Financial Assistance Notice of Funding Opportunity

Part 2

This is Part 2 of the Notice of Funding Opportunity (NOFO). The NOFO Part 2 is intended as a companion document to the NOFO Part 1. The NOFO Part 1 describes the specific DOE programmatic goals and evaluation criteria, eligibility, and other components that are specific to each funding opportunity.

Part 2 includes fixed DOE requirements that generally do not change from NOFO to NOFO. This document includes standard information for the application phase and describes expectations for award negotiations and post-award requirements for selected applications. Applicants should review both the NOFO Part 1 and the NOFO Part 2 prior to applying.

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Mod.

No.

Date Description of Modification

1 1/27/2026 NOFO Part 2 has been updated to Version 3.0 to be consistent with Administration priorities and Executive Orders. NOFO Part 1 has also been updated for these changes.

Project/Performance Site Location(s) Form has been updated to use Locations Of Work (LOW) spreadsheet

Data Management and Sharing Plan replaces Data Management Plan

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 Required Registrations in Part 1 of this NOFO.

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Notice of Funding Opportunity Part 2 Table of Contents

I. BASIC INFORMATION

I. GET REGISTERED

SAM.gov Registration Unique Entity Identifier (UEI) Grants.gov Registration

II. ELIGIBILITY

A. Cost Sharing

1. Legal Responsibility

2. Cost Share Allocation

3. Cost Share Types and Allowability

4. Unallowable Cost Share Sources

5. Cost Share Contributions by FFRDCs

6. Cost Share Verification

7. Cost Share Calculation Examples

B. Other Eligibility Information

1. Questions Regarding Eligibility

2. Entity of Concern Prohibition

3. Notice Regarding Eligible/Ineligible Activities

4. Artificial Intelligence (AI) Application Use

III. PROGRAM DESCRIPTION

A. Informational Webinar

IV. APPLICATION CONTENT AND FORM

A. Application Format Summary B. Application Content Requirements

1. Application for Federal Assistance (SF-424)

2. Letters of Commitment

3. Impacted Indian Tribes Documentation

4. Statement of Project Objectives (SOPO)

5. Project Management Plan

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

7. Limitation on Indirect Costs

8. Budget Justification Workbook

9. Subrecipient Budget Justification

10. Work Proposal for DOE FFRDC

11. Authorization for Non-DOE or DOE FFRDCs (if applicable)

12. Waiver for Foreign Entity Participation

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

14. Community Benefits Plan: Job Quality and Equity (non-R&D)

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15. Community Benefits Plan for Research & Development (R&D) Projects

16. Community Partnership Documentation

17. Resumes for Research and Development (R&D) NOFOs

18. Resumes for Non-Research & Development (R&D) NOFOs

19. Current and Pending Support

20. Digital Persistent Identifier (PID)

21. Research Security Training Requirement

22. Transparency of Foreign Connections

23. Potentially Duplicative Funding Notice

24. Data Management Plan

25. Locations of Work

26. Environmental Considerations Summary

27. Environmental Impact Volume

28. Environmental Questionnaire

29. Lobbying Activities

30. Summary for Public Release

31. Summary Slide

C. Additional Requirements

1. Content and Form of Replies to Reviewer Comments

D. Funding Restrictions

1. Allowable Costs

2. Pre-Award Costs

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

4. Foreign Travel

5. Lobbying

6. Equipment and Supplies

7. Davis-Bacon Act Requirements

8. Construction Signage

V. SUBMISSION REQUIREMENTS AND DEADLINES

VI. APPLICATION REVIEW INFORMATION

A. Standard Evaluation and Selection Processes

1. Overview

2. Pre-Selection Interviews

3. Pre-Selection Clarification

4. Recipient Responsibility and Qualifications

5. Due Diligence Review for Research, Technology and Economic Security

6. Evaluation and Administration by Non-Federal Personnel

7. Selection

VII. SELECTION AND AWARD NOTICES

A. Selection Notices

1. Ineligible Submissions

2. Concept Paper Notifications

3. Application Notifications

4. Applicants Selected for Award Negotiations

5. Alternate Selections

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6. Applicants Not Selected for Award Negotiations

