FundOpp_DE-FOA-0003016.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

Department of Energy (DOE) Office of Fossil Energy and Carbon Management

(FECM)

University Turbine Systems Research (UTSR) Funding Opportunity Announcement (FOA) Number: DE-FOA-0003016

FOA Type: Initial Assistance Listing Number: 81.089

FOA Issue Date: 09/07/2023 Submission Deadline for Full Applications: 11/07/2023 11:59 PM ET

Expected Date for Selection Notifications: 01/08/2024 Expected Date for Award: 03/08/2024

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Registration Requirements

There are several one-time actions that must be completed before submitting an application in response to this Funding Opportunity Announcement (FOA) (e.g., register with the System for Award Management (SAM), obtain a Unique Entity Identifier (UEI) number, register with Grants.gov, and register with FedConnect.net to submit questions). It is vital that applicants address these items as soon as possible. Some may take several weeks, and failure to complete them could interfere with an applicant’s ability to apply to this FOA.

➢ SAM Applicants must register with SAM at https://www.sam.gov/ prior to submitting an application in response to this FOA (unless the applicant is exempt from those requirements under 2 CFR 25.110). Designating an Electronic Business Point of Contact (EBiz POC) and obtaining a special password called an MPIN are important steps in SAM registration. Failure to register with SAM will prevent your organization from applying through Grants.gov. The applicant must maintain an active SAM registration with current information at all times during which it has an active Federal award or application under consideration. More information about SAM registration for applicants is found at:

https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105 465eaccac4bcbcb.

NOTE: If clicking the SAM links do not work, please copy and paste the link into your browser.

Due to the high demand of SAM registrations and UEI requests, entity legal business name and address validations are taking longer than expected to process. Entities should start the SAM and UEI registration process as soon as possible. If entities have technical difficulties with the SAM registration or UEI validation process they should utilize the HELP feature on SAM.gov. SAM.gov will work entity service tickets in the order in which they are received and asks that entities not create multiple service tickets for the same request or technical issue. Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base - Validating your Entity.

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

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

➢ Grants.gov - Applicants must register with Grants.gov and set up your WorkSpace. You cannot submit an application through Grants.gov unless you are registered. Please read the registration requirements carefully and start the process immediately.

https://www.sam.gov/ https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105465eaccac4bcbcb https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105465eaccac4bcbcb https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1

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1) The Authorized Organizational Representative (AOR) must register at:

https://apply07.grants.gov/apply/OrcRegister

2) An email is sent to the E-Business (E-Biz) POC listed in SAM. The E-Biz POC must approve the AOR registration using their MPIN from their SAM registration.

More information about the registration steps for Grants.gov is provided at:

https://www.grants.gov/web/grants/applicants/registration.html

In addition:

o 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 for the organization in the UEI field while adding a profile.

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

https://www.grants.gov/web/grants/applicants/registration/add-profile.html o 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 EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the 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.

NOTE: 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.

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

https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html

To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/registration/track-role-status.html

Questions relating to the registration process, system requirements, or how an application form works must be directed to Grants.gov at 1-800-518-4726 or support@grants.gov.

https://apply07.grants.gov/apply/OrcRegister https://www.grants.gov/web/grants/applicants/registration.html https://www.grants.gov/web/grants/applicants/registration/add-profile.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html mailto:support@grants.gov

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➢ FedConnect.net - Applicants must register with FedConnect to submit questions.

FedConnect website: www.fedconnect.net.

See Section IV for Application and Submission Information (including how to create a WorkSpace).

http://www.fedconnect.net/

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Table of Contents

I. Funding Opportunity Description

A. Authorizing Statutes B. Background/Description

i. Background and Purpose

ii. Research and Development Community Benefits Plan (April 2023)

C. Objectives/Topic Areas/Areas of Interest D. Applications Specifically Not of Interest

II. Award Information

A. Type of Application B. Type of Award Instrument C. Award Overview

iii. Estimated Funding, Number of Awards, Anticipated Award Size, and Maximum DOE Share

iv. Estimated Project Period of Performance per Topic Area/Area of Interest

III. Eligibility Information

A. General B. Eligible Applicants

i. Restricted Eligibility

ii. Individuals

iii. Domestic Entities

iv. Domestic Public Entities (excluding Federal entities)

v. Federally Funded Research and Development Centers and National Laboratories

vi. Federal Entities

vii. Foreign Entities

viii. DOE/NNSA FFRDC Participation in Project Teams

C. Cost Sharing

ix. Cost Share Requirements

x. Legal Responsibility

xi. Cost Share Allocation

xii. Cost Share Types and Allowability

xiii. Cost Share Verification

xiv. Cost Share Contributions by FFRDCs

D. Compliance Criteria E. Responsiveness Criteria F. Number of Submittals Eligible for Review G. Questions Regarding Eligibility

