FundOpp_DE-FOA-0003217.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

Department of Energy (DOE) Cybersecurity, Energy Security, and Emergency Response (CESER)

ALL HAZARDS ENERGY RESILIENCE

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003217

FOA Type: Initial Assistance Listing Number: 81.008 Cybersecurity, Energy Security, & Emergency

Response (CESER)

FOA Issue Date: 1/4/2024 Submission Deadline for Full Applications: 3/4/2024 at 3:00 PM ET

Expected Date for Selection Notifications: May 2024 Expected Date for Award: September 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 C. Objectives/Topic Areas 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 per Topic Area

III. Eligibility Information

A. General B. Eligible Applicants 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

xvi. Letters of Commitment

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

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

xix. Data Management Plan

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xx. Current and Pending Support (April 2023)

xxi. Transparency of Foreign Connections

xxii. Potentially Duplicative Funding Notice

xxiii. U.S. Competitiveness

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

vii. Statement of Substantial Involvement

viii. Subject Invention Utilization Reporting

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

x. Conference Spending

xi. Indemnity

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xii. Go/No-Go Review

xiii. Interim Conflict of Interest Policy for Financial Assistance

xiv. Participants and Collaborating Organizations

xv. Current and Pending Support

xvi. Fraud, Waste and Abuse (April 2023)

xvii. Human Subjects Research (April 2023)

xviii. Real Property and Equipment

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. Government Rights in Subject Inventions N. Copyright O. Protected Personally Identifiable Information P. Annual Compliance Audits Q. Accounting System R. Indirect Rates S. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment (April 2023) ..85 T. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs (April 2023) U. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty (November 2020)

V. Affirmative Action and Pay Transparency Requirements W. Foreign Collaboration Considerations

IX. Appendices

Appendix A – Cost Share Information

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

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

Appendix D – Statement of Project Objectives Template

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Appendix E – Project Management Plan Template

Appendix F – Data Management Plan

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I. Funding Opportunity Description

A. Authorizing Statutes

The programmatic authorizing statutes are:

• Public Law (P.L.) 95-91, DOE Organization Act, 42 U.S.C. § 7101., et seq. as amended

• P.L. 109-58, Energy Policy Act of 2005, Title IX, Subtitle B, Sec. 925, as amended (42 U.S.C. § 16215)

• P.L. 110-140, Energy Independence and Security Act of 2007, as amended, Sec. 1301 (42 U.S.C. § 17381), Sec. 1304 (42 U.S.C. § 17384), and Sec. 1304A (42 U.S.C. § 17384a)

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) is seeking applications under this Funding Opportunity Announcement (Announcement), on behalf of the following Office of Cybersecurity, Energy Security, and Emergency Response (CESER) Risk Management Tools and Technologies (RMT) programs:

1. Cyber Research, Development, and Demonstration (RD&D) – Advance cybersecurity tools and technologies specifically designed to reduce cyber risks to energy delivery infrastructure, leading to next generation tools and technologies not available today that will become widely adopted throughout the energy sector to reduce a cyber incident disruption to energy delivery.

2. Non-Cyber RD&D Climate Mitigation – Create and implement innovative solutions that will reduce the impact of climate effects, mitigating climate impacts through innovative tools and technologies that will help electric utilities build resilience, operate through extreme events, and enhance rapid recovery.

3. Non-Cyber RD&D Wildfire Mitigation – Mitigate wildfire impacts through innovative tools and technologies that will help electric utilities build resilience, operate through extreme events, and enhance rapid recovery.

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4. University-Based RD&D – Improve the cyber and cyber-physical security posture of the electric sector through the integration of University-Based research and development of scalable cyber-physical platforms for resilient and secure electric power systems that are flexible, modular, self-healing, and autonomous.

5. Physical Security Research and Development (R&D) – There are ongoing reports of vandalism, sabotage, and ballistic damage to utility power substations. Today’s physical protection approaches for utility power substations includes methods such as video surveillance systems, access control, and physical barriers. Physical security improvements are needed to further minimize intrusions and damage.