B. Post-Selection Information Requests

1. Example Information Requests

2. Entity Risk Assessment

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

4. Flood Resilience

5. Trafficking in Persons

6. Construction Workforce Continuity Plan

7. Operations Workforce Continuity Plan

8. Interim Conflict of Interest Policy for Financial Assistance

9. Participants and Collaborating Organizations

10. Current and Pending Support

11. Transparency of Foreign Connections

12. Prohibition Related to Malign Foreign Talent Recruitment Programs

13. Foreign Collaboration Considerations

14. Data Management and Sharing Plan

C. Award Notices

VIII. AWARD ADMINISTRATION INFORMATION

A. Post-Award Requirements and Administration

1. Award Administrative Requirements

2. Subaward and Executive Reporting

3. National Policy Requirements

4. Applicant Representations and Certifications

5. Statement of Federal Stewardship

6. Uniform Commercial Code (UCC) Financing Statements

7. Whistleblower Protections

8. Fraud, Waste, and Abuse

9. U.S. Manufacturing Commitments

10. Intellectual Property Provisions

11. Go/No-Go Review

12. Conference Spending

13. Invoice Review and Approval

14. Cost Share Payment

15. Notice of Infrastructure Investment and Jobs (IIJA) Act or Inflation Reduction Act Specific Requirements .. 68

16. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty

17. Affirmative Action and Pay Transparency Requirements

18. Construction Signage (if applicable)

19. Human Subjects Research

B. Reporting

IX. OTHER INFORMATION

A. Government Right to Reject or Negotiate B. Commitment of Public Funds C. Treatment of Application Information D. Notice Regarding Eligible/Ineligible Activities

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E. Notice of Right to Conduct a Review of Financial Capability F. Requirement for Full and Complete Disclosure G. Retention of Submissions H. Title to Subject Inventions I. Subject Invention Utilization Reporting J. Government Rights in Subject Inventions K. Copyright L. Export Control M. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment N. Personally Identifiable Information (PII) O. Annual Independent Audits P. Buy America Requirements for Infrastructure Projects; Required Use of American Iron, Steel, Manufactured Products, and Construction Materials Produced in the United States Q. U.S. Manufacturing Commitments R. Acronyms

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Section I: Get Registered

I. Basic Information Please refer to the NOFO Part 1, Basic Information for key facts, Executive Summary, and Agency Contact Information.

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I. Get Registered 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 are already registered, project make sure your registration is active and up to date. All registrations are free.

See Step 3: Submit Your Application

SAM.gov Registration You must have an active account with SAM.gov, the System for Award Management (SAM). This includes having a Unique Entity Identifier (UEI).

• What is it? SAM is a federal procurement database. All entities that want to do business with the federal government MUST be registered in SAM.

• Existing SAM registrations must be updated annually.

• Duration to complete: can take several weeks.

• Registration Link: https://sam.gov/content/home o NOTE: Subrecipients are not required to obtain an active SAM registration but must obtain a Unique Entity Identifier.

• HELP: https://sam.gov/content/help Applicants must allow several weeks for the SAM process to complete. All registrations rely on completion of the SAM registration. (START Early)

Unique Entity Identifier (UEI)

• What is it? UEI is a non-proprietary identifier that has replaced the Federal Government use of

Data Universal Numbering System (DUNS) number effective April 4, 2022.

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

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

• Duration to complete: can take several weeks.

• Registration Link: https://sam.gov/content/entity-registration

• HELP: https://www.fsd.gov/gsafsd_sp

Grants.gov Registration You must have an active Grants.gov registration to receive automatic updates when modifications to this NOFO are posted and to submit an application. Doing so requires a Login.gov registration as well.

https://sam.gov/content/home https://sam.gov/content/home https://sam.gov/content/help https://sam.gov/content/entity-registration https://www.fsd.gov/gsafsd_sp https://www.grants.gov/forms/forms-repository/sf-424-family

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Section I: Get Registered

• What is it? Website used to enable federal grant-making agencies to notify potential applicants of funding opportunities and to submit an application in response to a funding opportunity.

Please note that letters of intent and concept papers will not be accepted through Grants.gov.

• Step-by step instructions for applicants at How to Apply for Grants website https://www.grants.gov/applicants/grant-applications/how-to-apply-for-grants

• Duration to complete: can take several days.

• Registration Link: https://grants.gov

• HELP: https://apply07.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm

• Duration to complete: can take two to three days.

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 information that is privileged or confidential, the pages containing that information should be identified as specified in the application instructions. When such information is included in the application, it is furnished to the federal government in confidence, 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. Information included in the applicant's Community Benefits Plan, or the entire Community Benefits Plan, may be shared with the public at selection at the discretion of DOE, and Applicants should specifically mark any information in the Community Benefits considered trade secrets, commercial, financial or privileged or confidential as per application instructions.

https://www.grants.gov/applicants/grant-applications/how-to-apply-for-grants https://www.grants.gov/applicants/grant-applications/how-to-apply-for-grants https://grants.gov/ https://apply07.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm

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Section II. Eligibility

II. Eligibility

Please refer to the NOFO Part 1, Eligibility for the eligibility criteria specific to your application. This section includes additional information to help applicants understand the standard eligibility requirements across all DOE NOFOs.

A. Cost Sharing This section contains additional information to help applicants understand federal cost sharing requirements. Please refer to the NOFO Part 1, Eligibility—Cost Sharing for the cost sharing criteria specific to your application.