IV. Application and Submission Information

A. Form and Content Requirements B. Full Applications

xv. Application Package

xvi. Content and Form of Full Application

xvii. SF-424: Application for Federal Assistance

xviii. Project/Performance Site Location(s)

xix. Other Attachments Form

xx. Project Narrative File – Mandatory Other Attachment

xxi. Summary for Public Release File (April 2023)

xxii. Project Management Plan

xxiii. Resume File (April 2023) xxiv.SF 424A Budget Information – Non-Construction Programs (SF424) File

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xxv. Budget Justification File xxvi.Subaward Budget Justification (if applicable)

xxvii. Budget for DOE/NNSA FFRDC/NLs or non-DOE/NNSA FFRDC/NLs, (if applicable) xxviii. Authorization for DOE/NNSA FFRDC/NLs or non-DOE/NNSA FFRDCs/NLs (if applicable) xxix.Environmental Questionnaire

xxx. Cost Share Commitment Letters (if applicable) xxxi.SF-LLL: Disclosure of Lobbying Activities (if applicable)

xxxii. Waiver Requests (if applicable) (April 2023) xxxiii. Data Management Plan

xxxiv. R&D Community Benefits Plan (April 2023)

xxxv. Current and Pending Support (April 2023)

xxxvi. U.S. Competitiveness xxxvii. Transparency of Foreign Connections xxxviii. Potentially Duplicative Funding Notice

xxxix. Subrecipient Commitment Letter(s) from OEM(s) and/or Government Agency (required if proposed as a subrecipient) C. Post Selection Information Requests (April 2023) D. Submission Dates and Times E. Intergovernmental Review F. Other Submission and Registration Requirements

xl. Registration Process xli. Where to Submit xlii. Full Application Proof of Timely Submissions xliii. Electronic Authorization of Applications and Award Documents

G. Funding Restrictions (April 2023) H. Pre-Award Costs I. Pre-Award Costs Related to National Environmental Policy Act (NEPA) Requirements J. Performance of Work in the United States (Foreign Work Waiver) (April 2023) xliv. Requirement xlv. Failure to Comply xlvi. Waiver

K. Foreign Travel L. Equipment and Supplies M. Buy America Requirements for Infrastructure Projects (April 2023)

V. Application Review Information

A. Review Criteria

i. Compliance/Responsiveness Review

ii. Full Application Merit Review Criteria

B. Other Selection Factors

i. Program Policy Factors

C. Other Review Requirements xlvii. Risk Assessment (May 2023) xlviii. Recipient Responsibility and Qualifications (May 2023)

D. Review and Selection Process

i. Merit Review

ii. Selection

iii. Discussions and Award

VI. Award Administration Information

A. Notices xlix. Ineligible Submissions

l. Full Application Notifications

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B. Administrative and National Policy Requirements

li. Award Administrative Requirements lii. Unique Entity Identifier Requirements and System for Award Management (April 2023) liii. Uniform Commercial Code (UCC) Financing Statements liv. Foreign National Participation (April 2023)

lv. Export Control (April 2023) lvi. Statement of Federal Stewardship lvii. Statement of Substantial Involvement lviii. Environmental Review in Accordance with National Environmental Policy Act (NEPA) lix. Conference Spending

lx. Interim Conflict of Interest Policy for Financial Assistance lxi. Participants and Collaborating Organizations lxii. Current and Pending Support lxiii. Fraud, Waste and Abuse (April 2023) lxiv. Human Subjects Research (April 2023) lxv. Flood Resilience (April 2023) lxvi. Real Property and Equipment

C. Reporting lxvii. Reporting Requirements lxviii. Subaward and Executive Reporting

D. Applicant Representations and Certifications lxix. Lobbying Restrictions lxx. Nondisclosure and Confidentiality Agreements Representations lxxi. Corporate Felony Convictions and Tax Liabilities Representations (March 2014)

VII. Questions/Agency Contacts

A. Questions B. Agency Contact

VIII. Other Information

A. Modifications B. Government Right to Reject or Negotiate C. Commitment of Public Funds D. Treatment of Application Information (April 2023) E. Evaluation and Administration by Non-Federal Personnel F. Intellectual Property Developed Under This Program (September 2021) G. Energy Data eXchange (EDX) Requirements (December 2022) H. Notice Regarding Eligible/Ineligible Activities I. Notice of Right to Conduct a Review of Financial Capability J. Notice of Potential Disclosure Under Freedom of Information Act (FOIA) K. Requirement for Full and Complete Disclosure L. Retention of Submissions M. Protected Personally Identifiable Information N. Annual Compliance Audits O. Accounting System P. Indirect Rates Q. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment (April 2023) ..78 R. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs (April 2023) S. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty (November 2020)

