FundOpp_DE-FOA-0003446_Amd_000001.pdf

NOFO Part 1 for Review

Financial Assistance Notice of Funding Opportunity

Part 1

U.S. Department of Energy (DOE) Office of Electricity HARMONY: Human-Centric Analytics for Resilient & Modernized Power sYstems

Notice of Funding Opportunity Number: DE-FOA-0003446

Concept papers due: February 10, 2025, 5:00PM ET Full applications due: April 17, 2025, 5:00PM ET Modifications

All modifications to the Notice of Funding Opportunity (NOFO) are HIGHLIGHTED in the body of the

NOFO.

Modifications to this NOFO will be posted on Grants.gov and the FedConnect portal. Grants.gov and FedConnect will automatically notify applicants when a NOFO modification is processed. Applicants must be registered to this NOFO in Grants.gov to receive email notifications. Register in FedConnect as an interested party to this NOFO for announcement messages. It is recommended that you register as soon after release of the NOFO as possible to ensure you receive timely notice of any modifications or other announcements. See Registration Requirements in Part 2 of this NOFO.

Mod.

No.

Date Description of Modification

1 1/14/2025 Added concept paper submission email address NOFO3446@netl.doe.gov and emphasis that concept papers must be submitted to be eligible for full application submissions (see Section II.B, Section IV.B, and Section V.A).

Extended concept paper and full application deadlines.

mailto:NOFO3446@netl.doe.gov

NOFO Part 1 for Review

Table of Contents

BEFORE YOU BEGIN

Navigating the Notice of Funding Opportunity

I. BASIC INFORMATION

A. Key Facts

1. Funding Details

2. Period of Performance

B. Executive Summary C. Agency Contact Information

II. ELIGIBILITY

A. Eligible Applicants

1. Restricted Eligibility

2. Domestic Entities

3. Foreign Entity Participation

B. Limitation on Number of Concept Papers and Full Applications Eligible for Review C. Cost Sharing

1. Cost Share Requirements

D. FFRDC Eligibility Criteria

1. DOE FFRDCs as the Applicant

2. DOE and Non-DOE FFRDCs as a Subrecipient

III. PROGRAM DESCRIPTION

A. Background and Purpose B. Objectives C. Expected Performance Goals D. Teaming Partnerships E. Topic Area F. Applications Specifically Not of Interest G. Statement of Substantial Involvement H. Statutory Authority

IV. APPLICATION CONTENT AND FORM

A. Summary B. Concept Paper C. Application Content Requirements

1. Covered Individual Definition, Designation, and Responsibility

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2. Summary of Application Requirements

3. Technical Volume

D. Funding Restrictions

V. SUBMISSION REQUIREMENTS AND DEADLINES

A. Concept Paper Submissions B. Required Registrations

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

2. FedConnect

3. Grants.gov

C. Application Package

1. Grants.gov

D. Submission Date and Times E. Intergovernmental Review

VI. APPLICATION REVIEW INFORMATION

A. Standards for Application Evaluation B. Responsiveness Review C. Review Criteria

1. Compliance Criteria

2. Technical Review Criteria

D. Other Selection Factors

VII. SELECTION AND AWARD NOTICES

VIII. AWARD ADMINISTRATION INFORMATION

A. Post-Award Requirements and Administration

1. Real Property and Equipment

2. Rights in Technical Data

3. Cost Share Payment

B. Questions and Support

1. Questions

2. Support

IX. OTHER INFORMATION

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Notice of Funding Opportunity Part 1 Before You Begin

Before You Begin Navigating the Notice of Funding Opportunity The OMB Memorandum M-24-11 directs federal agencies to reduce the burden on applicants in the Notice of Funding Opportunity (NOFO) process and limit the length of the NOFO information requests.

With Fiscal Year (FY) 2025 NOFOs, DOE has separated the NOFO into two parts.

The NOFO Part 1 describes the specific DOE programmatic goals and evaluation criteria, eligibility, and other components that are specific to each funding opportunity. The NOFO Part 2 includes the fixed DOE requirements that generally do not change from NOFO to NOFO, including standard information for the application phase, expectations for award negotiations, and post-award requirements. Applicants must review both the NOFO Part 1 and the NOFO Part 2 prior to applying. To facilitate navigation, you will find links throughout this document to additional information found in Part 2.

There are several required one-time actions applicants must take before applying to this NOFO. Some of these actions may take several weeks, so it is vital applicants build in enough time to complete them.

Failure to complete these actions could interfere with application or negotiation deadlines or the ability to receive an award if selected. If you have previously completed the necessary registrations, make sure your registration is active and up to date. All registrations are free. Please refer to NOFO Part 2, Get Registered, for additional information.

