FundOpp_DE-FOA-0003501.pdf

Financial Assistance

Notice of Funding Opportunity

Part 1

U.S. Department of Energy (DOE)

Cybersecurity, Energy Security, and Emergency Response

(CESER)

Next Generation of Academia-Based Cyber Research, Development, and Demonstration (RD&D)

Notice of Funding Opportunity Number: DE-FOA-0003501

Application due: February 18, 2025, 8:00PM ET

Modifications to this NOFO will be posted on eXCHANGE and Grants.gov. Grants.gov will automatically notify applicants when a NOFO modification is processed. Applicants must be registered to this NOFO in Grants.gov to receive email notifications. See Registration Requirements in Part 2 of this NOFO.

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. Domestic Entities

2. Foreign Entity Participation

B. Limitation on Number of Applications Eligible for Review C. Cost Sharing

1. Cost Share Requirements

D. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient

III. PROGRAM DESCRIPTION

A. Program Purpose B. Program Goals and Objectives C. Expected Performance Goals D. Topic Areas E. Applications Specifically Not of Interest F. Statement of Substantial Involvement G. Statutory Authority

IV. APPLICATION CONTENT AND FORM

A. Summary B. Application Content Requirements

1. Covered Individual Definition, Designation, and Responsibility

2. Summary of Application Requirements

3. Technical Volume

C. Funding Restrictions

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V. SUBMISSION REQUIREMENTS AND DEADLINES

A. Required Registrations

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

2. eXCHANGE

B. Application Package

1. eXCHANGE

C. Submission Date and Times D. 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.

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 Cybersecurity, Energy Security, and Emergency Response (CESER)

Funding Opportunity Title

Next Generation of Academia-Based Cyber Research, Development, and Demonstration (RD&D)

Announcement Type Initial

Funding Opportunity Number

DE-FOA-0003501

Funding Instrument

Cooperative Agreements

Assistance Listing Number

81.008 Cybersecurity, Energy Security, & Emergency

Response (CESER)

Funding Opportunity Description

University-Based R&D program NOFO will support efforts to efficiently develop and ultimately integrate cybersecurity tools and technologies into energy infrastructure for enhanced resilience. This open NOFO is structured to cover a 5-year period, allowing for ongoing participation and evaluation.

Program Goals & Objective(s)

This initiative extends CESER’s cybersecurity RD&D efforts to utilize academic partnerships to build strategic capabilities within the sector in advancing cybersecurity for energy delivery systems.

Topic Areas

Topic Area 1: Partnerships to Identify and Mitigate National Security Threats

Eligible Applicants • Domestic Entities (Institutes of higher education; for-profit entities;

non-profit entities; state and local government entities and Indian Tribes)

• DOE FFRDC’s and non-DOE FFRDCs and Federal Research Agencies are eligible to apply as a Subrecipient only and are not eligible to apply as a Prime Recipient.

eXCHANGE URL and Helpdesk https://infrastructure-exchange.energy.gov/ InfrastructureExchangeSupport@hq.doe.gov – include NOFO name and number in the subject line

KEY DATES

Notice of Funding Opportunity Issue Date:

December 19, Application Deadline:

February 18, 2025

Anticipated Selection Notification Date:

May 21, 2025

Anticipated Award Date:

September 30, Estimated Period of Performance:

October 1, 2025 – September 30, https://infrastructure-exchange.energy.gov/ mailto:InfrastructureExchangeSupport@hq.doe.gov

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1. Funding Details

Approximate total available funding including all topic areas: $10,000,000 in FY 2025

Topic Area 1: Partnerships to Identify and Mitigate National Security Threats

• Approximate total available funding: $10,000,000 in FY 2025

• Approximate number of awards: 1

• Approximate dollar amount of individual awards: $10,000,000

• Minimum cost share required: 20% of total project costs for Research & Development (R&D) and 50% of total project costs for Demonstration

• Approximate award project period: 3-5 years

• Anticipated length of budget periods: 3-5 years

DOE expects to make $10M of Federal funding available under this topic. As appropriate and/or if additional funding is available, additional award(s) may be selected.

2. Period of Performance

DOE anticipates fully funding awards as a single budget period. Project continuation throughout that period will be contingent upon several elements, including satisfactory performance and DOE’s Go/No- Go decision(s) at appropriate project milestone(s). For a complete list of factors and more information on the Go/No-Go review, see the NOFO Part 2, Award Administration Information.