IX. Appendices

Appendix A – Cost Share Information

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Appendix B – Waiver Requests: Foreign Entity Participation and Performance of Work in the United States .88 lxxii. Waiver for Performance of Work in the United States (Foreign Work Waiver)

Appendix D – Statement of Project Objectives Template

Appendix E – Project Management Plan Template

Appendix F – Data Management Plan

Appendix G – Technology Readiness Levels

Appendix H – Technology Maturation Plan

Appendix I – R&D Community Benefits Plan Guidance

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I. Funding Opportunity Description

A. Authorizing Statutes

The programmatic authorizing statutes are Public Law (PL) 95-91, DOE Organization Act, and PL 109-58, Energy Policy Act 2005.

Awards made under this announcement will fall under the purview of 2 Code of Federal Regulations (CFR) Part 200 as amended by 2 CFR Part 910.

B. Background/Description

i. Background and Purpose

Given its potential to help address the climate crisis, enhance energy security and resilience, and create economic value, interest in producing and using clean hydrogen is intensifying both in the United States and abroad. Zero- and low-carbon hydrogen is a key part of a comprehensive portfolio of solutions to achieve a sustainable and equitable clean energy future. The United States is stepping up to accelerate progress through historic investments in clean hydrogen production, midstream infrastructure, and strategically targeted research, development, demonstration, and deployment (RDD&D) in this critical technology. See the U.S.

National Clean Hydrogen Strategy and Roadmap for details.

As outlined in the DOE Clean Hydrogen Commercial Liftoff report, the U.S. clean hydrogen market is poised for rapid growth, accelerated by DOE Hydrogen Hub funding, multiple tax credits under the Inflation Reduction Act including the hydrogen production tax credit, DOE’s Hydrogen Shot, and decarbonization goals across the public and private sectors. Hydrogen can play a role in decarbonizing up to 25% of global energy-related CO2 emissions. Electricity generation using clean hydrogen also supports achieving the administration’s goal of 100% carbon pollution free electricity by 2035.

The University Turbine Systems Research (UTSR) Program encompasses a portfolio of gas turbine-focused university projects which address a wide variety of technical topics (including combustion, aerodynamics/heat transfer, and advanced materials topics) by conducting cutting edge R&D. Technical topics are relevant to research goals of the US DOE and the gas turbine industry and support advanced technologies that can increase energy efficiency, reduce emissions, and provide additional performance benefits.

https://www.congress.gov/bill/95th-congress/senate-bill/826 https://www.congress.gov/bill/109th-congress/house-bill/6/text https://www.hydrogen.energy.gov/pdfs/us-national-clean-hydrogen-strategy-roadmap.pdf https://www.hydrogen.energy.gov/pdfs/us-national-clean-hydrogen-strategy-roadmap.pdf https://liftoff.energy.gov/wp-content/uploads/2023/05/20230523-Pathways-to-Commercial-Liftoff-Clean-Hydrogen.pdf https://www.energy.gov/eere/fuelcells/hydrogen-shot https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/

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Given the extensive interest in hydrogen-based electricity generation, topics in this FOA focus on fundamental and applied research to further advance the use of hydrogen as a gas turbine fuel.

ii. Research and Development Community Benefits Plan (April 2023)

DOE is committed to investing in research and development (R&D) innovations that deliver benefits to the American public and leads to commercialization of technologies and products that foster sustainable, resilient, and equitable access to clean energy. Further, DOE is committed to supporting the development of more diverse, equitable, inclusive, and accessible workplaces to help maintain the nation’s leadership in science and technology.

To support the goal of building a clean and equitable energy economy, projects funded under this Funding Opportunity Announcement are expected to invest in America’s workforce. To ensure these objectives are met, applications must include a R&D Community Benefits Plan (R&D Community Benefits Plan) that addresses the three objectives stated above. See Section IV, “Application and Submission Information, R&D Community Benefits Plan” and the “R&D Community Benefits Plan” Appendix for more information on the R&D Community Benefits Plan content requirements.

C. Objectives/Topic Areas/Areas of Interest

The objective of this FOA is to solicit and competitively award university-based R&D projects that address and resolve fundamental scientific challenges and applied engineering technology issues associated with thermal management of combustors and hot gas path components for gas turbines. Specifically, R&D projects will conduct fundamental and applied research to develop advanced materials and advanced hot gas path components which utilize these advanced materials, advanced cooling architectures, and advanced manufacturing methods.