This announcement is published in conjunction with NOFO Part 2 version 1.0.

https://www.whitehouse.gov/wp-content/uploads/2024/04/M-24-11-Revisions-to-2-CFR.pdf

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Section I: Basic Information

I. Basic Information A.Key Facts

Issuing Agency Department of Energy, Office of Electricity

Funding Opportunity Title

HARMONY: Human-Centric Analytics for Resilient & Modernized Power sYstems

Announcement Type Initial release

Funding Opportunity Number

DE-FOA-0003446

Funding Instrument Cooperative Agreements

Assistance Listing Number

81.122 Electricity Research Development and Analysis

Funding Opportunity Description

This NOFO aims to enhance grid reliability and resilience in the face of growing uncertainties and in the age of big data to accelerate pathways towards DOE grid modernization goals. Successful implementation of projects will enable rigorous quantification of risks and uncertainties and their communication to decision-makers and human operators for enhanced grid visibility and resilience.

Objective(s) To advance the state of the art for power system uncertainty and risk metrics to help human operators receive actionable information to better understand, predict, prevent, and mitigate cascading failures in power grids.

Topic Areas Single topic area.

Eligible Applicants Eligibility for prime applicants is restricted to domestic universities, colleges, DOE Federally Funded Research and Development Centers (FFRDCs) and non-profit research institutions and think-tanks.

FedConnect URL and Helpdesk

FedConnect NOFO URL FedConnect Helpdesk

Grants.gov URL and Helpdesk

Grants.gov URL Grants.gov Support

KEY DATES

Notice of Funding Opportunity Issue Date:

12/9/2024

Concept Paper Deadline:

2/10/2025

Anticipated Concept Paper Notification Date:

3/7/2025

Application Deadline:

4/17/2025

Anticipated Selection Notification Date:

7/22/2025

Anticipated Award Date:

10/22/2025

Estimated Period of Performance:

10/22/2025 – 10/21/2028 http://www.fedconnect.net/FedConnect/?doc=DE-FOA-000XXXX&agency=DOE https://fcsupport.unisonglobal.com/support/home https://www.grants.gov/ https://www.grants.gov/support/

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Section I: Basic Information

1. Funding Details

Single Topic Area

• Approximate total available funding: $6,250,000 in FY25

• Approximate number of awards: 5

• Approximate dollar amount of individual awards: $1,250,000

• Minimum cost share required: None

• Approximate award project period: 36 months

• Anticipated length of budget periods: 36 months

2. Period of Performance DOE anticipates making awards comprised of one budget period. Project continuation will be contingent upon several elements, including satisfactory performance and DOE’s Go/No-Go decision. For a complete list and more information on the Go/No-Go review, see the NOFO Part 2, Award Administration Information.

B.Executive Summary The Office of Electricity (OE) provides leadership to ensure that the Nation’s energy delivery system provides reliable, resilient, secure, and affordable electricity. This NOFO would support the Department’s vision to enhance grid reliability and resilience and to accelerate pathways towards grid modernization goals. The objective of this NOFO is to enhance grid reliability and resilience in the face of growing uncertainties and in the age of digital information systems and networks. It is critical to quantify and clearly communicate risk and uncertainties to decision-makers and human operators. This NOFO would seek applications to conduct Research and Development and Demonstration (RD&D) activities that advance the state of the art for power system uncertainty and risk metrics to help human operators receive actionable information to better understand, predict, prevent, and mitigate cascading failures in power grids. This is a newly developing field for the power sector with few, if any, commercial tools. It is therefore assumed this topic area will require an academic or research institution to be heavily involved in the project to achieve program objectives. Therefore, DOE is restricting eligibility to universities, colleges, DOE FFRDCs and non-profit research institutions or think-tanks to serve as the prime applicant.

Prime applicants are encouraged to apply in partnerships with electric sector partners and technology providers to ensure the research remains relevant to industry.

C.Agency Contact Information Office of Electricity U.S. Department of Energy 1000 Independence Ave SW Washington, D.C. 20585

Questions regarding this NOFO must be submitted through the FedConnect portal.

DISCLAIMER: Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. If the application contains information that

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Section I: Basic Information the applicant organization considers to be trade secrets, information that is commercial or financial, or information that is privileged or confidential, the pages containing that information must be identified as specified in the application instructions. When such information is included in the application, it will be withheld from public disclosure to the extent permitted by law, including the Freedom of Information Act, with the understanding that the information will be used or disclosed only for evaluation of the application. The information contained in the application will be protected by DOE from unauthorized disclosure, consistent with the need for merit review of applications of financial assistance awards to assure the integrity of the competitive process and the accuracy and completeness of the information. If a federal financial assistance award is made as a result of or in connection with an application, the federal government has the right to use or disclose the information to the extent authorized by law. This restriction does not limit the federal government’s right to use the information if it is obtained without restriction from another source.

