objectives (SOPO) Refer to the NOFO Part 1, Project Narrative for specific requirements. The Project Narrative must contain a single, detailed Statement of Project Objectives (SOPO) that addresses how the near-term, short-term, and long-term project objectives will be met. The SOPO must contain a clear, concise description of all activities to be completed during project performance and follow the structure discussed below. The SOPO may be released to the public by DOE in whole or in part at any time. It is therefore required that it shall not contain proprietary or confidential business information. The SOPO is to be included in the Project Narrative and not submitted as a separate attachment.

Applicants shall prepare the SOPO in the following format:

TITLE OF WORK TO BE PERFORMED

(Insert the title of work to be performed. Be concise and descriptive.)

A. OBJECTIVES

Include one paragraph on the overall objective(s) of the work.

B. SCOPE OF WORK

This section should not exceed one-half page and should summarize the effort and approach to achieve the objective(s) of the work.

C. TASKS TO BE PERFORMED

Tasks, concisely written, should be provided in a logical sequence and should be divided into the project phases, as appropriate. This section should provide a brief summary of the planned approach to this project.

6. Project Abstract

The project abstract must contain a one page summary of the proposed activity and be suitable for dissemination to the public. It should be a self-contained document that identifies the name of the applicant; the project manager(s)/directors/key senior persons; the project title; a list of major deliverables; the scope and objectives of the project; a description of the project, including major tasks (phases, planned approach, etc.) and methods to be employed; the potential impact of the project (i.e., benefits, outcomes). This document must not include any proprietary or sensitive business information, as NE may make it available to the public after awards are made.

Name File: 2025 Project Abstract “Insert Tracking ID #”; 1-page limit

7. Project Management Plan

This plan should be formatted to include the following sections, with each section to include the information as described below:

a. Executive Summary: Provide a description of the project that includes the objective, project goals, and expected results. For purposes of the application, this information is included in the Project Narrative (Field 8) and should be copied to this document for completeness, so that the Project Management Plan is a stand-alone document.

b. Risk Management: Provide a summary description of the proposed approach to identify, analyze, and respond to perceived risks associated with the proposed project. Project risk events are uncertain future events that, if realized, impact the success of the project. As a minimum, include the initial identification of significant technical, resource, and management issues that have the potential to impede project progress and strategies to minimize impacts from those issues.

c. Milestone Log: Provide milestones for each budget period (or phase) of the project. Each milestone should include a title and planned completion date. Milestones should be quantitative and show progress toward budget period and/or project goals.

[Note: During project performance, the Recipient will report the Milestone Status as part of the required quarterly Progress Report as prescribed under Attachment 4, Reporting Requirements Checklist. The Milestone Status will present actual performance in comparison with Milestone Log, and include:

(1) the actual status and progress of the project,

(2) specific progress made toward achieving the project's milestones, and,

(3) any proposed changes in the project's schedule required to complete milestones.

d. Funding and Costing Profile: Provide a table (the Project Funding Profile) that shows, by budget period, the amount of government funding going to each project team member.

Also provide a table (the Project Costing Profile) that projects, by month, the expenditure of government funds for the first budget period, at a minimum.

e. Project Timeline: Provide a timeline of the project (similar to a Gantt chart) broken down by each task and subtask, as described in the Statement of Project Objectives. The timeline should include for each task, a start date, and end date. The timeline should show interdependencies between tasks and include the milestones that are identified in the Milestone Log (Section C).

f. Success Criteria at Decision Points: Provide success criteria for each decision point in the project, including go/no-go decision points and the conclusions of budget periods and the entire project. The success criteria should be objective and stated in terms of specific, measurable, and repeatable data. Usually, the success criteria pertain to desirable outcomes, results, and observations from the project.

g. Approach to Quality Assurance: Include a brief summary of the QA program the applicant intends to apply through the period of this NOFO to assure the pedigree of the resulting data, designs, etc. will be sufficient to advance nuclear fuel cycle technologies to promote the nuclear energy portfolio within the United States.

[Note: As the first task in the Statement of Project Objectives, successful applicants will revise the version of the Project Management Plan that is submitted with their applications by including details from the negotiation process. This Project Management Plan will be updated by the Recipient as the project progresses, and the Recipient must use this plan to report schedule and budget variances.]

Save this plan in a single file named “PMP.PDF”

8. Research & Related Budget (Total Federal + Non-Federal)

The applicant must complete a separate budget for the applicant and each sub-recipient for each year of support requested. The form(s) will generate a cumulative budget for the total project period. You may request funds under any The applicant must complete a separate budget for the applicant and each sub-recipient for each year of support requested. The form(s) will generate a cumulative budget for the total project period. You may request funds under any of the categories listed as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions in this NOFO.

NOTE: Do NOT lock the cells when saving this document. Applications containing budget forms with locked cells may not be evaluated further.

Name File: 2025 R&R Budget “Insert Tracking ID #”of the categories listed as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions in this NOFO.

NOTE: Do NOT lock the cells when saving this document. Applications containing budget forms with locked cells may not be evaluated further.

Name File: 2025 R&R Budget “Insert Tracking ID #”

9. Budget Justification

Provide a justification that explains all costs proposed in the budget. Budget Justification documents shall be provided for the applicant and sub-recipients.

The following items of advice are offered to assist in developing a justification:

1. Organize the justification by listing items in the same categorical order as presented on the budget.

2. Ensure that the narrative matches the budget in dollar amounts and language.

3. Explain the line items. If costs are estimated, provide a basis for the estimate, including an estimate or prior ordering experience. Explain if costs are based on prior experience of similar activities. If a cost is based on the product of two numbers (such as a number of items at a per-item price), ensure that the math is correct.

4. If including an inflationary factor for future budget periods, explain the basis for the inflationary factor.

Provide any other information necessary to justify your budget request. For cost sharing, provide an explanation of the source, nature, amount, and availability of any proposed cost sharing. Provide the details of all personnel (key or other) who will be working on the project, regardless of their source(s) of compensation. Explain their source(s) of compensation if it is not from this project. Include the indirect cost rate agreement and/or fringe rate agreement as a part of the budget justification.

Name File: Budget Justification

10. Subrecipient Budget Justification

Applicants must provide a separate budget justification for each subrecipient. The budget justification must include the same justification information described in the Budget Justification section above.

Name File: Subaward Budget Justification

11. Work Proposal (Budget)…