The energy sector includes electricity and oil and natural gas delivery systems.

Proposed solutions to this Announcement need to support and ensure a more secure, resilient, and reliable energy delivery system through targeted improvements to one or more of the following energy sector processes:

1. Electricity generation, transmission, or distribution (including renewables, energy management systems, and electric vehicles, etc.); and

2. Oil and natural gas production, refining, storage, or distribution.

To further the goals of this FOA, each applicant must submit a commercialization plan that includes plans for technology maturation, technology licensing, and U.S. Manufacturing commitments (See also US Competitiveness in Section IV). NOTE: If software is proposed and is not integrated into a product, the applicant should discuss its software strategy (commercialization or open source) and distribution plans. The plans must encompass both invention and copyright licensing to commercialize technology developed under this FOA, including any background intellectual property (IP) necessary to use the IP developed under the FOA.

C. Objectives/Topic Areas

All applications must address the following for all topic areas:

1. Identify improvements over state of the art for the technology area.

2. Identify how the solution is interoperable, scalable, and manageable and does not adversely impact critical energy delivery functions.

3. A demonstration of the developed solution needs to be performed to promote energy sector acceptance. A successful demonstration will lend confidence that

DE-FOA-0003217 Page 11 of 124 the innovation will perform as expected, will reduce the risk that an incident could disrupt energy delivery, and will not interfere with the function of the energy delivery control system.

4. Include a plan with an estimated timeline outlining a strategy and technical plan for transitioning solutions into practice for the energy sector through commercialization or by making the solution available through open source.

Either approach will require the development of a comprehensive technology strategy that includes market research, distribution strategies, and deployment and scalability requirements.

5. All applications must address the potential impact to latency and availability of the system, if applicable.

6. All applications must include research, development, and demonstration (RD&D) activities.

Topic Area 1 – Operate Through Compromise

The “operate through compromise” strategy accepts that an organization’s systems may be compromised and is focused on quickly detecting and responding to active cybersecurity events. This topic area is requesting the research, development, and demonstration of tools and technologies that can provide “Operate Through Compromise” or in degraded mode. Capabilities resulting from this research are designed to ensure continued operation and/or graceful degradation of some services to minimize the impact an adversary can have on the system. The developed tool or technology must be able to identify and mitigate the cybersecurity threat by minimizing the intended damage and avoiding the further spread of the attack. The technology must include a prioritization/ranking of targets to ensure protection of high-value targets. Emerging technologies such as network segmentation or novel endpoint protections may be incorporated into the proposed innovative approaches.

Specific Requirements

1. Teaming arrangement:

a. Establish an Industry Advisory Board (IAB) with members representing energy sector asset owners/operators and suppliers of energy delivery systems and components. The board members will provide inputs to ensure developed tools and technologies meet energy sector needs, and champion transition of the solutions into real-world energy systems. The board will perform the following functions:

i. Provide advisory input, DE-FOA-0003217 Page 12 of 124

ii. Ensure project activities will be useful to energy sector asset owners/operators, and

iii. Approve the project demonstration site or testbed ensuring it accurately replicates “real-world” energy delivery operations.

b. Independent third party to red team test the developed solution to evaluate the developed tool or technology for vulnerabilities and threat vectors.

2. Identify how the solution addresses the security objectives of availability, integrity, and confidentiality. Typically, availability and integrity are of higher priority in the electric subsector.