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Section II: Eligibility

II. Eligibility To be considered for substantive evaluation, an applicant’s submission must meet the criteria set forth below. If the application does not meet these eligibility requirements, it will be considered ineligible and removed from further evaluation and ineligible for any award. DOE will not make eligibility determinations for potential applicants prior to the date on which applications to this NOFO must be submitted. The decision whether to apply in response to this NOFO lies solely with the applicant. The information included here is specific to eligibility requirements for this NOFO. For eligibility requirements applicable to all NOFOs, please consult the NOFO Part 2, Eligibility.

A.Eligible Applicants To be considered for substantive evaluation, an applicant’s submission must meet the criteria set forth below. If the application does not meet these eligibility requirements, it will be considered ineligible and removed from further evaluation.

1. Restricted Eligibility In accordance with 2 CFR 910.126, Competition, eligibility for this NOFO is restricted because this is a newly developing field for the power sector with few, if any, commercial tools. It is therefore assumed this topic area will require an academic or research institution to be heavily involved in the project to achieve program objectives. DOE is restricting eligibility to universities, colleges, DOE Federally Funded Research and Development Centers (FFRDCs), and non-profit research institutions or think-tanks to serve as the prime applicant.

2. Domestic Entities Domestic entities are eligible to apply as recipients or subrecipients. The following types of domestic entities are eligible to participate as a recipient or subrecipient of this NOFO:

• Institutions of higher education;

• Nonprofit organization;

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 or under the laws of the United States; have majority domestic ownership and control; and have a physical place of business in the United States.

3. Foreign Entity Participation In general, foreign entities are not eligible to apply as either a recipient or subrecipient. In limited circumstances, DOE may approve a waiver to allow a foreign entity to participate as a recipient or subrecipient.

A foreign entity may submit an application to this NOFO, but the 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 application for each proposed foreign subrecipient. Please see NOFO Part 2, Application Content Requirements for the

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Section II: Eligibility requirements for submission of a foreign entity waiver request. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

Prime recipients and subrecipients must be legally formed in the United States, have majority domestic ownership and control, and have a physical location for business operations in the United States.

Entities that are organized, chartered, or incorporated (or otherwise formed) under the laws of the United States or a particular state or territory of the United States and have a physical location for business operations in the United States are eligible to apply for funding as a recipient or subrecipient.

Foreign Entity Participation A foreign entity is eligible to apply for funding as a recipient if it designates in the application a subsidiary or affiliate incorporated (or otherwise formed) under the laws of a state or territory of the United States to be the recipient. The application must state the nature of the corporate relationship between the foreign entity and domestic subsidiary or affiliate.

Foreign entities may request a waiver of the requirement to designate a subsidiary in the United States as the recipient in the application (i.e., a foreign entity may request that it be the recipient). To do so, the applicant must submit an explicit written waiver request in the application.

NOFO Part 2, Application Content Requirements lists the information that must be included in a request to waive this requirement. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

Participant Limitations Participation of the following entities are limited as follows.

• DOE FFRDCs1 are eligible to apply for funding as a recipient or subrecipient.

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

• Federal agencies and instrumentalities (other than DOE) are eligible to participate as a subrecipient but are typically not eligible to apply as a 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 recipient or subrecipient will be considered non-responsive.

Performance of Work in the United States All work for the awards under this NOFO must be performed in the United States. To request a waiver of this requirement, the applicant must submit an explicit waiver request in the application. Absent an approved waiver, such costs will not be allowable under the award. The NOFO Part 2, Application Content Requirements lists the requirements for submission of a foreign work waiver request.

1 FFRDCs are public-private partnerships that conduct research for the U.S. government. A listing of FFRDCs can be found at http://www.nsf.gov/statistics/ffrdclist/.

http://www.nsf.gov/statistics/ffrdclist/

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Section II: Eligibility

Ineligible Participants The following entities are ineligible for participation in this NOFO as a recipient, subrecipient, or subcontractor.

• In accordance with 2 CFR 200.214, entities banned from doing business with the U.S.

government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in federal programs.

• Entities identified on Department of the Treasury Office of Foreign Assets Control Treasury’s Sanctions Program Specially Designated Nationals list are prohibited from doing business with the United States government and are not eligible. See OFAC - Sanctions List Service (treas.gov).

• 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.

Entity of Concern Prohibition Entities of Concern are prohibited from participating in projects selected under this NOFO (see NOFO Part 2, Eligibility, Other Eligibility Information, Entity of Concern Prohibition section for details and definitions).