B. Executive Summary

The Office of Cybersecurity, Energy Security, and Emergency Response (CESER) mission is to strengthen the security and resilience of the U.S. energy sector from cyber, physical, and climate-based risks and disruptions. A dedicated initiative aligned with the CESER mission is the University-Based R&D program to collaboratively engage in research, development, and demonstration (RD&D) activities to help reduce the risk that a cyberattack might disrupt our nation’s critical energy delivery infrastructure. CESER dedicates a portion of its cybersecurity R&D efforts to this program, where awards are selected through competitive announcements. This open NOFO is designed to incorporate and use this funding vehicle for the CESER University-Based R&D program, allowing for ongoing participation and evaluation.

C. Agency Contact Information

Office of Cybersecurity, Energy Security, and Emergency Response (CESER) U.S. Department of Energy 1000 Independence Ave SW Washington, D.C. 20585

For questions relating to this specific NOFO, please send emails to nextgenerationcyberresearch@netl.doe.gov.

DISCLAIMER: Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. If the application contains information that the applicant organization considers to be trade secrets, information that is commercial or financial, or

Version 1.0 Page 7 of 30 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. 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;

• For-profit organization;

• Nonprofit organization;

• State and local governmental entities; and

• Indian Tribes, as defined in section 4 of the Indian Self-Determination and Education Assistance Act, 25 U.S.C. § 53041

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.

2. 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

1 “Indian Tribe,” for the purposes of this NOFO and as defined in in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. § 5304), means any Indian tribe, band, nation, or other organized group or community, including any Alaska Native village or regional or village corporation as defined in or established pursuant to the Alaska Native Claims Settlement Act (85 Stat. 688) [43 U.S.C. § 1601, et seq.], which is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians. Federally Recognized Indian Tribes are also considered disadvantaged communities for the purposes of Justice40 requirements in this NOFO per https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf.

https://uscode.house.gov/view.xhtml?req=(title:25%20section:5304%20edition:prelim) https://uscode.house.gov/statutes/pl/92/203.pdf#:~:text=688%20PUBLIC%20LAW%2092-203-DEC.%2018%2C%201971%20%5B85%20STAT.,and%20for%20other%20purposes.%20Alaska%20Native%20Claims%20Settlement https://uscode.house.gov/view.xhtml?req=(title:43%20section:1601%20edition:prelim) https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf

Version 1.0 Page 9 of 30 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 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 FFRDCs2 are eligible to apply for funding as a subrecipient but are not eligible to apply as a recipient.

• 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.

2 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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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 Applications Eligible for Review

An entity may submit multiple applications for each topic area of this NOFO as long as each 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).

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 Share 20% and 50% The cost share must be at least 20% of the total project costs3 for research and development projects4 and 50% of the total project costs for demonstration and commercial application projects.5

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

4 Energy Policy Act of 2005, Pub. L. 109-58, sec. 988. Also see 2 CFR 200.306 and 2 CFR 910.130 for additional cost sharing requirements.

5 Energy Policy Act of 2005, Pub. L. 109-58, sec. 988. Also see 2 CFR 200.306 and 2 CFR 910.130 for additional cost sharing requirements.

https://sanctionslist.ofac.treas.gov/Home/SdnList

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D. FFRDC Eligibility Criteria

1. 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.

C. 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.

Limit on FFRDC Effort The scope of work to be performed by the FFRDC should not be more significant than the scope of work to be performed by the applicant.

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Section III: Program Description

III. Program Description

A. Program Purpose

University-Based R&D involves unbiased, technology focused activities that, when combined with industry priorities and guidance, results in real-world, impactful solutions. By leveraging the diverse expertise of academia, this academic partnership initiative aims to investigate innovative cybersecurity solutions for the energy sector fostering technological advancement. University-Based R&D is guided by Industry Advisory Boards (IAB). Project activities reflect priorities agreed upon by IAB representatives.