3. Honeypot or deception solutions are excluded from the research and should not be included in an applicant’s approach.

Topic Area 2 – Adaptable Zero-Trust Architecture

Many of the components that make up a zero-trust architecture exist today;

however, solutions are needed to develop a holistic zero-trust architecture for operational technology (OT) systems. To securely integrate OT devices and systems, asset owners and operators must be able to ensure the system trustworthiness by verifying device authentication and authorization, verifying commands, and ensuring integrity. To bolster the electricity subsector’s defenses against cyber threats, tools and technologies need to be developed to establish a zero-trust architecture where a verified trusted relationship can be established. This topic area focuses on the development of tools and technologies to verify trustworthiness within OT operations, ensuring integrity across different functions, business lines, and employees. Scalable authentication mechanisms to verify various device elements and entities connecting to the increasingly distributed grid network should be considered.

Specific Requirements

1. Team arrangement:

a. Must leverage partnerships with OT and zero-trust vendors.

b. Establish an Industry Advisory Board (IAB) with members representing energy sector asset owners/operators and suppliers of energy delivery systems and components. The board members will provide inputs to ensure developed tools and technologies meet energy sector needs, and champion transition of the solutions into real-world energy systems. The board will perform the following functions:

i. Provide advisory input,

ii. Ensure project activities will be useful to energy sector asset owners/operators, and

iii. Approve the project demonstration site or testbed ensuring it accurately replicates “real-world” energy delivery operations.

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c. Independent third party to red team test the developed solution to evaluate the developed tool or technology for vulnerabilities and threat vectors.

2. Proposed solutions must address the following principles related to zero-trust architectures. These are extracted from Executive Order 14028 and NIST SP 800- 207, Zero Trust Architecture:

a. Prevent a cybersecurity breach, but if it occurs, prevent/limit internal lateral movement,

b. Multi-factor authentication,

c. Cryptographic technique to ensure the integrity of data at rest and in transit,

d. Continuous verification of the operational of the operational picture via real-time information from multiple sources to determine access,

e. Granular risk-based access control,

f. Access based on least privilege,

g. Monitors for anomalous or malicious activity, and

h. Comprehensive security monitoring.

3. Identify how the solution addresses the security objectives of availability, integrity, and confidentiality. Typically, availability and integrity are of higher priority in the electric subsector.

4. Honeypot or deception solutions are excluded from the research and should not be included in an applicant’s approach.

Topic Area 3 – RD&D of Risk Management Tools and Technologies for Natural Hazards

Applications should address non-cyber risks and hazards to the energy sector, such as those due to climate change and extreme weather. Specifically, applicants’ objectives should be to develop tools that help identify, characterize, detect, and/or mitigate risks to energy infrastructure from water and/or wind damage from various extreme weather events. These tools should help address one of the following areas: 1) enable long term planning, 2) mitigate impacts to energy infrastructure, and/or 3) improve industry’s ability to prepare for and respond to incidents.

Topic Area 4 – RD&D of Tools and Technologies for Energy Infrastructure Resilience to Wildfires

Applications should address the research, development, and demonstration of technology solutions that address the needs of energy stakeholders relative to wildfires. Specifically, applicants should focus on developing and validating technologies that utilize real-life information that can aid in one or more of the following: 1) determining probable equipment and infrastructure failures more accurately, 2) de-risking energy infrastructure and environment interactions relative to wildfires, and/or 3) improve industry’s ability to prepare for and respond to incidents.

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Topic Area 5 – Physical Security Improvements for Utility Power Substations

Recently, there have been many reports of vandalism, sabotage, and ballistic damage to utility power substations. Today’s physical protection approaches for utility power substations includes methods such as video surveillance systems, access control, and physical barriers. Physical security improvements are needed to further minimize intrusions and damage.

This topic area is seeking research, development and demonstration of innovative tools or technologies or capabilities that would provide enhanced substation protection from these physical threats. Research can consider improvements to existing solutions and/or developing novel physical security technologies.

Acceptable research approaches could include:

• Improvements to secure remote access capabilities for field devices with limited bandwidth and computational resource.

• Substation models showing how physical security measures and concepts mitigate the physical damage from various attacks. This model could be used by Utilities to optimize their physical security approaches tailored to their unique layout of their electrical substation.

• Identification and assessment of lower cost barrier materials for transformer ballistic protection.