B.Limitation on Number of Concept Papers and Full Applications Eligible for Review

An entity may submit multiple concept papers and applications for each topic area of this NOFO as long as each concept paper and associated application describes a unique, scientifically distinct project. If an entity submits duplicate applications, the DOE will only review the last submission. This limitation does not prohibit an applicant from collaborating on other applications (e.g., as a potential subrecipient or partner). To be eligible to submit a Full Application, applicants must submit a Concept Paper by the specified due date and time.

C.Cost Sharing Applicants are expected to follow through on estimated cost share commitments proposed in their applications if selected for award negotiations. Please refer to the NOFO Part 2, Eligibility for more information on Cost Sharing.

1. Cost Share Requirements Cost sharing is not required under this NOFO.

D.FFRDC Eligibility Criteria

1. DOE FFRDCs as the Applicant

A DOE FFRDC is eligible to apply for funding under this NOFO if its cognizant Contracting Officer provides written authorization and this authorization is submitted with the application.

The following wording is acceptable for the authorization:

Authorization is granted for the Laboratory to participate in the proposed project. The work proposed for the Laboratory is consistent with or complementary to the missions of https://sanctionslist.ofac.treas.gov/Home/SdnList

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Section II: Eligibility the Laboratory and will not adversely impact execution of the DOE assigned programs at the Laboratory.

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

2. DOE and Non-DOE FFRDCs as a Subrecipient As long as they have no conflict, DOE and non-DOE FFRDCs may be proposed as a subrecipient on another entity’s application subject to the following guidelines:

Authorization for non-DOE FFRDCs The federal agency sponsoring the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted with the application. The use of a FFRDC must be consistent with its authority under its award.

Authorization for DOE FFRDCs The cognizant Contracting Officer for the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted with the application. The following wording is acceptable for this authorization:

Authorization is granted for the Laboratory to participate in the proposed project. The work proposed for the Laboratory is consistent with or complementary to the missions of the Laboratory and will not adversely impact execution of the DOE assigned programs at the Laboratory.

Funding, Cost Share, and Subaward with FFRDCs The 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 recipient under its DOE award. Such an agreement must be fully executed prior to the FFRDC starting work directly allocable to the FA award. The DOE funding office will provide funding for the DOE FFRDC or non-DOE FFRDC, participating as a sub awardee through the DOE financial assistance award to the recipient.

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

Responsibility The recipient will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to disputes and claims arising out of any agreement between the recipient and the FFRDC.

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Section IV: Application Content and Form

III. Program Description A.Background and Purpose It is critical to quantify and clearly communicate risk and uncertainties to decision-makers and human operators to predict, prevent, mitigate and enable better understanding of cascading failures in power grids.

The ongoing transformation of the power grid is characterized by deep uncertainties2,3, Deep uncertainties where experts cannot agree upon appropriate models, probability distributions, key variables and parameters, and how to value different outcomes4, are growing significantly due to:

1. Integration of distributed assets and intermittent renewable energy sources have shifted power supply,

2. The emergence of prosumers (consumers who also generate electricity),

3. The growing role of third-party aggregators managing these distributed assets,

4. Increased electrification leading to increased interdependencies among critical infrastructure, and

5. Increased digitization with associated cyber risks as well as increased volume and velocity of data.

These grid transformation trends are fundamentally shifting the physics of the power system, and long-standing assumptions that power system operations and simulations have been built on may no longer be accurate. The convergence of power systems and communication systems critical to operations challenges decision makers by requiring information on multi-sector risks associated with data integrity.

In addition to the fundamental changes with grid systems, there are exogenous changes impacting reliability and resilience. The challenge associated with operating the grid under growing areas of uncertainty is further amplified by the changes in the frequency, intensity and (landfall) locations of extreme weather and climate events and increased frequency of compound climate risks under climate change.

To ensure a reliable and resilient grid operations and operational planning in this rapidly evolving landscape and to effectively manage the emerging risks, a more rigorous understanding, characterization, and visualization of uncertainties is crucial.

This necessitates a shift beyond simply characterizing aleatory5 uncertainties, due to statistical, inherent randomness (like signal noise). It is critical to also actively identify, assess, and effectively communicate epistemic1 , systematic uncertainties that stem from lack of clarity on the operational strategies, 2 Haas, C., Jahns, H., Kempa, K. and Moslener, U., 2023. Deep uncertainty and the transition to a low-carbon economy. Energy Research & Social Science, 100, p.103060.

3 Marchau, V.A., Walker, W.E., Bloemen, P.J. and Popper, S.W., 2019. Decision making under deep uncertainty:

from theory to practice (p. 405). Springer Nature.