1. Legal Responsibility Although the cost share requirement applies to the entire project, including work performed by members of the project team other than the recipient, the recipient is legally responsible for paying the entire cost share. The recipient’s cost share obligation is expressed in the Assistance Agreement as a static amount in U.S. dollars (cost share amount) and as a percentage of the Total Project Cost (cost share percentage). If the funding agreement is terminated prior to the end of the project period, the recipient is required to contribute at least the cost share percentage of total expenditures incurred through the date of termination.

The recipient is solely responsible for managing cost share contributions by the project team and enforcing cost share obligation assumed by project team members in subawards or related agreements.

2. Cost Share Allocation Each project team is free to determine how best to allocate the cost share requirement among the team members. The amount contributed by individual project team members may vary, as long as the cost share requirement for the entire project is met.

3. Cost Share Types and Allowability Cost share must meet requirements set forth in 2 C.F.R. §§ 200.306 and 910.130, and cost principles set forth in 2 C.F.R. §§ 200.400-476 and 2 C.F.R. §§ 910.352. In addition, cost share must be verifiable upon submission of the application. Cost share may be provided in the form of cash or cash equivalents, or in-kind contributions. Cost share must come from non-federal sources (unless otherwise allowed by law), such as project participants, state or local governments, or other third-party financing. DOE Loan Guarantees cannot be leveraged by applicants to provide the required cost share or otherwise support the same scope that is proposed under a project.

Cost share may be provided by the recipient, subrecipients, or third parties (entities that do not have a role in performing the scope of work). Contractors may not provide cost share. Any partial donation of goods or services is considered a discount and is not allowable.

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

In-kind contributions are those where a value of the contribution can be readily determined, verified, and justified but where no actual cash is transacted in securing the good or service comprising the contribution. For allowable types of cost share, please refer to 2 CFR 910.130, for for-profit entities or 2 CFR 200.306 for all other entity types.

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/section-200.306 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-B/section-910.130 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-E/subject-group-ECFR1f52baf5ea70fff/section-200.400 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-D/section-910.352

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

Funding or property received from state or local governments may be used to meet the cost share requirement, so long as the federal government did not provide the funding to the state or local government.

Cost share contributions must be specified in the project budget, verifiable from the recipient’s records, and necessary and reasonable for proper and efficient accomplishment of the project. As all sources of cost share are considered part of total project cost, DOE will review the cost share dollars according to the same federal regulations as federal dollars to the project. Every cost share contribution must be reviewed and approved in advance by the Grants Officer and incorporated into the project budget before the expenditures are incurred.

4. Unallowable Cost Share Sources The recipient and subrecipient(s) may not use the following sources to meet cost share obligations:

• Cost share derived from federal sources (unless otherwise authorized by law).

• Cost share that does not meet:

o Requirements set forth in 2 C.F.R. §§ 200.306 and 910.130;

o Cost principles set forth in 2 C.F.R. §§ 200.400-476 and 2 C.F.R. §§ 910.352; or o For State Energy Programs, refer to 10 C.F.R. §§ 420.

• Cost share derived from the DOE loan program;

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

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

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

• Expenditures that were reimbursed under a separate federal program;

• Cash or in-kind contributions used to meet cost share requirements for another federal project or program;

• Existing data as an in-kind contribution (e.g., data owned by an entity, that is not routinely sold commercially but is instead donated to the project and assigned a value);

• In general, deferred or avoided costs such as unrealized tax credits; or

• If applicable, other items as identified by DOE Programs and as specified in the applicable NOFO

Part 1, Eligibility—Cost Sharing.

Cost share contributions must be specified in the project budget, verifiable from the recipient’s records, and necessary and reasonable for proper and efficient accomplishment of the project. As all sources of cost share are considered part of total project cost, the cost share dollars will be scrutinized under the same federal regulations as federal dollars to the project. Every cost share contribution must be reviewed and approved in advance by the Grants Officer and incorporated into the project budget before the expenditures are incurred.

5. Cost Share Contributions by FFRDCs Because Federally Funded Research and Development Centers (FFRDCs) are funded by the federal government, costs incurred by FFRDCs generally may not be used to meet the cost share requirement.

FFRDCs may contribute cost share only if the contributions are paid directly from the contractor’s Management Fee or another non-federal source.

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6. Cost Share Verification Applicants are required to provide written assurance of their proposed cost share contributions in their applications. If selected for award negotiations, applicants are required to provide additional information and documentation regarding their cost share contributions. Please refer to the NOFO Part 1, Eligibility—Cost Sharing for specific requirements.

7. Cost Share Calculation Examples Cost sharing is calculated as a percentage of the Total Project Cost. If applicable, FFRDC costs must be included in Total Project Costs.