• Conducting analyses to understand ballistic security implications of increasing perimeter barrier opacity and mitigation plans.

• In-depth analyses of recent substation attacks to maximize the effectiveness of their physical security approach in mitigating damage from these threats.

Specific Requirements

1. Identify the manner in which the application works towards improvements in the state of the art for the subject matter area.

2. Any high technology readiness level application needs to successfully demonstrate the developed solutions at an electric utility. A successful demonstration will lend confidence that the physical security innovation will perform as expected, will reduce the risk that a physical incident could disrupt energy delivery, and will not interfere with the normal function of the energy delivery control system.

3. Include a plan with an estimated timeline outlining a strategy for completing research and transitioning solutions into practice for the electricity subsector through commercialization or by making the solution available through open source.

4. Team arrangement:

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a. Must leverage partnerships with universities, trade associations, nonprofit organizations, and electric utilities.

5. Funding: Up to two $500K awards, or up to $1M for one award.

6. Research must comply with the NERC CIP-014 physical security standard for utility power substations.

Topic Area 6 – University-Based RD&D: Scalable Cyber-Physical Platform

The DOE is focused on building an equitable and resilient clean energy future. This initiative extends CESER’s R&D efforts to utilize University-Based energy industry R&D of scalable cyber-physical solutions to build strategic core capabilities within the sector in advancing cybersecurity for energy delivery systems. Applications sought under Topic Area 6 are restricted to historically black colleges or universities (HBCUs).

This research, development, and demonstration (RD&D) is primarily focused on creating advanced cybersecurity capabilities for electric power utilities. This will involve RD&D of scalable Cyber-Physical Platforms (CPP) for resilient and secure electric power systems that are flexible, modular, self-healing, and autonomous. The proposed project activities should result in CPP tools and technologies that will detect and mitigate incidents in electric power systems. The proposed CPP will integrate and account for cybersecurity aspects of the information technology (IT) and OT networks as well as the grid physics. The integrated CPP will need to identify and protect against anomalous communications and anomalous grid behavior.

Project activities will integrate rigorous academic approaches with real-world expertise. Applicants must propose a team that includes industry owners/operators and/or energy sector solution providers. The energy sector team members will provide industry guidance on the energy sector’s highest priority cybersecurity needs to ensure all project activities are relevant and will yield useful results. By establishing this type of teaming arrangement between academia and industry, it is anticipated that the industry partners will implement the developed solutions. The project teams - academic institutions with asset owners/operators and solution providers – must seek to overcome three systemic challenges:

1. Academia requires industry data to validate their models and R&D results in order to be confident that the research is producing the desired results.

Historically, when not operating in conjunction, acquiring industry data has been challenging to academia due to sensitivity constraints. It is envisioned that active industry engagement will address these challenges.

2. With industry involvement it is envisioned that industry will ensure the value of the research impacts and outcomes for the energy sector.

https://www.nerc.com/pa/Stand/Reliability%20Standards/CIP-014-1.pdf

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3. It is also anticipated that the developed solution from academia will be transitioned to practice by the industry for the benefit of the entire sector.

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/Topic Areas” of the FOA.

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

• Submissions for basic research aimed solely at discovery and/or fundamental knowledge generation.

• Projects that are not focused both on R&D and Demonstration tasks.

• Advancements to existing non-RD&D DOE CESER programs such as

Environment for Analysis of Geo-Located Energy Information (Eagle I), Cybersecurity for the Operational Technology Environment (CyOTE), Cyber- Informed Engineering (CIE), Consequence-driven Cyber-informed Engineering (CCE), or Cybersecurity Capability Maturity Model (C2M2).

