FundOpp_DE-FOA-0003198.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

Department of Energy (DOE) Office of Electricity (OE)

Distribution Communication and Control Technologies

Research, Development, and Demonstration Funding Opportunity Announcement (FOA) Number: DE-FOA-0003198

FOA Type: Initial Assistance Listing Number: 81.122

FOA Issue Date: 01/18/2024 Submission Deadline for Full Applications: 03/18/2024/11:59:59 PM ET

Expected Date for Selection Notifications: July 2024 Expected Date for Award: September 2024

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 https://www.sam.gov/

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(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.

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 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 https://apply07.grants.gov/apply/OrcRegister https://www.grants.gov/web/grants/applicants/registration.html

DE-FOA-0003198 Page 3 of 98 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.

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).

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 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 C. Objectives D. Applications Specifically Not of Interest

II. Award Information

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

i. Estimated Funding, Number of Awards, and Award Size

ii. Estimated Project Period of Performance

III. Eligibility Information

A. General B. Eligible Applicants

i. Restricted Eligibility

ii. Individuals

iii. Domestic Entities

iv. Foreign Entities

C. Cost Sharing

i. Cost Share Requirements

ii. Legal Responsibility

iii. Cost Share Allocation

iv. Cost Share Types and Allowability

v. Cost Share Verification

vi. 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

i. Application Package

ii. Content and Form of Full Application

iii. SF-424: Application for Federal Assistance

iv. Project/Performance Site Location(s)

v. Other Attachments Form

vi. Project Narrative File – Mandatory Other Attachment

vii. Summary for Public Release File (April 2023)

viii. Project Management Plan

ix. Resume File (April 2023)

x. SF 424A Budget Information – Non-Construction Programs (SF424) File

xi. Budget Justification File

xii. Subaward Budget Justification (if applicable)

xiii. Budget for DOE/NNSA FFRDC/NLs or non-DOE/NNSA FFRDC/NLs, (if applicable)

xiv. Authorization for DOE/NNSA FFRDC/NLs or non-DOE/NNSA FFRDCs/NLs (if applicable)

xv. Environmental Questionnaire

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xvi. Cost Share Commitment Letters (if applicable)

xvii. Team Member Commitment Letters (if applicable)

xviii. SF-LLL: Disclosure of Lobbying Activities (if applicable)

xix. Waiver Requests (if applicable) (April 2023)

xx. Data Management Plan

xxi. Current and Pending Support (April 2023)

xxii. U.S. Competitiveness

xxiii. Transparency of Foreign Connections xxiv.Potentially Duplicative Funding Notice

C. Post Selection Information Requests (April 2023) D. Submission Dates and Times E. Intergovernmental Review F. Other Submission and Registration Requirements

i. Registration Process

ii. Where to Submit

iii. Full Application Proof of Timely Submissions

iv. 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)

i. Requirement

ii. Failure to Comply

iii. 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

i. Risk Assessment (May 2023)

ii. 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

i. Ineligible Submissions

ii. Full Application Notifications

B. Administrative and National Policy Requirements

i. Award Administrative Requirements

ii. Unique Entity Identifier Requirements and System for Award Management (April 2023)

iii. Uniform Commercial Code (UCC) Financing Statements

iv. Foreign National Participation (April 2023)

v. Export Control (April 2023)

vi. Statement of Federal Stewardship

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vii. Statement of Substantial Involvement

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

ix. Conference Spending

x. Indemnity

xi. Go/No-Go Review

xii. Interim Conflict of Interest Policy for Financial Assistance

xiii. Participants and Collaborating Organizations

xiv. Current and Pending Support

xv. Fraud, Waste and Abuse (April 2023)

xvi. Human Subjects Research (April 2023)

xvii. Real Property and Equipment

xviii. Subject Invention Utilization Reporting

C. Reporting

i. Reporting Requirements

ii. Subaward and Executive Reporting

D. Applicant Representations and Certifications

i. Lobbying Restrictions

ii. Nondisclosure and Confidentiality Agreements Representations

iii. 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. Program Covered Under Special Protected Data Statute (December 2014) 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)

T. Affirmative Action and Pay Transparency Requirements U. Foreign Collaboration Considerations

IX. Appendices

Appendix A – Cost Share Information

Appendix B – Waiver Requests For: 1. Foreign Entity Participation; and 2. Foreign Work

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Appendix C – Required Use of American Iron, Steel, Manufactured Products, and Construction Materials - Buy America Requirements for Infrastructure Projects (April 2023)

Appendix D – Data Management Plan

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I. Funding Opportunity Description

A. Authorizing Statutes

This Funding Opportunity Announcement (FOA) is issued in accordance with statutory authority provided by:

• Public Law (PL) 95-91, DOE Organization Act,

• Section 925(a) of the Energy Policy Act of 2005 (Public Law 109-58) as amended by the Energy Act of 2020 (Public Law 116-260) (42 U.S.C. 16215)

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

The Department of Energy’s (DOE’s) National Energy Technology Laboratory (NETL), on behalf of the Office of Electricity (OE), is releasing a funding opportunity announcement (FOA) to solicit applications to evaluate innovative distribution system communications and control technologies for a secure smart grid.