The FOA will seek to solicit and competitively award laboratory/bench-scale R&D in the following areas of interest (AOI):

AOI 1: Fundamental Materials Development for Hot Gas Path Hydrogen Turbine Components AOI 2: Applied Materials Development for Hot Gas Path Hydrogen Turbine Components AOI 3: Fundamental Materials Development for Hydrogen Rotating Detonation Engines (RDEs).

D. Applications Specifically Not of Interest

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The following types of applications will be deemed nonresponsive and will not be reviewed or considered (See Section III, Eligibility Information; Responsiveness Criteria):

• Submissions that fall outside the technical parameters specified in Section I, “Funding Opportunity Description; Objectives/Topic Areas/Areas of Interest” of the FOA, including but not limited to:

o Submissions for proposed technologies that are not based on sound scientific principles (e.g., violates the laws of thermodynamics).

o Area of Interest 1:

▪ Research that does not consider the effects of hydrogen fuels on hot gas path materials

▪ Research that contains only screening/literature review of existing materials o Area of Interest 2:

▪ Fundamental materials R&D

▪ Research that focuses on only a single aspect of component development (i.e. cooling, materials, or manufacturing) without consideration of the other two aspects

▪ Research that focuses only on the development of components for natural gas fired turbines without consideration of hydrogen fuel flexibility.

▪ Technology that could only considered in theory without the prospect of industry adoption for commercial production.

o Area of Interest 3:

▪ Research that does not focus on materials issues directly related to RDC-turbine integrated systems operating on hydrogen fuels.

▪ Research that that does not consider relevant hot gas path materials for industrial turbines operating on hydrogen fuels.

▪ Research that does not consider thermal and mechanical stresses associated with one or more detonation waves at amplitudes and frequencies comparable to existing state-of-

DE-FOA-0003016 Page 12 of 126 the art RDEs.

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II. Award Information

A. Type of Application

DOE will accept only new applications under this announcement.

B. Type of Award Instrument

Cooperative Agreements DOE anticipates awarding cooperative agreements under this funding opportunity announcement (See Section VI, “Award Administration Information; Statement of Substantial Involvement”).

C. Award Overview

iii. Estimated Funding, Number of Awards, Anticipated Award Size, and Maximum DOE Share

DOE expects to make Federal funding available for new awards under this FOA as follows:

Topic Areas/Areas of Interest with Cost Share

Total Value Anticipated Individual Award Size

Area of Interest DOE Share

Cost Share

Total

Anticipated No. of

Awards Maximum

DOE

Share*

Cost Share**

Total

1 Up to 4 800,000/80 200,000/20 1,000,000 2 Up to 4 800,000/80 200,000/20 1,000,000

6,400,000/80 1,600,000/20 8,000,000 Up to 4 800,000/80 200,000/20 1,000,000

Total 6,400,000/80 1,600,000/20 8,000,000 Up to 8

DOE may issue one, multiple or no awards.

APPLICATIONS WHICH EXCEED THE “MAXIMUM DOE SHARE OF AWARD”

SPECIFIED ABOVE WILL BE CONSIDERED NONCOMPLIANT (SEE SECTION III,

“ELIGIBILITY INFORMATION; COMPLIANCE CRITERIA”). DOE WILL NOT REVIEW

OR CONSIDER NONCOMPLIANT APPLICATIONS.

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DOE may establish more than one budget period for each award and fund only the initial budget period(s). Funding for all budget periods, including the initial budget period, is not guaranteed. Funding for all awards and future budget periods are contingent upon the availability of funds appropriated by Congress for the purpose of this program and the availability of future-year budget authority.

iv. Estimated Project Period of Performance per Topic Area/Area of Interest

Projects are expected to be 36 months in duration. Projects selected under this FOA are expected to be low risk and may involve various long-term tests;

therefore, the projects will not have decision points or budget periods, since inclusion of decision points or budget periods could result in unnecessary funding or contractual issues that negatively impact long term tests.

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III. Eligibility Information

A. General

To be considered for substantive evaluation, an applicant‘s submission must meet the criteria set forth below. If the application does not meet these initial requirements, it will be considered non-responsive, removed from further evaluation, and ineligible for any award.

B. Eligible Applicants

i. Restricted Eligibility

In accordance with 2 CFR 910.126, competition, eligibility for award is restricted to Domestic Institutions of Higher Education and University- Affiliated Research Institutions. Subcontracting to other types of entities will be limited, in aggregate, to 20 percent of the total proposed project. The Determination of Restricted Eligibility for the UTSR Program was signed on 10/19/2023 and is valid for Fiscal Years 2021-2025.