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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

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

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

Anticipated Individual Award Size Topic Area

Estimated Federal Funding

Anticipated No. of

Awards DOE Share

Cost Share

Total

Maximum DOE Share of Award

1 – 2 $54,700,000 11 – 18 $4,000,000/71% $1,600,000/29%* $5,600,000 $5,000,000 3 $7,500,000 3 $2,500,000/71% $1,000,000/29%* $3,500,000 $2,500,000 4 $4,700,000 2 $2,400,000/71% $960,000/29%* $3,360,000 $2,400,000 5 $1,000,000 1-2 $500,000/71% $200,000/29%* $700,000 $1,000,000 6 $4,000,000 2 $2,000,000/71% $800,000/29%* $2,800,000 $2,000,000

*Blended cost share: Phase 1 20%/Phase 2 50%

Anticipated Individual Award Size Topic Area Phase Estimated

Federal Funding DOE Share

Cost Share

Total

Maximum DOE Share of Award

1 $43,760,000 $3,200,000/80% $800,000/20% $4,000,000 1 – 2

2 $10,940,000 $800,000/50% $800,000/50% $1,600,000 $5,000,000

1 $2,000,000 $2,000,000/80% $500,000/20% $2,500,000

2 $500,000 $500,000/50% $500,000/50% $1,000,000 $2,500,000

1 $1,920,000 $1,920,000/80% $480,000/20% $2,400,000

2 $480,000 $480,000/50% $480,000/50% $960,000 $2,400,000

1 $800,000 $800,000/80% $200,000/20% $1,000,000

2 $200,000 $200,000/50% $200,000/50% $400,000 $1,000,000

1 $3,200,000 $1,600,000/80% $400,000/20% $2,000,000

2 $800,000 $400,000/50% $400,000/50% $800,000 $2,000,000

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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.

Funding for all awards is contingent upon the availability of funds appropriated by Congress for the purpose of this program and the availability of future-year budget authority.

DOE may issue awards in one, multiple or none of the topic areas and funding by topic area may not be predetermined.

Cooperative Agreements that result from this FOA will be structured to include the research, development, demonstration efforts as separate phases and will include a go/no-go decision point prior to initiation of the demonstration phase. Accordingly, 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%) projects, the ability to distinguish between research and development and demonstration work will result in a more accurate determination of overall project cost share for non-government project team members.

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 per Topic Area

Topic Areas 1-4 and 6 DOE anticipates making awards with an estimated project period of up to three (3) years. It is anticipated that the research and development phase would be approximately up to 2 years and the demonstration phase would be a portion or the entirety of the remaining year.

Topic Area 5 DOE anticipates making awards with an estimated project period of performance of one (1) to two (2) years.

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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. 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;

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.

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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.

ii. 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.

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.

iii. Restricted Eligibility for Topic Area 6

In accordance with 2 CFR 910.126, Competition, eligibility for award is restricted to historically black colleges or universities (HBCUs). DOE is restricting eligibility to meet the goals of Executive Order (E.O.) 14050, “White House Initiative on Advancing Educational Equity, Excellence, and Economic Opportunity through Historically Black Colleges and Universities (WHI-HBCUs).

Applications must be submitted by researchers from HBCUs and their affiliated research institutions and must adhere to the following criteria:

1. The PI and the co-PI on the application must be teaching professors at an HBCU.

2. Proposals from these research institutions must be submitted through the college or university in which they are affiliated.

3. The recipient must perform at least 51% of the work.

iv. 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

DE-FOA-0003217 Page 21 of 124 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] 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.

FFRDC/NL Effort as a Subrecipient The scope of work to be performed by the FFRDC/NL may not be more significant than the scope of work to be performed by the applicant.

Responsibility. The applicant, if successful, will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative

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C. Cost Sharing

i. Cost Share Requirements

The cost share must be at least 20% of the total allowable costs1 for research and development projects and 50% of the total allowable costs for demonstration and commercial application projects and must come from non-Federal sources unless otherwise allowed by law. 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. (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 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.

1 Total project costs is the sum of the government share, including FFRDC costs if applicable, and the recipient share of project costs.

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ii. 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 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. 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.

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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.

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v. 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.

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…