Example 1, Standard Cost Share Calculation The following is an example of how to calculate cost sharing amounts for a project with $1 million in federal funds with a minimum 20% non-federal cost sharing requirement:

• Formula: Federal share ($) divided by federal share (%) = Total Project Cost

Example: $1,000,000 divided by 80% = $1,250,000

• Formula: Total Project Cost ($) minus federal share ($) = Non-federal share ($) Example: $1,250,000 minus $1,000,000 = $250,000

• Formula: Non-federal share ($) divided by Total Project Cost ($) = Non-federal share (%) Example: $250,000 divided by $1,250,000 = 20%

Example 2, Blended Cost Share Calculation The following example shows the math for calculating required cost share for a project with $2 million in federal funds, with four tasks requiring different non-federal cost share percentages:

Task Proposed Federal Share

Federal Share % Recipient Share %

Task 1 (R&D) $1,000,000 80% 20% Task 2 (R&D) $500,000 80% 20% Task 3 (Demonstration) $400,000 50% 50% Task 4 (Outreach) $100,000 100% 0%

Federal share ($) divided by federal share (%) = Task Cost

Each task must be calculated individually as follows:

Task 1

• $1,000,000 divided by 80% = $1,250,000 (Task 1 Cost)

• Task 1 Cost minus federal share = non-federal share

• $1,250,000 - $1,000,000 = $250,000 (non-federal share)

Task 2

• $500,000 divided 80% = $625,000 (Task 2 Cost)

• Task 2 Cost minus federal share = non-federal share

• $625,000 - $500,000 = $125,000 (non-federal share)

Task 3

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• $400,000 / 50% = $800,000 (Task 3 Cost)

• Task 3 Cost minus federal share = non-federal share

• $800,000 - $400,000 = $400,000 (non-federal share)

Task 4

• Federal share = $100,000

• Non-federal cost share is not mandated for outreach = $0 (non-federal share)

The calculation may then be completed as follows:

Tasks $ Federal Share

% Federal Share

$ Non-Federal Share

% Non-Federal Share

Total Project Cost

Task 1 $1,000,000 80% $250,000 20% $1,250,000 Task 2 $500,000 80% $125,000 20% $625,000 Task 3 $400,000 50% $400,000 50% $800,000 Task 4 $100,000 100% $0 0% $100,000 Totals $2,000,000 $775,000 $2,775,000

Blended Cost Share %

• Non-federal share ($775,000) divided by Total Project Cost ($2,775,000) = 27.9% (non-federal)

• Federal share ($2,000,000) divided by Total Project Cost ($2,775,000) = 72.1% (federal)

B. Other Eligibility Information Refer to NOFO Part 1, Eligibility—Eligible Applicants for NOFO-specific eligibility information. The information below is standard for DOE NOFOs.

1. Questions Regarding Eligibility DOE will not make eligibility determinations for potential applicants prior to the date on which applications to the NOFO Part 1 must be submitted. The decision to apply in response to the NOFO Part 1 lies solely with the applicant.

2. Entity of Concern Prohibition Prohibition No Entity of Concern as defined in Section 10114 of Public Law 117-167 (42 USC 18912), may receive any grant, contract, cooperative agreement, or loan of $10 million or more in Department of Energy funds, including funds made available by the Consolidated Appropriations Act, 2024 (Public Law 118-42)..

In addition, for all awards involving Departmental activities authorized under Public Law 117-167, no Entity of Concern (including an individual that owns or controls, is owned or controlled by, or is under common ownership or control with an Entity of Concern) may receive DOE funds or perform work under any award, subject to certain penalties. See Section 10114 of Public Law 117-167 (42 USC 18912) and Division D, Title III, Section 310 of Division D of the Consolidated Appropriations Act of 2024 (Pub. L. No.

118-42) for additional information.

By submitting an application to this NOFO, the applicant is certifying that neither the applicant nor any of the project participants qualify as Entities of Concern.

https://www.congress.gov/117/plaws/publ167/PLAW-117publ167.pdf#page=105 https://www.congress.gov/118/bills/hr4366/BILLS-118hr4366enr.pdf https://www.congress.gov/117/plaws/publ167/PLAW-117publ167.pdf#page=105 https://www.congress.gov/117/plaws/publ167/PLAW-117publ167.pdf#page=105 https://www.congress.gov/118/bills/hr4366/BILLS-118hr4366enr.pdf https://www.congress.gov/118/bills/hr4366/BILLS-118hr4366enr.pdf

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Definitions Entity of Concern is defined as in section 10114 of Public Law 117-167 (42 USC 18912), also known as the CHIPS and Science Act, as any entity, including a national, that is—

(A) identified under section 1237(b) of the Strom Thurmond National Defense Authorization Act for Fiscal Year 1999 (50 U.S.C. 1701 note; Public Law 105–261);

(B) identified under section 1260Hof the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021 (10 U.S.C. 113 note; Public Law 116– 283);

(C) on the Entity List maintained by the Bureau of Industry and Security of the Department of Commerce and set forth in Supplement No. 4 to part 744 of title 15, Code of Federal Regulations;

(D) included in the list required by section 9(b)(3) of the Uyghur Human Rights Policy Act of 2020 (Public Law 116–145; 134 Stat. 656); or

(E) identified by the Secretary, in coordination with the Director of the Office of Intelligence and Counterintelligence and the applicable office that would provide, or is providing, covered support, as posing an unmanageable threat—

(i) to the national security of the United States; or

(ii) of theft or loss of United States intellectual property.