Subrecipient and/or Subcontracting effort that is proposed for entities other than a Domestic Institution of Higher Education and/or University-Affiliated Research Institution is limited, in aggregate, to 20 percent of the total proposed project costs.

ii. Individuals

U.S. citizens and lawful permanent residents are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

iii. Domestic Entities

For-profit entities and nonprofits that are incorporated (or otherwise formed) under the laws of a particular State or territory of the United States are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

Nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995, are not eligible to apply for funding.

iv. Domestic Public Entities (excluding Federal entities)

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State, local, and tribal government entities are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

Entities banned from doing business with the United States government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in Federal programs are not eligible.

Nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995, are not eligible to apply for funding.

Federal entity eligibility is discussed below.

v. Federally Funded Research and Development Centers and National Laboratories

DOE/National Nuclear Security Administration (NNSA) Federally Funded Research and Development Centers (FFRDCs) and National Laboratories (NL) are eligible to apply for funding as a Subrecipient (only) but are not eligible to apply as a Prime Recipient. Non-DOE/NNSA FFRDCs and National Laboratories are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

NETL is not eligible for award under this announcement and may not be proposed as a subrecipient on another entity’s application. An application that includes NETL as a prime recipient or subrecipient will be considered non-responsive.

Authorization. The cognizant contracting officer for the DOE/NNSA FFRDC/NL or the non-DOE/NNSA Federal agency sponsoring the FFRDC/NL contractor must authorize in writing the use of the FFRDC/NL on the proposed project and this authorization must be submitted with the application. The use of a FFRDC/NL must be consistent with its authority under its award and will not place the laboratory in direct competition with the domestic private sector.

The following wording is acceptable for this authorization:

"Authorization is granted for the [Name] Laboratory to participate in the proposed project. The work proposed for the laboratory is consistent with or complimentary to the missions of the laboratory, will not adversely impact execution of the [DOE/NNSA/or FEDERAL AGENCY]

DE-FOA-0003016 Page 17 of 126 assigned programs at the laboratory, and will not place the laboratory in direct competition with the domestic private sector."

Value/Funding: DOE will NOT fund DOE/NNSA FFRDCs participating as a subrecipient through the DOE field work authorization process. DOE will NOT fund non-DOE/NNSA FFRDCs through an interagency agreement with the sponsoring agency. Therefore, the prime recipient and FFRDC are responsible for entering into an appropriate subaward that will govern, among other things, the funding of the FFRDC portion of the work from the prime recipient under its DOE award. Such an agreement must be entered into before any project work begins.

Cost Share: The applicant should prepare the budgets using rates appropriate for funding the FFRDCs through subawards. The applicant’s cost share requirement will be based on the total cost of the project, including the applicant’s, the subrecipient’s, and the FFRDC’s portions of the project.

Responsibility. The applicant, if successful, 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 the FFRDC/NL.

vi. Federal Entities

Federal agencies and instrumentalities (other than DOE) are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

vii. Foreign Entities

Foreign entities, whether for-profit or otherwise, are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient under this FOA.

viii. DOE/NNSA FFRDC Participation in Project Teams

DOE/NNSA FFRDC project team members funded directly by DOE must work with their fellow project team members under a cooperative research and development agreement (CRADA), unless otherwise approved by the Contracting Officer, to ensure accountability for project work and appropriate management of intellectual property (IP), e.g., data protection and background IP.

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C. Cost Sharing

ix. Cost Share Requirements

Cost Share 20% The cost share must be at least 20% of the total allowable costs for research and development projects (i.e., the sum of the Government share, including FFRDC/NL costs if applicable, and the recipient share of allowable costs equals the total allowable cost of the project) and must come from non- Federal sources unless otherwise allowed by law. See 2 CFR part 200.306 as amended by 2 CFR part 910.130 for the applicable cost sharing requirements.

DOE understands that projects selected under this FOA may require the use of existing data. For purposes of this FOA, DOE will consider data that is commercially available at an established market price to be an allowable cost under the project (either as DOE share or non-federal cost share) but DOE will not consider in-kind data (e.g., data, owned by an entity, that is not routinely sold commercially but is instead donated to the project and assigned a value) to be an allowable cost under the project, including as Recipient cost share. Estimation methods used by the Recipient to assign a value to in-kind data cannot be objectively verified by DOE and therefore will not be accepted by DOE as an allowable cost under any project selected from this FOA. Consequently, DOE will not recognize in-kind data costs in any resulting approved DOE budget.

To assist applicants in calculating proper cost share amounts, DOE has included a cost share information sheet and sample cost share calculation in the “Cost Share Information” Appendix of this FOA.

x. Legal Responsibility

Applicants will be bound by the cost share proposed in their applications and incorporated into their award.

The cost share requirement applies to the project as a whole, including work performed by members of the project team other than the Prime Recipient.