These research partnerships integrate rigorous academic approaches with real-world expertise. These academic partnership projects are multidisciplinary, which brings in power system operations, physics, computer science, these projects often involve partnerships with electric utilities, vendors, suppliers, national labs, and universities all working closely together towards the vision of resilient energy delivery systems. The academic partnership approach involves creating a research pipeline leading to cybersecurity products, tools and technologies that would be effective and affordable with the intention of being deployed and broadly adopted across the energy sector. This synergistic effort bridges the gap between academic cutting-edge research and the commercialization of resulting tools and technologies that will strengthen energy sector cybersecurity.

B. Program Goals and Objectives

This initiative extends CESER’s cybersecurity RD&D efforts to utilize academic partnerships to build strategic core capabilities within the sector in advancing cybersecurity for energy delivery systems. Industry participants, including asset owners/operators as well as solution providers, will provide guidance on the energy sector’s highest priority cybersecurity needs to their university partner teams, and work in partnership to innovate critical energy infrastructure able to survive a cyber-incident while sustaining critical functions.

Detailed technical descriptions of the specific Topic Areas are provided in the sections that follow.

C. Expected Performance Goals

CESER will not prescribe a list of success metrics because applicant proposed research questions and technical solutions within these topic areas may vary. The application should define appropriate success metrics that are clearly connected to one or more specific use cases for managing energy sector risk.

D. Topic Areas

Additional areas of interest beyond those described below may be identified, in which case this NOFO document will be amended as appropriate.

Topic Area 1: Partnerships to Identify and Mitigate National Security Threats

Electricity asset owners and operators have the primary responsibility to protect their existing systems from cyberattacks. Researchers should establish partnerships among national laboratories, universities, electricity sector utilities, and state and local government entities. These partnerships will research, develop, test, and validate cutting-edge cybersecurity technology, processes, frameworks, and/or

Version 1.0 Page 13 of 30 analytics capable of mitigating real world threats to critical infrastructure. The developed cutting-edge cybersecurity technology must be demonstrated in a real-world environment to validate its performance and scalability for broad electricity sector adoption. These partnerships will provide valuable feedback and resources to support adoption of the proposed cybersecurity technology by the energy sector.

Researchers will focus on the research, development, and use of emerging technologies that are designed for the operational technology environment, capable of identifying and mitigating the prevalent and constantly evolving national security threats. Successful applications will showcase the feasibility and effectiveness of the emerging technology by integrating with existing electricity systems or high-fidelity testbeds that accurately replicate utility operations. Recipients should include research, iterations, and refinement activities in their approach. It must be demonstrated through letters of intent that all parties involved have been consulted and are fully committed to the proposed effort.

E. 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 Context 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).

F. 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).

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.

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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.

G. Statutory Authority

The programmatic authorizing statute 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 CFR Part 200 as adopted and supplemented by 2 CFR Part 910.

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Section IV: Application Content and Form

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

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

B. 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, a 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 manager; and any individual regardless of title that is functionally performing as a PI or project manager. Status as a consultant, graduate (master’s or PhD) student, or postdoctoral associate does not automatically disqualify a person from being designated as a “covered individual” if they meet the definition in (a) above.

The applicant is responsible for assessing the applicability of (a) above, against each person listed on the application. Further, the applicant is responsible for identifying any such individual to DOE for designation as a covered individual, if not already designated by DOE as described above.

The applicant’s submission of a current and pending support disclosure and/or biosketch/resume for a particular person serves as an acknowledgement that DOE designates that person as a covered individual.

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

2. Summary of Application Requirements

Component File

Format Page Limit

File Name

Application for Federal Assistance

(SF-424)

PDF n/a ControlNumber_LeadOrganization_

Technical Volume PDF 15 ControlNumber_LeadOrganization_ TechnicalVolume

Letters of Commitment PDF 1 page each

ControlNumber_LeadOrganization_ LOCs

Statement of Project Objectives MS Word

5 ControlNumber_LeadOrganization_

SOPO

Budget Information Non-Construction Programs (SF-424A)

PDF n/a ControlNumber_LeadOrganization_

SF-424A

Budget Justification Workbook MS Excel n/a ControlNumber_LeadOrganization_ Budget_Justification

Subrecipient Budget Justification MS Excel n/a ControlNumber_LeadOrganization_ Subrecipient_Budget_Justification