3. Notice Regarding Eligible/Ineligible Activities Eligible activities under this NOFO include those that describe and promote the understanding of scientific and technical aspects of specific energy technologies, but not those which encourage or support political activities such as the collection and dissemination of information related to potential, planned or pending legislation.

4. Artificial Intelligence (AI) Application Use Applicants must indicate in the project summary the extent to which, if any, generative Artificial Intelligence (AI) technology was used and how it was used to develop their application or proposal.

Note that all submissions to the Department are subject to information and disclosure statutes and regulations, including the Freedom of Information Act, Privacy Act, and 10 CFR § 1004.11. Applicants are responsible for the accuracy, authenticity, and authorship representations of their proposal submission under consideration for merit review, including content developed with the assistance of generative AI tools. The applicant is responsible for ensuring that they are fully capable of performing the work described in the application and that the submission of the application does not and will not infringe or violate any rights of any third party or entity.

Applicants should be aware that the use of generative AI may introduce significant risks, including, but not limited to, research misconduct resulting from fabrication, falsification, or plagiarism when proposing, performing, or reviewing research, or in reporting research results. Federal regulations governing procedures for handling of research misconduct allegations concerning research supported by DOE grants, cooperative agreements, and management and operations (M&O) contracts, are specified in 10 § CFR 733. Specific provisions governing research misconduct procedures for financial assistance recipients (under grants and cooperative agreements) are specified in 2 CFR § 910.132.

https://media.defense.gov/2025/Jan/07/2003625471/-1/-1/1/ENTITIES-IDENTIFIED-AS-CHINESE-MILITARY-COMPANIES-OPERATING-IN-THE-UNITED-STATES.PDF https://www.ecfr.gov/current/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/appendix-Supplement%20No.%204%20to%20Part%20744 https://www.ecfr.gov/current/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/appendix-Supplement%20No.%204%20to%20Part%20744

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Section III. Program Description

III. Program Description

Refer to NOFO Part 1, Program Description for all information related to the specific NOFO goals, objectives, and topic areas, if any.

A. Informational Webinar Refer to the NOFO Part 1, Basic Information—Key Dates to determine if DOE plans to conduct an informational webinar while the NOFO is open.

If applicable, DOE will conduct an informational webinar during the NOFO process. It will be held after the initial NOFO release but before the due date for concept papers or the application if concept papers are not required.

Attendance is not mandatory and will not positively or negatively impact the overall review of any applicant submissions. The webinar will be open to all potential applicants who wish to participate.

Applicants should refrain from asking questions or communicating information that would reveal confidential and/or proprietary information specific to their project.

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Section IV. Application Content and Form

IV. Application Content and Form

This section contains supplemental information to help applicants understand the application content and form requirements outlined in the NOFO including detailed information on the content and naming conventions of the application content. Please refer to the NOFO Part 1, Application Content and Form section for the application contents and form specific to your application.

Note that some of the required application elements below have separate requirements for Research and Development (R&D) versus non-R&D NOFOs. Refer to the NOFO Part 1, Application Content Requirements section for specific instructions.

A. Application Format Summary All submissions must conform to the form and content requirements described below. Refer to the NOFO Part 1, Application Content and Form for the page limits.

Format Requirements

Parameter Requirement

File Format Portable Document Format (PDF) unless stated otherwise

Language English

Paper Size 8.5" x 11"

Margins Not less than 1" (>= 1") on every side

Font Calibri typeface, a black font color, and a font size of 12-point or larger (except in figures or tables, which may be 10-point font). A symbol font may be used to insert Greek letters or special characters, but the font size requirement still applies.

References References must be included as footnotes or endnotes in a font size of 10 or larger. Footnotes and endnotes are counted toward the maximum page requirement.

Page Numbers Page numbers must be included in the footer of every page.

Each submission must not exceed the specified maximum page limit, including cover page, charts, graphs, maps, and photographs when printed using the formatting requirements set forth above and single spaced.

Page Count Limitations If applicants exceed the maximum page limitations, DOE will review only the authorized number of pages and disregard any additional pages.

The following information is intended to address Grants.gov issues typically encountered during the application process. Refer to NOFO Part 1, Submission Requirements and Deadlines—Application Package for the Grants.gov site location and support for technical assistance information.

Additional Grants.gov Information

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Deadlines for Submission

Grants.gov is designed to enforce the deadlines specified in this NOFO. Applications will not be accepted after the due date and time specified on the NOFO Cover Page.

Submission Difficulties

Applicants who experience technical difficulties with submission PRIOR to the NOFO deadline should contact the Grants.gov helpdesk for assistance using the information provided above.