4 Lempert, R.J., 2003. Shaping the next one hundred years: New methods for quantitative, long-term policy analysis.

5 Hüllermeier, E. and Waegeman, W., 2021. Aleatoric and epistemic uncertainty in machine learning: An introduction to concepts and methods. Machine learning, 110(3), pp.457-506.

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Section IV: Application Content and Form simulations, and system states. Epistemic uncertainties include uncertainties arising from knowledge limitations or incomplete data that system operators and decision-makers maybe have when managing a rapidly changing power system in real time.

Significant advancements have been made in recent years in modeling and managing various sources of uncertainty in power grids, with a primary emphasis on assessing aleatory/statistical uncertainties, capturing variabilities in ‘data rich’ system. However, there are still significant gaps, particularly in our understanding and ability to characterize, assess, and communicate epistemic/systematic uncertainties.

These uncertainties are especially critical in "data-poor" systems, where limited historical information about weather patterns, grid behavior, and consumer demand can hinder accurate risk assessment.

Addressing these data and knowledge gaps is essential for building robust and adaptable power systems that can navigate the uncertainties of the future. Filling these gaps requires providing grid operators and decision makers with actionable information that incorporates account both allegory/statistical and epistemic/systematic uncertainties.

Advanced, physics- and human behavior-aware analytics are critical to address challenges related to new and variable system dynamics. These analytics are critical to enabling renewable integration, increased infrastructure decentralization, and infrastructure interdependency under a changing climate.

Uncertainty-informed advanced analytics that extract actionable information from data and knowledge need to consider not only systems’ physics but also human factors to be effective.

B.Objectives This NOFO seeks applications to enhance grid reliability and resilience in the face of growing uncertainties and in the age of big data to accelerate pathways towards grid modernization goals.

Proposed solutions to this Announcement will support and ensure a more secure, resilient, and reliable energy delivery system by mitigating and enabling better understanding of cascading failures in power grids. To ensure a reliable and resilient grid operations and operational planning in this rapidly evolving landscape and to effectively manage the emerging risks, a more rigorous understanding, characterization, and visualization of uncertainties is crucial. Detailed technical descriptions of the major subject matter areas are provided in the sections that follow.

C.Expected Performance Goals Because applicant proposed research questions and technical solutions within this topic area may vary, the NOFO does not prescribe a list of success metrics. However, the application should define success metrics appropriate to the project to be used in technology evaluation.

D.Teaming Partnerships While eligibility for prime applicants to this NOFO is being restricted to universities, colleges, DOE FFRDCs, and non-profit research institutions or think-tanks, partnerships with other entities are encouraged. More specifically, partnerships between research institutions, electric sector partners, and technology providers are encouraged. Example entities for partnerships in each of these categories include, but are not limited to, the following:

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Section IV: Application Content and Form

Research Institutions Electric Sector Partners Technology Providers

• An institution of higher education.

• Research institutions

• Think tanks

• National Labs /

FFRDCs

• 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;

• Investor-owned electric utilities (IOUs)

• Electric wire owning and/or operating entities.

• Regional transmission organizations and independent system operators

• Technology product provider

• Technology developers

• Other organizations that develop or deploy energy technology systems

E. Topic Area This NOFO’s single Topic Area seeks applications to conduct Research and Development and Demonstration (RD&D) activities that advance the state of the art for power system uncertainty and risk metrics to help human operators receive actionable information to better understand, predict, prevent, and mitigate cascading failures in power grids. Projects should support at least one of the following subject matter areas:

1. Risk Analytics

2. Cybersecurity and Grid Communications

3. Human Factors

Examples of projects in each subject matter area include, but are not limited to the following:

Risk Analytics o Advance the state-of-the-art probabilistic risk analysis, and metrics, that reflect both epistemic and aleatory sources of uncertainty in power system operations and planning.

o Push the frontiers of knowledge in risk science that can provide an integrated framework for grid resilience under deep uncertainty6 o Characterize and assess centralized vs decentralized (agile/modular) control architecture’s response to uncertainty.

o Develop novel assumption-deviation analytics7 to allow for effective communication of model’s underlying assumptions to power system decision-makers.

Cybersecurity and Grid Communications o Develop advanced methodologies for quantifying cyber risk in electric power grid systems.

6 Logan, T.M., Aven, T., Guikema, S.D. and Flage, R., 2022. Risk science offers an integrated approach to resilience.

Nature Sustainability, 5(9), pp.741-748.

7 Khorsandi, J. and Aven, T., 2017. Incorporating assumption deviation risk in quantitative risk assessments: A semi-quantitative approach. Reliability Engineering & System Safety, 163, pp.22-32.