The Prime Recipient is legally responsible for paying the entire cost share.

The Prime 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 Prime

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Recipient is required to contribute at least the cost share percentage of total expenditures incurred through the date of termination.

The Prime 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.

xi. 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 project as a whole is met.

xii.Cost Share Types and Allowability

Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV, “Application and Submission Information; Funding Restrictions”. 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 Guarantee, 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 prime recipient, subrecipients, or third parties (entities that do not have a role in performing the scope of work).

Vendors/contractors may not provide cost share. Any partial donation of goods or services is considered a discount and is not allowable.

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

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

the donation of volunteer time or the donation of space or use of equipment.

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

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The Recipient may not use the following sources to meet its cost share obligations including, but not limited to:

• Revenues or royalties from the prospective operation of an activity beyond the project period;

• Proceeds from the prospective sale of an asset of an activity;

• Federal funding or property (e.g., Federal grants, equipment owned by the Federal Government); or

• Expenditures that were reimbursed under a separate Federal

Program.

Project Teams may not use the same cash or in-kind contributions to meet cost share requirements for more than one project or program.

Cost share contributions must be specified in the project budget, verifiable from the Prime 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 Contracting Officer and incorporated into the project budget before the expenditures are incurred.

Applicants are encouraged to refer to 2 CFR 200.306 as amended by 2 CFR

910.130 for additional cost sharing requirements.

Please refer to the “Cost Share Information” Appendix of the FOA.

xiii. Cost Share Verification

Applicants are required to provide written assurance of their proposed cost share contributions in their Full Applications.

Upon selection for award negotiations, applicants are required to provide additional information and documentation regarding their cost share contributions. Please refer to the “Cost Share Information” Appendix of the

FOA.

xiv. Cost Share Contributions by FFRDCs

Because FFRDCs and NLs are funded by the Federal Government, costs incurred by FFRDCs and NLs generally may not be used to meet the cost

DE-FOA-0003016 Page 21 of 126 share requirement. FFRDCs and NLs may contribute cost share only if the contributions are paid directly from the contractor’s Management Fee or another non-Federal source. In such instance, the FFRDC and NLs must certify in writing that the cost share comes from non-Federal sources.

D. Compliance Criteria

A review of all submitted documents and information is performed to determine if the submissions are in compliance with the FOA requirements. All submitted information and documents must meet all Compliance Criteria listed below to be eligible for review or the submission will be considered noncompliant. DOE will NOT review or consider noncompliant submissions.

Full Applications are deemed compliant if:

• The Full Application complies with the maximum DOE share of the individual award size in Section II, “Award Information; Award Overview” of the FOA;

• The Full Application complies with the content and form requirements in Section IV, “Application and Submission Information; Form and Content Requirements,” and Section IV, “Application and Submission Information;

Full Applications” of the FOA; and

• The applicant successfully uploaded all required documents and clicked the “Submit” button in Grants.gov by the deadline stated in the FOA. DOE will not extend the submission deadline for applicants that fail to submit required information by the applicable deadline due to server/connection congestion.

E. Responsiveness Criteria

A review of all submitted documents and information is performed to determine if the submissions are responsive to the FOA requirements. All submitted information and documents must meet all of the Responsiveness Criteria listed below to be eligible for review or the submission will be considered non-responsive. DOE will NOT review or consider non-responsive submissions.

Full Applications are deemed responsive if:

- The application meets the technical requirements as described in the “Objectives/Topic Areas/Areas of Interest” contained in Section I, “Funding Opportunity Description” of the FOA; and

- The Applicant/application meets the Eligibility Criteria in Section III, “Eligibility Information” of the FOA.

DE-FOA-0003016 Page 22 of 126

Only compliant/responsive applications will be eligible for a comprehensive merit review.

F. Number of Submittals Eligible for Review

Applicants may submit multiple applications under each area of interest of this FOA;

HOWEVER, applicants may not submit duplicate applications under multiple topic areas of interest. Put simply, each submitted application should be distinct and tailored to the specific area of interest.

G. Questions Regarding Eligibility

DOE will not make eligibility determinations for potential applicants prior to the date on which applications to this FOA must be submitted. The decision whether to submit an application in response to this FOA lies solely with the applicant.

DE-FOA-0003016 Page 23 of 126

IV. Application and Submission Information

A. Form and Content Requirements

All submissions must conform to the following form and content requirements, including maximum page limits (described below) and must be submitted as specifically stated. Applications which do not meet ALL of the form and content requirements listed below will be considered noncompliant (See Section III, “Eligibility Information; Compliance Criteria”). DOE will NOT review or consider noncompliant applications. DOE will not review or consider submissions submitted through means other than specifically stated in the FOA, submissions submitted after the applicable deadline, and incomplete submissions. DOE will not extend deadlines for applicants who fail to submit required information and documents by the applicable deadline due to server/connection congestion.