Application Forms

Grants.gov forms are available at https://www.grants.gov/forms/forms-repository/.

Size Limitations The maximum file size that can be uploaded to the Grants.gov website is 10MB. Files larger than 10MB cannot be uploaded and hence cannot be submitted for review. If a file is larger than 10MB 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 10MB.

B. Application Content Requirements The NOFO Part 1, Application Content Requirements identifies which of the following application documents are required including the program-specific requirements such as the technical volume and specified page limits. Each application must be limited to a single concept and must not exceed the stated page limits. DOE reserves the right to not proceed with merit reviews for incomplete applications.

1. Application for Federal Assistance (SF-424) Applicants must complete the SF-424: Application for Federal Assistance first to populate data in other forms. Complete all required fields in accordance with the instructions on the form. The list of certifications and assurances is available on Financial Assistance Forms and Information For Applicants and Recipients | Department of Energy. The list of certifications and assurances can also be found on the site noted above. Complete all required fields in accordance with the instructions on the form.

Please ensure that the dates (Block 17) and dollar amounts (Block 18) on the SF-424 are for the complete project period and not just the first project year, first phase, or another subset of the project period.

2. Letters of Commitment Submit letters of commitment from all subrecipients. In addition, submit letters of commitment from all third-party cost share providers. If applicable, the letter must state that the third party is committed to providing a specific minimum dollar amount or value of in-kind contributions allocated to cost sharing.

Letters of support or endorsement for the project from entities that do not have a substantive role in the project will not be accepted. The following information for each third party contributing to cost sharing should be identified:

Letters of Commitment Content

Organization Name Phone, email, and address https://www.grants.gov/forms/forms-repository/ https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients

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Proposed Dollar Amount to be Provided

Value of the contribution

Cost Sharing Type Cash or In-Kind contribution (or both)

Each letter must not exceed one page and must be signed by an authorized representative of the third-party entity. Save the information in a single PDF file named “LOC” and click on “Add Optional Other Attachment” to attach.

3. Impacted Indian Tribes Documentation For any application that potentially impacts Indian Tribes or is on Tribal land1 including when the potentially impacted Indian Tribe is the applicant, applicants are required to submit additional documentation at the time of application, and possibly during negotiation and prior to award. For any project that potentially impacts Indian Tribes, applicants are required to submit documentation demonstrating that an authorized representative of each potentially impacted Indian Tribe is, at a minimum, aware of the nature of the application and its potential impacts to the relevant Indian Tribes.

The notified authorized representative2 must be holding their position while the NOFO is open for applications, and documentation must demonstrate affirmative awareness of the application (e.g. a delivery record from certified mail, a reply by the authorized representative).

For any project intended to be sited on Tribal land(s) or intersecting with Tribal subsurface rights, applicants are required to submit documentation demonstrating support from the relevant Indian Tribes at the time of application. Documentation of support submitted at the time of application will also be considered.

1 Tribal land is as defined in 25 U.S.C. §§ 3501(2), (3), (4)(A) and (13).

2 An authorized representative must be an elected official or designated leader according to the traditions, constitution, or charter of the Indian Tribe, or someone with relevant delegated authority within the Tribal government. Examples include: Chief, Chairman, Chairwoman, Governor, Nation Representative, President, Chief Executive Officer, Chief Financial Officer, Speaker of the Council, Speaker of the Congress, Tribal administrator.

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Helpful Resources

Item Criteria Letter of Support from Tribal Leadership The letter must be signed by an authorized representative of the Indian Tribe. The signer(s) must be holding their position while the NOFO is open for applications or when subsequently submitted.

Tribal Council Resolution, Board resolution (including the Board of Directors of an Alaska Native Corporation (ANC)), or similar act passed by the legislative body of the Tribal government or Board of Directors of an ANC

Must express support for the project.

Applicants are encouraged to reference or include any applicable community benefits agreements in the Tribal support documentation, and to integrate any Tribal support documentation in the community benefits plan as appropriate, For projects not intended to be sited on Tribal land(s) or intersecting with Tribal subsurface rights, but that may have other potential impacts on Tribal resources or reserved rights, letters of support or resolutions of support are strongly encouraged and, depending on the nature of the impact, may be required if selected for negotiation of an agreement. Applicants are encouraged to reach out to Indian Tribes as early as possible in the application process to give Indian Tribes ample time to evaluate and respond.