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Section IV: Application Content and Form o Develop advanced risk and data analytics tools that streamline vulnerability impact assessment across the supply chain, enhance compatibility checks for diverse system patches, and incorporate human factors to optimize decision-making processes in critical patch management, minimizing disruptions and cost-related hesitations in infrastructure maintenance.

o Ensure secure, interoperable communications at the grid edge with distributed energy resources (DER), through data analytics and human-centered design, enhancing integration and resilience across diverse systems and communication protocol spaces.

o Develop a common operating picture between grid operations centers and network operations centers. Assess the extent to which the coupling of grid network data feeds and grid management system data feeds enhance situational awareness, anomaly detection, and response decisions. Develop solutions and guidelines for building the common operating picture and integrating it into grid operator human-machine interfaces.

Human Factors o Identify topics related to novel market and rate design as well as econometrics of DERs and distributed assets that leverage data analytics and incorporate risks associated with uncertainties in human behavior.

o Characterize, assess, and visualize metrics on power system uncertainty to improve the grid operational human machine interfaces (HMI).

F. Applications Specifically Not of Interest The following types of applications will be deemed nonresponsive and will not be reviewed or considered (Please also refer to the Responsiveness Review section below):

• Applications that fall outside the technical parameters specified in Background and Purpose above and the Topic Areas section above.

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

• Projects related to specific components instead of the holistic grid system

• Projects that are deterministic in nature instead of uncertainty informed

G.Statement of Substantial Involvement DOE anticipates awarding cooperative agreements under this NOFO, which include a statement of DOE’s “substantial involvement” in the work performed under the resulting awards. For cooperative agreements, DOE does not limit its involvement to the administrative requirements of the award.

Instead, DOE has substantial involvement in the direction and redirection of the technical aspects of the project. DOE’s substantial involvement in resulting awards may include the following:

A. DOE shares responsibility with the recipient for the management, control, direction, and performance of the project.

B. DOE may intervene in the conduct or performance of work under this award for programmatic reasons. Intervention includes the interruption or modification of the conduct or performance of project activities.

C. DOE may redirect or discontinue funding the project based on the outcome of DOE’s evaluation of the project at the Go/No-Go decision point(s).

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Section IV: Application Content and Form

D. DOE participates in major project decision-making processes.

E. Reviewing project plans, including as required: project management, testing, cybersecurity, interoperability, data management, and technology transfer/commercialization plan in a timely manner then recommending alternate approaches if the plans do not address critical programmatic objectives.

F. Conducting periodic reviews to ensure adequate progress and that the work accomplishes the program and project objectives. Recommending alternate approaches or shifting work emphasis, if needed.

G. Reviewing scientific/technical reports to ensure programmatic needs and the requirements of the Financial Assistance award instrument, including intellectual property rights, are satisfied and providing comments to the Recipient in a timely manner.

H. Promoting and facilitating technology transfer activities, including disseminating program results through presentations and publications.

I. Serving as scientific/technical liaison between recipients and other DOE programs.

H.Statutory Authority The programmatic authorizing statute is:

• 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 CFR Part 200 as adopted and supplemented by 2 CFR Part 910.

IV. Application Content and Form This section includes application information specific to this NOFO Part 1. Refer to the NOFO Part 2, Application Content and Form for standard information that applies to all DOE NOFOs such as formatting and content requirements, and funding restrictions.

A.Summary The application process includes:

Application Submission Phase Eligibility for Submission

Concept Paper Required to be submitted by the specified due date and time to be eligible to submit an application

Application Must be submitted by the specified due date and time to be eligible for comprehensive merit review.

https://www.congress.gov/bill/95th-congress/senate-bill/826 https://www.google.com/url?sa=t&rct=j&q=&esrc=s&source=web&cd=&cad=rja&uact=8&ved=2ahUKEwjO8qeaxICDAxXQjYkEHQ_aBCoQFnoECBUQAQ&url=https%3A%2F%2Fwww.govinfo.gov%2Fcontent%2Fpkg%2FPLAW-109publ58%2Fpdf%2FPLAW-109publ58.pdf&usg=AOvVaw35-1Seaf_l0HTDoFYay3k0&opi=89978449 https://www.google.com/url?sa=t&rct=j&q=&esrc=s&source=web&cd=&cad=rja&uact=8&ved=2ahUKEwjO8qeaxICDAxXQjYkEHQ_aBCoQFnoECBUQAQ&url=https%3A%2F%2Fwww.govinfo.gov%2Fcontent%2Fpkg%2FPLAW-109publ58%2Fpdf%2FPLAW-109publ58.pdf&usg=AOvVaw35-1Seaf_l0HTDoFYay3k0&opi=89978449

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Section IV: Application Content and Form

B.Concept Paper Each concept paper must be limited to a single concept, technology, or project. The concept paper must conform to the requirements listed below, including the stated page limits.