Applicants are responsible for meeting the submission deadline. Applicants are strongly encouraged to submit their Full Applications at least 48 hours in advance of the submission deadline. Under normal conditions (i.e., at least 48 hours in advance of the submission deadline), applicants should allow at least 1 hour to submit a Full

Full Applications must conform to ALL of the following requirements in order to be considered compliant:

• Each must be submitted in Adobe PDF format unless stated otherwise.

• Each must be written in English.

• All pages must be formatted to fit on 8.5 x 11 inch paper with margins not less than one inch on every side. Use Times New Roman typeface, a black font color, and a font size of 11 point or larger (except in figures or tables, which may be 10 point font). A symbol font may be used to insert Greek letters or special characters, but the font size requirement still applies. 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.

• Each submission must not exceed the specified maximum page limit (described below) when printed using the formatting requirements set forth above and single spaced. The maximum page limitation includes the cover page, references, charts, graphs, data, maps, photographs, other pictorial presentations, and other reference material the applicant may include its submission.

Full Applications which do not conform to ALL of the requirements listed above will be considered noncompliant (See Section III, “Eligibility Information; Compliance Criteria”). DOE will not review or consider noncompliant submissions.

DE-FOA-0003016 Page 24 of 126

Application. Once the Full Application is submitted, applicants may revise or update that submission until the expiration of the applicable deadline. If changes are made, the applicant must resubmit the Full Application before the applicable deadline.

DOE urges applicants to carefully review their Full Applications and to allow sufficient time for the submission of required information and documents. All Full Applications that pass the initial eligibility review will undergo comprehensive technical merit review according to the criteria identified in Section V, “Application Review Information; Review Criteria” of the FOA.

B. Full Applications

Applicants must submit a Full Application by the specified due date and time to be considered for funding under this FOA. Applicants must complete the mandatory forms and any applicable optional forms (e.g., SF-LLL- Disclosure of Lobbying Activities) in accordance with the instructions on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (PDF) unless otherwise specified in this announcement.

xv. Application Package

Application forms and instructions are available at https://www.grants.gov/.

xvi. Content and Form of Full Application

DOE will not review or consider ineligible Full Applications (see Section III, “Eligibility Information; Compliance Criteria” of the FOA).

Each Full Application must be limited to a single topic area/area of interest.

Concepts or technologies unrelated to the specific topic area/area of interest should not be consolidated into a single Full Application.

Full Applications must conform to the following requirements:

Submission Components Format File Name

SF-424 Form N/A Project/Performance Site Location(s) Form N/A Project Narrative (25-page limitation, see chart below for further instruction)

PDF Project.pdf

Full Application (PDF, unless stated otherwise) Summary for Public Release (1 page limit) PDF Summary.pdf https://www.grants.gov/

DE-FOA-0003016 Page 25 of 126

Project Management Plan (10-page limitation, see chart below for further instruction)

PDF PMP.pdf

Resume PDF Resume.pdf SF424a Budget Information – Non- Construction Programs File

Microsoft Excel

SF424A.xls or .xlsx

Budget Justification – SEE DETAILED

INSTRUCTIONS BELOW

Microsoft Excel

RecipientBudget Justification.xls or .xlsx

Subaward Budget Justification, if applicable – SEE DETAILED

INSTRUCTIONS BELOW

Microsoft Excel

Subawardee_name BudgetJustification.xls or xlsx

Budget for DOE/NNSA FFRDC/NL or non- DOE/NNSA FFRDC/NL, if applicable

PDF Use up to 10 letters of the FFRDC/NL name plus WP as the file name (e.g., lanlWP.pdf or lincolnWP.pdf).

Authorization from cognizant Contracting Officer for DOE/NNSA FFRDC/NL or non-DOE FFRDC/NL, if applicable

PDF Use up to 10 letters of the FFRDC/NL name plus FFRDC as the file name (e.g., anlFFRDC or lincolnFFRDC.pdf)

Environmental Questionnaire PDF Env.pdf Cost Share Commitment Letters, if applicable

PDF CSCL.pdf

SF-LLL Disclosure of Lobbying Activities, if applicable

Form N/A

Foreign Entity Participation Waiver Requests if applicable

PDF FN_Waiver.pdf

Performance of Work in the United States waiver request, if applicable

PDF PerformanceofWork_Waiver.pdf

Data Management Plan PDF DMP.pdf R&D Community Benefits Plan PDF CBP.pdf Current and Pending Support PDF CPS.pdf Transparency of Foreign Connections PDF BusinessSensitive.pdf Potentially Duplicative Funding PDF PDFN.pdf Subrecipient Commitment Letter(s) from OEM(s) and/or Government Agency

PDF SCL.pdf

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 FOA, it must be broken into parts and denoted to that effect. For example:

Project Part 1 Project Part 2, etc.