The following resources may be useful to help determine if a project may impact Indian Tribe(s) resources or reserved rights and the appropriate contacts. These resources are not exhaustive, and many Indian Tribes have resources or reserved rights which extend beyond their Tribal lands, or are covered within treaties, statutes, or case-law. Applicants are encouraged to do additional research:

Helpful Resources

Item Location Map of Indian Lands https://bia-geospatial-internal.geoplatform.gov/indianlands/

Tribal Treaties Database https://treaties.okstate.edu/

Directory of federally recognized Tribes and Tribal leaders https://www.bia.gov/service/tribal-leaders-directory

Best Practices for Identifying and Protecting Tribal Treaty Rights, Reserved Rights, and other similar rights in federal regulatory actions https://www.bia.gov/sites/default/files/dup/inline-files/best_practices_guide.pdf

To help determine if an Indian Tribe’s resources or reserved rights may be impacted by the project, applicants must address elements listed in the table below, as applicable to the application. If the applicant is an Indian Tribe, these elements should be addressed to ascertain impacts to Indian Tribes https://bia-geospatial-internal.geoplatform.gov/indianlands/ https://bia-geospatial-internal.geoplatform.gov/indianlands/ https://treaties.okstate.edu/ https://www.bia.gov/service/tribal-leaders-directory https://www.bia.gov/sites/default/files/dup/inline-%20files/best_practices_guide.pdf https://www.bia.gov/sites/default/files/dup/inline-%20files/best_practices_guide.pdf

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Indian Tribe Resource or Reserved Rights Impact Assessment Type of Action Assessment Mitigation

If Research and Development (R&D)

Identify any resources which will be [quantified/modeled] on or near Tribal land, traditional homelands, Tribal historic sites, sacred sites, or in areas where an Indian Tribe maintains rights to these resources. Identify which Indian Tribe(s) may be impacted. Explain any instances of uncertainty or confidentiality.

Explain any actions taken by the applicant to mitigate or address any potential impacts identified, including engaging with the potentially impacted Indian Tribe(s), in the application.

If Demonstration and Deployment (D&D)

Identify any elements of the project that will occur on or near Indian land, Tribal historic sites, or sacred sites and describe its potential impacts to Indian Tribes.

Identify the potentially impacted Indian Tribe(s).

Subsurface Resource Activities (carbon sequestration, oil & gas, geothermal, critical minerals, groundwater, etc.)

Identify any Tribal mineral rights, subsurface, or water rights at or near the proposed project location. Explain any relevant studies already performed, such as groundwater studies. Identify which Indian Tribe(s) might be impacted. Explain any instances of uncertainty and any potential for subsurface resource migration which has been considered.

If Hydropower, Offshore Wind, or other Water Related Projects

Identify any Tribal resources or reserved rights (e.g., water, fishing, or other treaty rights) which could be impacted by the proposed project. Identify any Tribal historic sites, sacred sites, or relevant vistas, which could be impacted by the project. Identify the potentially impacted Indian Tribe(s) and explain any sources of uncertainty or confidentiality.

If Infrastructure (e.g., Transmission and Pipeline) Projects

Identify any Indian Land (as defined in 25 U.S.C. § 3501), traditional homelands, or Tribal historic and sacred sites which will be crossed, or adjacent to the proposed infrastructure. Identify which Indian Tribe(s) might be impacted and explain any instances of uncertainty or confidentiality.

Other Actions Not Categorized Above

Identify any [other] proposed actions which may impact an Indian Tribe(s) resources or reserved rights.

Tribal resources and reserved rights include, and are not limited to, an Indian reservation or land (as defined in 25 U.S.C. § 3501) or intersecting Tribal sub-surface rights, historic homelands from which they were removed, cultural sites, sacred sites, water rights, mineral and other subsurface rights, fishing rights, and hunting rights. Identify the Tribe(s) potentially impacted and any sources of uncertainty or confidentiality.

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Applicants are required to document any efforts taken to identify any potential impacts to Indian Tribes, Indian lands, Alaska Native regional and village land, traditional homelands, Tribal rights, or Tribal historic sites, or sacred sites. This includes any correspondence with Indian Tribes. These documents should be available on request to DOE. An applicant’s failure to submit documentation of an Indian Tribe’s awareness, or a letter of support, when required as described above, may constitute grounds for determining an application ineligible, non-responsive to the NOFO, not subject to further review, and/or not otherwise subject to selection or award.

Any application that may potentially impact Indian Tribe(s) may be shared with the potentially impacted Indian Tribe(s). Applicants should include a Notice of Restriction on Disclosure and Use of Data identifying any business sensitive, trade secrets, proprietary, or otherwise confidential information.

Such information shall be used or disclosed only for evaluation of the application or to determine whether the proposed project affects an Indian Tribe(s). If an applicant determines an Indian Tribe(s) will be impacted, the applicant must provide information on the project location, potential impacts and how the applicant will engage with Indian Tribe(s), during the period of performance of the agreement, and, if necessary, after the end of the agreement. If the applicant proposes any activities that could impact Tribal resources or reserved rights, including but not limited to lands, cultural sites, sacred sites, water rights, mineral rights, fishing rights, and hunting rights, they must notify DOE as outlined below in the application submission requirements. DOE will determine if formal government-to-government consultation is needed, and DOE will conduct that consultation accordingly, in addition to any engagement by applicant.