Our Nation’s energy system is heavily dependent on communications networks for operational reliability and resilience. The evolution of the electric grid to include more distributed energy resources (DERs)—including Information Technology (IT)-connected assets such as solar photovoltaic generation; storage;

and controllable loads such as electric vehicle supply equipment (EVSE), heating, ventilating, and air conditioning (HVAC) systems, and water heaters—requires greater message variety, veracity, velocity, and volume. This messaging includes both grid state information to operators and control and coordination signaling back to grid equipment and DER components.

Demands on grid communications infrastructure are increasing, as are information security risks. The modernization of grid communications systems— to include integrated security—is essential to ensure the efficient, reliable, and resilient operation the electrical power system in a complex and dynamic risk landscape.

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C. Objectives

DERs, such as inverter-based generation, storage, and controllable loads, are proliferating at the grid edge. The operation of this future, bidirectional electricity system will rely on the ability to coordinate these disparate resources at scale, and research is underway to create advanced distribution management systems (ADMS) capable of managing this complexity. These systems will be critical to grid reliability, and they will depend on accurate, timely, and complete data feeds for both situational awareness of grid state and transmission of control and coordination messages to this fleet of devices.

Thus, secure communication systems must link the grid edge, the distribution system, and the bulk power system. It is likely that legacy grid communication systems are not adequate to meet the information security requirements (in the dimensions of availability, integrity, and confidentiality) of this new grid landscape, which includes more stringent operational requirements as well as increased risks, and that new technologies, systems, architectures, and/or protocols will be needed.

This FOA seeks research, development, and demonstration activities that will yield new communications and control technologies to enhance the security of the electric distribution system, particularly with respect to the grid’s capability to prevent, detect, and respond to inadvertent and/or malicious disruptions to critical information flows. A demonstration of the developed solution under the evolving system architecture—including changes occurring on the grid edge—needs to be performed to validate electric utility acceptance. A successful demonstration will lend confidence that the innovation will perform as expected, will increase information security on the grid, and will not interfere with the function of the energy delivery control system. Research findings leading to valuable insights and best practices regarding the design, configuration, and use will be broadly shared with the utility community creating a pathway to accelerate deployment.

Proposed projects must use a utility-led facility and real-time, archived, or high-fidelity simulated operational grid data to develop and evaluate technical solutions.

Applications must include a technical review board consisting of appropriate subject-matter experts. Up to twenty percent of the board’s membership may be filled by staff from the lead utility. Remaining members must come from other electric or communications utilities, National Laboratories, academic institutions, independent consultants, or other outside sources.

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D. Applications Specifically Not of Interest

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” of the FOA, include but are not limited to those that:

o Do not focus on communications between the grid edge and the distribution system;

o Focus on general cybersecurity of grid devices or components;

o Pursue general-purpose approaches without developing and demonstrating a concrete application to improve grid information security; or o Focus exclusively on tools/technologies to be applied retroactively to legacy architectures without addressing the future architecture of the evolving grid.

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

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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

DOE anticipates awarding cooperative agreements under this funding opportunity announcement (See Section VI, “Award Administration Information; Administrative and National Policy Requirements; Statement of Substantial Involvement”).

Cooperative Agreements that result from this FOA will be structured to include the research and development effort as Phase I and the demonstration effort as Phase II. A go/no-go decision point will be incorporated prior to initiation of the demonstration phase (Phase II).

C. Award Overview

i. Estimated Funding, Number of Awards, and Award Size

Federal funds available for obligation through this FOA total $4,800,000; funding under an award will be up to $2,400,000 of federal funds. Award recipient cost share must be at least 20% of the total R&D phase costs and at least 50% of the demonstration phase costs.

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

Estimated Federal Funding

Anticipated No. of

Awards

Anticipated Individual Award Size Maximum DOE Share of Award DOE Share

Cost Share

Total

$4,800,000 2 $2,400,000/ 67%

$1,200,000/ 33% $3,600,000 $2,400,000

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.