Section Page Limit Description Cover Page Included in 5 page limitation

The cover page should include the project title, the specific announcement Topic Area being addressed (if applicable), both the technical and business points of contact (including the Administrative Officer, if applicable), names of all team member organizations, the project location(s), and any statements regarding confidentiality.

Technology Description

Included in 5 page limitation

Applicants are required to succinctly describe:

• The proposed technology, including its basic operating principles and how it is unique and innovative;

• The proposed technology’s target level of performance

(applicants should provide technical data or other support to show how the proposed target could be met);

• The current state of the art in the relevant field and application, including key shortcomings, limitations, and challenges;

• How the proposed technology will overcome the shortcomings, limitations, and challenges in the relevant field and application;

• The potential impact that the proposed project would have on the relevant field and application;

• How the proposed location of the proposed project will support technology development and long-term success;

• The key technical risks/issues associated with the proposed technology development plan;

• The impact that DOE funding would have on the proposed project; and

• Any potential impacts on Indian Tribes and describe how the applicant would engage with a potentially impacted Indian Tribe(s).

Addendum Included in 5 page limitation

Applicants are required to succinctly describe the qualifications, experience, and capabilities of the proposed project team, including:

• Whether the Principal Investigator (PI) or Lead Project Manager (LPM) and project team have the skill and expertise needed to successfully execute the project plan;

• Whether the applicant has prior experience which demonstrates an ability to perform tasks of similar risk and complexity;

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Section IV: Application Content and Form

• Whether the applicant has worked together with its teaming partners on prior projects or programs;

• Whether the applicant has adequate access to equipment and facilities necessary to accomplish the effort and/or clearly explain how it intends to obtain access to the necessary equipment and facilities; and

• Applicants may provide graphs, charts, or other data to supplement their Technology Description.

Total concept paper Maximum Page Limit: 5 pages

To be eligible to submit a Full Application, applicants must submit a Concept Paper by the specified due date and time. Save the Concept Paper in a single file named “RecipientName.PDF”. Concept Papers must be submitted via email to NOFO3446@netl.doe.gov by the specified due date and time.

DOE makes an independent assessment of each concept paper based on the technical review criteria for Concept Papers described below. DOE will encourage a subset of applicants to submit applications.

Other applicants will be discouraged from submitting an application. Please see NOFO Part 2, Selection and Award Notices—Concept Paper Notifications.

C.Application Content Requirements Each application must be limited to a single concept. Applications must conform to the following requirements and must not exceed the stated page limits. Please refer to the NOFO Part 2, Application Content and Form for a complete list of application requirements. Detailed guidance on the content and form of NOFO-specific requirements is provided following the Summary of Application Requirements table below.

1. Covered Individual Definition, Designation, and Responsibility Several of the Application Content Requirements listed below and in the NOFO Part 2 are required of covered individuals.

For the purposes of this NOFO, covered Individual means an individual who (a) contributes in a substantive, meaningful way to the development or execution of the scope of work of a project proposed for funding by DOE, and (b) is designated as a covered individual by DOE.

DOE designates as covered individuals any principal investigator (PI); project director (PD); co-principal investigator (Co-PI); co-project director (Co-PD); project manager; and any individual regardless of title that is functionally performing as a PI, PD, Co-PI, Co-PD, or project manager.

In addition, DOE designates technical staff (e.g., postdoctoral fellows/researchers and graduate students) as covered individuals for the purpose of this funding opportunity.

DOE may further designate covered individuals during award negotiations or the award period of performance.

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Section IV: Application Content and Form

2. Summary of Application Requirements

Component File Format

Page Limit

File Name

Application for Federal Assistance

(SF-424)

Form n/a N/A

Technical Volume PDF [15] TechnicalVolume.pdf Letters of Commitment PDF 1 page each LOC.pdf

Impacted Indian Tribes Documentation PDF n/a ImpactedTribes.pdf Statement of Project Objectives MS

Word [5] SOPO.doc or .docx

Project Management Plan PDF [20] PMP.pdf Budget Information Non-Construction Programs (SF-424A)

MS

Excel n/a SF-424A.xls or .xlsx

Budget Justification Workbook MS Excel n/a Budget_Justification.xls or .xlsx

Subrecipient Budget Justification MS Excel n/a Subrecipient_Budget_Justification.x ls or .xlsx

Work Proposal for FFRDC, (see DOE O 412.1A)