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

PDF n/a ControlNumber_LeadOrganization_

WP

Authorization for Non-DOE or DOE FFRDCs

PDF n/a ControlNumber_LeadOrganization_ FFRDCAuth

Waiver for Foreign Entity Participation PDF n/a ControlNumber_LeadOrganization_

FEW

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

PDF n/a ControlNumber_LeadOrganization_

FWW

Resumes (Research and Development (R&D))

PDF 3 pages each

ControlNumber_LeadOrganization_ Resumes

Current and Pending Support (for each covered individual)

PDF n/a ControlNumber_LeadOrganization_

CPS

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_ControlNumber_ LeadOrganization_TFC

Potentially Duplicative Funding Notice PDF n/a ControlNumber_LeadOrganization_

PDFN

Data Management Plan PDF n/a ControlNumber_LeadOrganization_

DMP

Location(s) of Work Excel n/a ControlNumber_LeadOrganization_

LOW

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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Environmental Questionnaire PDF n/a ControlNumber_LeadOrganization_

ENV

Disclosure of Lobbying Activities, if applicable (SF-LLL)

PDF n/a ControlNumber_LeadOrganization_

SF-LLL

Certification Regarding Lobbying (OMB 4040-0013)

PDF n/a ControlNumber_LeadOrganization_ Cert Lobbying

Summary for Public Release PDF 1 ControlNumber_LeadOrganization_ Summary

Summary Slide MS Power Point

1 ControlNumber_LeadOrganization_ Slide

2. 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.

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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/NNSA will evaluate and consider only those applications that address separately each of the merit review criterion and sub-criterion.

Commercialization Plan To further the goals of this NOFO, each applicant must submit a commercialization plan that includes plans for technology maturation, technology licensing, and U.S. Manufacturing commitments. 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 NOFO, including any background intellectual property (IP) necessary to use the IP developed under the NOFO.

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.

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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."

• 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.

Milestone Log and Project Timeline (Not included in page limitation) Provide milestones for each phase of the project. Each milestone should be linked to a specific Task or Subtask and include a title, planned completion date, and a description of the method/process/measure used to verify completion. Milestones should be quantitative and show progress toward budget period and/or project goals. Conversely, periodic, mandatory progress reports are not considered to be Milestones.

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

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

C. 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

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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.

Build America Buy America Requirements for Infrastructure Projects

NOFO Part 1 Applicable to awards made under this NOFO

1. Build America Requirement for Infrastructure Projects Awards funded through this NOFO that are for, or contain, construction, alteration, maintenance, or repair of public infrastructure in the United States undertaken by applicable recipient types, require that:

• All iron, steel, and manufactured products used in the infrastructure project are produced in the United States; and

• All construction materials used in the infrastructure project are manufactured in the United States.

Please refer to the NOFO Part 2, Buy America Requirements for Infrastructure Projects; Required Use of American Iron, Steel, Manufactured Products, and Construction Materials and 2 CFR Part 184 to determine whether the Buy America Requirement applies and if they should consider the application of the Buy America Requirement in the proposed project’s budget and/or schedule. (Note that the Buy America Requirement does not apply to prime recipients that are For-Profit Entities.)

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-184

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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. Failure to complete these actions could interfere with application or negotiation deadlines or the ability to receive an award if selected. These requirements are outlined in detail in the NOFO Part 2, Get Registered.

A. Required Registrations

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

(SAM)

You must have an active account with SAM.gov. This includes having a Unique Entity Identifier (UEI).

SAM.gov registration can take several weeks. To register, go to SAM.gov Entity Registration and click Get Started. From the same page, you can also click on the Entity Registration Checklist for the information you will need to register.

Each applicant must:

1. Be registered in SAM.gov before submitting an application;

2. Provide a valid Unique Entity Identifier in the application; and

3. Continue to maintain an active registration in SAM.gov with current information at all times during which you have an active federal award or an application or plan under consideration by a federal agency.

DOE may not make a federal award to an applicant until the applicant has complied with all applicable UEI and SAM requirements and, if an applicant has not fully complied with the requirements by the time DOE is ready to make a federal award, the DOE will determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

2. eXCHANGE Register and create an account in the eXCHANGE site identified in the Key Facts section of the NOFO Part 1. This account can be used to apply to open NOFOs in eXCHANGE. To view and submit applications to open opportunities under a specific DOE office(s), you must access the applicable instance of the system. You may need to be registered in more than one instance to submit applications for opportunities managed by different DOE offices.