DOE may issue one, multiple, or no awards.

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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.

Project continuation will be contingent upon satisfactory performance and go/no-go decision review. At the go/no-go decision points, DOE will evaluate project performance, project schedule adherence, meeting milestone objectives, compliance with reporting requirements, and overall contribution to the program goals and objectives. As a result of this evaluation, DOE will make a determination to continue the project, re-direct the project, or discontinue funding the project.

ii. Estimated Project Period of Performance

DOE anticipates making awards with an estimated project period of performance not exceeding three years. Each project should start demonstration portions of the work no later than the beginning of year two of the effort. All awards will have a single, coextensive budget period. A coextensive budget period and project period are well-suited to these projects mix with research and demonstration effort, as there is no natural break point in these efforts.

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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 electric utilities as the Prime Recipient. This determination is made pursuant to 2 CFR 910.126(b) and the congressional language.

Eligible Applicants

The Prime Recipient must meet the below definition of a domestic electric utility.

Under this FOA, a utitliy is defined as follows:

• rural electric cooperatives;

• utilities owned by a political subdivision of a State, such as a municipally owned electric utility;

• utilities owned by any agency, authority, corporation, or instrumentality of one or more political subdivisions of a State; and

• investor-owned electric utilities (IOUs).

ii. Individuals

U.S. citizens and lawful permanent residents are eligible to apply for funding as a prime recipient or subrecipient.

iii. Domestic Entities

The proposed prime recipient and subrecipient(s) must be domestic entities. The following types of domestic entities are eligible to participate as a prime recipient or subrecipient of this FOA:

1. Institutions of higher education;

2. For-profit entities;

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3. Non-profit entities; and

4. State and local governmental entities, and Indian tribes nations.

To qualify as a domestic entity, the entity must be organized, chartered or incorporated (or otherwise formed) under the laws of a particular state or territory of the United States; have majority domestic ownership and control;

and have a physical place of business in the United States.

DOE/NNSA FFRDCs 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.

Non-DOE/NNSA FFRDCs are eligible to participate as a subrecipient but are not eligible to apply as a prime recipient.

Federal agencies and instrumentalities (other than DOE) are eligible to participate 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.

The FFRDC’s effort, in aggregate, shall not exceed 25 percent of the total estimated cost of the project, including the DOE Share, applicant share, and the FFRDC's portions of the effort.

iv. Foreign Entities

In limited circumstances, DOE may approve a waiver to allow a foreign entity to participate as a prime recipient or subrecipient. A foreign entity may submit a Full Application to this FOA, but the Full Application must be accompanied by an explicit written waiver request. Likewise, if the applicant seeks to include a foreign entity as a subrecipient, the applicant must submit a separate explicit written waiver request in the Full Application for each proposed foreign subrecipient.

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The ”Waiver Requests: Foreign Entity Participation as the Prime Recipient and Performance of Work in the United States” Appendix lists the information that must be included in a foreign entity waiver request. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

C. Cost Sharing

i. Cost Share Requirements

The cost share must be at least 20% of the total allowable costs for research and development project phases and 50% of the total allowable costs for demonstration and commercial application project phases and must come from non-Federal sources unless otherwise allowed by law. The sum of the government share, including FFRDC/National Laboratories (NL) costs if applicable, and the recipient share of allowable costs equals the total allowable cost of the project. (See 2 CFR part 200.306 as amended by 2 CFR part 910.130 for the applicable cost sharing requirements.) Applications need to be prepared so that research and development (Phase I) and demonstration (Phase II) tasks (along with associated budget estimates) are segregated and can be readily identified. Moreover, since cost share requirements differ for research and development (20%) and demonstration (50%) scope, the ability to distinguish between research and development and demonstration work will result in a more accurate determination of overall project cost share.

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 DOE- approved 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.

ii. Legal Responsibility

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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 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.

iii. 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.

iv. 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. A DOE Loan or 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.

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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.

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.

v. Cost Share Verification

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

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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.

vi. 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 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 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.

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Full Applications are deemed responsive if:

• The application meets the technical requirements as described in the “Objectives” 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.

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

F. Number of Submittals Eligible for Review

Applicants may submit more than one Full Application to this FOA. Each application must describe a unique, scientifically distinct project.

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.

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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. 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.

The Full Application must conform to the following requirements:

• 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 when printed using the formatting requirements set forth above and single spaced.