PDF n/a WP.pdf

Authorization for Non-DOE or DOE FFRDCs

PDF n/a FFRDCAuth.pdf

Waiver for Foreign Entity Participation PDF n/a FEW.pdf Performance of Work in the United States (Foreign Work Waiver)

PDF n/a FWW.pdf

Resumes (Research and Development (R&D))

PDF 3 pages each

Resumes.pdf

Current and Pending Support (for each covered individual)

PDF n/a CPS.pdf

Digital Persistent Identifier (for each covered individual)

N/A N/A Include in Current & Pending Support

Research Security Training Requirement (for each covered individual)

N/A N/A Include in Current & Pending Support

Transparency of Foreign Connections PDF n/a BusinessSensitive_TFC.pdf Potentially Duplicative Funding Notice PDF n/a PDFN.pdf Data Management Plan PDF n/a DMP.pdf Project/Performance Site Location(s) Form n/a N/A Environmental Questionnaire PDF n/a ENV.pdf Disclosure of Lobbying Activities, if applicable (SF-LLL)

PDF n/a SF-LLL.pdf

Certification Regarding Lobbying (OMB 4040-0013)

PDF n/a Cert Lobbying.pdf https://www.directives.doe.gov/directives-documents/400-series/0412.1-BOrder-a-chg1-AdmChg https://www.directives.doe.gov/directives-documents/400-series/0412.1-BOrder-a-chg1-AdmChg

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Section IV: Application Content and Form

Summary for Public Release PDF 1 Summary.pdf Summary Slide MS

Power Point

1 Slide.pdf

3. Technical Volume The Technical Volume must conform to the following content and form requirements. This volume must address the technical review criteria as discussed in Technical Review Criteria.

Applicants must provide sufficient citations and references to the primary research literature to justify the claims and approaches made in the Technical Volume. However, DOE and reviewers are under no obligation to review cited sources.

The Technical Volume to the application may not be more than 15 pages, including the cover page, table of contents, and all citations, charts, graphs, maps, photos, or other graphics, and must include all information below. The applicant should consider the weighting of each of the technical review criteria (see Technical Review Criteria) when preparing the Technical Volume.

Cover Page:

The cover page must include all of the following:

• The project title

• Specific NOFO topic areas (if applicable)

• Technical and business POCs (e-mail addresses and telephone numbers)

• Senior/key personnel and other covered individuals

• The project team, including recipient name, entity type and names of all team member organizations

• The project location(s)

• The proposed total federal funding level, cost share and period of performance

• The proposed federal funding level and cost share for each project participant

• Statements regarding confidentiality

A sample Technical Volume Cover Page is included as an attachment to this announcement.

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

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

Merit Review Criteria Discussion The section should be formatted to address each of the merit review criterion and sub criterion listed in “Technical Review Criteria”. Provide sufficient information so that reviewers will be able to evaluate the application in accordance with these merit review criteria. DOE will evaluate and consider only those applications that address separately each of the merit review criterion and sub-criterion.

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Section IV: Application Content and Form

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

Roles of Participants 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 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.

Facilities and Other Resources 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.

Equipment 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 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. Also, list any individuals who are currently, or have been, co-editors with you on a special issue of a journal, compendium, or conference proceedings during the 24 months preceding the submission of this application. If there are no collaborators or co-editors to report, state "None."

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Section IV: Application Content and Form

Graduate and Postdoctoral Advisors and Advisees: List the names and current organizational affiliations of your graduate advisor(s) and principal postdoctoral sponsor(s) during the last 5 years. Also, list the names and current organizational affiliations of your graduate students and postdoctoral associates.

Bibliography (Not included in page limitation) If applicable: Provide a bibliography for any references cited in the Project Narrative section. This section must include only bibliographic citations.

D.Funding Restrictions Program-specific funding restrictions applicable to awards funded under this NOFO are identified below.

Standard funding restrictions are described in the NOFO Part 2, Funding Restrictions section.

Applicable Funding Restrictions

Title Location Additional Information

Allowable Costs NOFO Part 2 Applicable to awards made under this NOFO

Pre-Award Costs NOFO Part 2 Applicable to awards made under this NOFO

Performance of Work in the United States (Foreign Work Waiver Requirement)

NOFO Part 2 Applicable to awards made under this NOFO

Foreign Travel NOFO Part 2 Foreign Travel is not allowed for awards made under this NOFO

Lobbying NOFO Part 2 Applicable to awards made under this NOFO

Equipment and Supplies NOFO Part 2 Purchasing American-made equipment and supplies is applicable to this award.

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Section V: Submission Requirements and Deadlines

V. Submission Requirements and Deadlines There are several one-time actions applicants must take before applying to this NOFO. Some of these may take several weeks, so it is vital applicants build in enough time to complete them.