Each organization or business unit, whether acting as a team or a single entity, should use only one account as the contact point for each submission. Applicants must also designate backup points of contact. This step is required to apply to this NOFO.

https://sam.gov/content/entity-registration

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Section V: Submission Requirements and Deadlines

B. Application Package

1. eXCHANGE The application package requirements are outlined in the Application Content and Form section above.

Several templates for application requirements are included in eXCHANGE. To access these materials, select the appropriate NOFO on the Funding Opportunity page of eXCHANGE.

Note: The maximum file size that can be uploaded to the eXCHANGE website is 50MB. Files larger than 50MB cannot be uploaded and hence cannot be submitted for review. If a file is larger than 50MB but is still within the maximum page limit specified in the NOFO, it must be broken into parts and denoted to that effect. For example:

• TechnicalVolume_Part_1

• TechnicalVolume_Part_2

DOE will not accept late submissions that resulted from technical difficulties due to uploading files that exceed 50MB.

In addition to eXCHANGE, the application forms and instructions are available at https://infrastructure-exchange.energy.gov/Default.aspx.

Electronic Authorization of Applications and Award Documents Submission of an application and supplemental information under this NOFO through electronic systems used by the DOE, including eXCHANGE, constitutes the authorized representative’s approval and electronic signature.

C. Submission Date and Times

All required submissions must be submitted to the eXCHANGE site identified in the Key Facts section of NOFO Part 1 no later than 5 p.m. ET on the dates provided on Key Facts section.

Applicants are strongly encouraged to submit all required application documents at least 48 hours in advance of the submission deadline. Under normal conditions (i.e., at least 48 hours before the submission deadline), applicants should allow at least one hour to submit application documents. Once the application documents are submitted in the eXCHANGE site identified in the NOFO Part 1, applicants may revise or update that submission until the expiration of the applicable deadline. If changes are made to any of these documents, the applicant must resubmit them before the applicable deadline.

DOE will not extend the submission deadline for applicants that fail to submit required information by the applicable deadline due to server/connection congestion.

D. Intergovernmental Review

This NOFO is not subject to Executive Order 12372, Intergovernmental Review of Federal Programs.

https://infrastructure-exchange.energy.gov/Default.aspx https://infrastructure-exchange.energy.gov/Default.aspx

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Section VI: Application Review Information

VI. Application Review Information

A. Standards for Application Evaluation

Applications that are determined to be eligible will be evaluated in accordance with this NOFO and the guidance provided in the “DOE Merit Review Guide for Financial Assistance,” effective October 1, 2020, which is available at: https://energy.gov/management/downloads/merit-review-guide-financial-assistance-and-unsolicited-proposals-current.

B. Responsiveness Review

The following concept papers and applications will be deemed nonresponsive and will not be reviewed or considered:

• Project concepts or approaches not based on established scientific principles.

• Project concepts or approaches identified specifically as NOT of interest (see the Applications Specifically Not of Interest section above).

C. Review Criteria

1. Compliance Criteria All applicant submissions for applications must:

• Comply with the applicable content and form requirements listed in Application Content Requirements and Submission Requirements and Deadlines of the NOFO Part 1 and 2;

• Include all required documents;

• Be uploaded successfully in eXCHANGE site indicated in the Key Facts section above including clicking the “Submit” button; and

• Comply with the submission deadline stated in Key Facts.

DOE will not review or consider submissions submitted through means other than the eXCHANGE site indicated in Key Facts, submissions submitted after the applicable deadline, or incomplete submissions.

Applicants are strongly encouraged to submit all required application documents at least 48 hours in advance of the submission deadline. Under normal conditions (i.e., at least 48 hours before the submission deadline), applicants should allow at least one hour to submit application documents. Once the application documents are submitted in the eXCHANGE site identified in the Key Facts section, applicants may revise or update that submission until the expiration of the applicable deadline. If changes are made to any of these documents, the applicant must resubmit them before the applicable deadline. DOE will not extend the submission deadline for applicants that fail to submit required information by the applicable deadline due to server/connection congestion.

2. Technical Review Criteria

Applications Applications will be evaluated against the technical review criteria shown below.

https://energy.gov/management/downloads/merit-review-guide-financial-assistance-and-unsolicited-proposals-current…