The maximum page limit includes the cover page, references, charts, graphs, data, maps, photographs, and other reference material the applicant may include with the submission. If applicants exceed the maximum page limits indicated below, DOE will review only the authorized number of pages and disregard any additional pages.

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 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

DE-FOA-0003198 Page 21 of 98 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.

i. Application Package

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

ii. 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 shall be limited to a single concept or technology.

Unrelated concepts and technologies shall not be consolidated in a single Full Application.

Full Applications must conform to the following requirements:

Submission Components Format File Name

Full Application

(PDF,

unless stated otherwise)

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

Summary for Public Release (1 page limit) PDF Summary.pdf Project Management Plan (20 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 https://www.grants.gov/

DE-FOA-0003198 Page 22 of 98

Submission Components Format File Name

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“Budget” as the file name (e.g., lanlWP.pdfFFRDC/NL_nameBudget.xls or lincolnWP.pdf).xlsx), and click on "Add Optional Other Attachment" to attach.

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

Team Member Commitment Letters, if applicable

PDF TMCL.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 Current and Pending Support PDF CPS.pdf Transparency of Foreign Connections PDF BusinessSensitive.pdf Potentially Duplicative Funding PDF PDFN.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.

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

iii. 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

DE-FOA-0003198 Page 23 of 98 https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients, under Certifications and Assurances.

iv. 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.

v. 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.

vi. Project Narrative File – Mandatory Other Attachment

The Project Narrative File must be submitted in Adobe PDF format. The project narrative must not exceed 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 information necessary to review the application. See Section VIII, “Other Information; Treatment of Application Information” for instructions on how to mark proprietary application information.

EVALUATORS WILL REVIEW ONLY THE NUMBER OF PAGES

INDICATED ABOVE.

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

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-0003198 Page 24 of 98

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 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 and the specific research question(s) that the project will seek to answer.

Buy America Requirements for Infrastructure Projects: Within the first two (2) pages of the Narrative, include a short statement on whether the project will involve the construction, alteration, and/or repair of infrastructure in the United States. See the “Required Use of American Iron, Steel, Manufactured Products, and Construction Materials – Buy America Requirements for Infrastructure Projects” Appendix for applicable definitions and other information to inform this statement.

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.

DE-FOA-0003198 Page 25 of 98

MAXIMUM

PAGE LIMIT*

(if applicable)

DESCRIPTION

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 the methodology employed in the project and 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 5 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” attachment 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, and it must define relevant performance attributes and metrics that will be used to measure these 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. This section should also describe related previous work on the project’s research questions.

Roles of Participants

Included in the page limitation

For multi-organizational or multi-investigator projects, describe the roles and the work to be performed by each participant/investigator, business agreements between the applicant and participants, and how the various efforts will be integrated and managed.

Multiple Principal Investigators

Included in the page limitation

The applicant, whether a single organization or team/partnership/consortium, must indicate if the project will include multiple PIs. This decision is solely the responsibility of the applicant. If multiple PIs will be designated, the application must identify the Contact PI/Project Coordinator and provide a "Coordination and Management Plan" that describes the organization structure of the project as it pertains to the designation of multiple PIs. This plan should, at a minimum, include:

- process for making decisions on scientific/technical direction;

- publications;

- intellectual property issues;

- communication plans;

- procedures for resolving conflicts; and

- PIs' roles and administrative, technical, and scientific responsibilities for the project.

DE-FOA-0003198 Page 26 of 98

MAXIMUM

PAGE LIMIT*

(if applicable)

DESCRIPTION

Facilities and Other Resources

Included in the page limitation

Identify the facilities (e.g., office, laboratory, computer, etc.) to be used at each performance site listed and, if appropriate, indicate their capacities, pertinent capabilities, relative proximity, and extent of availability to the project. Describe only those resources that are directly applicable to the proposed work. Provide any information describing the other resources available to the project such as machine and electronics shops. Describe the datasets that will be used in this project, including their general content, utilization in the project, and provenance.

Equipment Included in the page limitation

List important items of equipment already available for this project and, if appropriate, note the location and pertinent capabilities of each. If you are proposing to acquire equipment, describe comparable equipment, if any, already at your organization and explain why it cannot be used.

Identification of Potential Conflicts of Interest or Bias in Selection of Reviewers

Not included in the page limitation

Provide the following information in this section:

Collaborators and Co-editors: List in alphabetical order all persons, including their current organizational affiliation, who are, or who have been, collaborators or co-authors with you on a research project, book or book article, report, abstract, or paper during the 48 months preceding the submission of this application.