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

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Detailed guidance on the content and form of each component is listed below.

xvii. SF-424: Application for Federal Assistance

Complete the SF 424 form first to populate data in other forms. Complete all required fields in accordance with the instructions on the form. The list of certifications and assurances in Field 21 can be found at https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients, under Certifications and Assurances.

xviii. Project/Performance Site Location(s)

Indicate the primary site where the work will be performed by the prime recipient or subrecipient(s). If a portion of the project will be performed at any other site(s), identify the site location(s) in the blocks provided.

Note that the Project/Performance Site Congressional District is entered in the format of the 2-digit state code followed by a dash and a 3-digit Congressional district code, for example VA-001. Hover over this field for additional instructions.

Use the Next Site button to expand the form to add additional Project/Performance Site Locations.

xix. Other Attachments Form

Submit the following files with your application and attach them to the Other Attachments Form. Click on "Add Mandatory Other Attachment" to attach the Project Narrative. Click on "Add Optional Other Attachment," to attach the other files.

xx.Project Narrative File – Mandatory Other Attachment

The Project Narrative File must be submitted in Adobe PDF format. The project narrative must not exceed twenty-five (25) pages, including cover page, table of contents, footnotes/endnotes, charts, graphs, maps, photographs, and other pictorial presentations, when printed using standard 8.5" by 11" paper with 1-inch margins (top, bottom, left, and right) single spaced. The font must not be smaller than 11 point. The Identification of Potential Conflicts of Interest or Bias in Selection of Reviewers, and Bibliography sections are NOT included in the project narrative page limitation. Do not include any Internet addresses (URLs) that provide https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients

DE-FOA-0003016 Page 27 of 126 information necessary to review the application. See Section VIII, “Other Information; Treatment of Application Information” for instructions on how to mark proprietary application information.

Submissions that exceed the maximum page limits indicated above will be considered noncompliant and DOE will not review or consider the submission (See Section III, “Eligibility Information; Compliance Criteria”).

Save the information in a single file named "Project.pdf," and click on "Add Mandatory Other Attachment" to attach.

The project narrative (25-page limitation) must include:

SECTION

MAXIMUM

PAGE LIMIT*

(if applicable)

DESCRIPTION

Cover Page Included in the page limitation (1-page maximum)

The cover page should include the project title, the specific FOA topic area/area of interest being addressed, the Applicant’s name, and the names of all team member organizations. In addition, provide the Applicant’s technical and business points of contact along with e-mail addresses and telephone numbers, names of project manager, Senior/Key personnel and their organizations.

The cover page should also include the federal and non-federal share of costs associated with each team member’s proposed effort. Applicants should ensure the cost information is consistent with the submitted budget justification(s).

A sample Project Narrative Cover Page is included as an attachment to this announcement.

Table of Contents Included in the page limitation

Applicant to capture, at a minimum, all of the required sections identified in this table.

Project Objectives Included in the page limitation

This section should provide a clear, concise statement of the specific objectives/aims of the proposed project.

Merit Review Criterion Discussion

Included in the page limitation

The section should be formatted to address each of the merit review criterion and sub-criterion listed in Section V, “Application Review Information; Review Criteria”. Provide sufficient information so that reviewers will be able to evaluate the application in accordance with these merit review criteria.

DOE/NNSA WILL EVALUATE AND CONSIDER ONLY THOSE

APPLICATIONS THAT ADDRESS SEPARATELY EACH OF THE MERIT

REVIEW CRITERION AND SUB-CRITERION.

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Statement of Project Objectives

Included in the page limitation

The project narrative must contain a single, detailed Statement of Project Objectives that addresses how the project objectives will be met. The Statement of Project Objectives must contain a clear, concise description of all activities to be completed during project performance. It is therefore required that it shall not contain proprietary or confidential business information.

The Statement of Project Objectives is generally less than 8 pages in total for the proposed work. Applicants shall prepare the Statement of Project Objectives in the format provided in the “Statement of Project objectives Template” Appendix of the FOA.

Relevance and Outcomes/Impacts

Included in the page limitation

This section should explain the relevance of the effort to the objectives in the program announcement and the expected outcomes and/or impacts. The justification for the proposed project should include a clear statement of the importance of the project in terms of the utility of the outcomes and the target community of beneficiaries.

Roles of Participants

Included in the page limitation

For multi-organizational or multi-investigator projects,…