Save the information in a single PDF file named “ImpactedTribes” and click on “Add Optional Other Attachment” to attach.

4. Statement of Project Objectives (SOPO) Refer to the NOFO Part 1, Technical Volume for specific requirements. If required, applicants must submit a SOPO. The SOPO template is available as an attachment to this NOFO in FedConnect, which is provided for the administrative convenience of the applicant. Applicants are strongly encouraged to use the template to complete their SOPO. If the template is not used, the SOPO must address all of the elements described in NOFO Part 1, Technical Volume, and as outlined in the template.

5. Project Management Plan Refer to the NOFO Part 1, Technical Volume for specific requirements. If required, applicants must submit a PMP. The PMP template is available as an attachment to this NOFO in FedConnect, which is provided for the administrative convenience of the applicant. Applicants are strongly encouraged to use the template to complete their PMP. If the template is not used, the PMP must address all of the elements described in NOFO Part 1, Technical Volume, and as outlined in the template.

Save the information in a single Microsoft Word file named “SOPO” and click on “Add Optional Other Attachment” to attach.

6. Budget Information-Non-Construction Programs (SF-424A) If applicants elect to use the budget justification workbook, provided as an attachment to this NOFO in FedConnect, they do not need to submit a separate SF-424A. Applicants must provide a separate budget for each year of support requested and a cumulative budget for the total project period of performance. Use the SF-424A Excel, "Budget Information - Non-Construction

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Programs" form on the DOE Financial Assistance Forms Page at Financial Assistance Forms and Information For Applicants and Recipients | Department of Energy.

You may request funds under any of the Object Class Categories as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable federal cost principles, and are not prohibited by the standard Funding Restrictions described below or any program-specific restrictions in the NOFO Part 1, Application Content and Form—Funding Restrictions.

Save the information in a single Microsoft Excel file named “SF-424A” and click on “Add Optional Other Attachment” to attach.

7. Limitation on Indirect Costs DOE has established a maximum dollar amount that it will reimburse for indirect costs and fringe benefits under its financial assistance awards. The maximum amount of funds to be paid or reimbursed under an award for indirect costs and fringe benefit costs will be calculated as a percentage of the Total Award Amount and the maximum dollar amount will be included in the award terms and conditions.

For for-profit organizations, this maximum dollar amount is calculated as fifteen percent (15%) of the Total Award Amount. For nonprofit organizations, this maximum dollar amount is calculated as 15 percent (15%) of the Total Award Amount.

The Total Award Amount is the sum of total direct costs and indirect cost amounts and comprised of the Federal and, as applicable, the required non-Federal cost share. The maximum indirect and fringe benefits cost reimbursement amount (limitation) applies to all budget periods negotiated at the time of the award and will be adjusted should a modification change the Total Award Amount. The limitation applies to the total award across all budget periods. For multiyear awards, applicants must ensure the indirect costs for each year collectively do not exceed the limitation of the Total Award Amount.

Applicants and recipients must ensure that the sum of indirect costs and fringe benefits in the proposed budget do not exceed the maximum percentage allowed against the total award. For example, a 15% reimbursement limit against a Total Award Amount of $100,000 means the total indirect costs and fringe benefits may not exceed $15,000, leaving $85,000 for direct costs. This limit applies regardless of an applicant’s negotiated indirect cost rate agreement (NICRA), rate proposal, or the election of the de minimis rate (15% of modified total direct costs per 2 CFR 200.414(f)). If an applicant’s NICRA or de minimis rate yields higher indirect cost amounts than the 15% limitation allows, the limited amount must be used.

Applicants should apply a consistent accounting methodology when allocating their indirect rates (e.g., NICRA, Rate Proposal, or de minimis rate per 2 CFR 200.414(f)), that the organization utilizes to develop the indirect rates, to the maximum extent possible without exceeding the reimbursement limit. Subrecipients: The indirect cost reimbursement limit applies to the prime recipient and subrecipients, as applicable. Budgets for subawards must also comply with the limitation based on entity type (i.e., for-profit, nonprofit, or state and local government). The maximum amount of funds to be paid or reimbursed from the recipient to a subrecipient for its indirect costs and fringe benefits under a subaward will be calculated as a percentage (%) of the total subaward amount, inclusive of the Federal and applicable non-Federal cost share amount.

https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients

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Key Definitions per 2 CFR 200.1:

Direct Costs are project costs which can be solely attributed to a specific project, award, or activity with a high degree of accuracy.

Indirect Costs are those costs incurred for a common or joint purpose benefiting two or more cost objectives (e.g., project, award, or activity) and not readily assignable to the cost objectives specifically benefited, without effort disproportionate to the results achieved.

Calculating the amount of reimbursable indirect and fringe benefit costs:

Developing and applying the indirect cost and fringe benefit reimbursement limit as a percentage of the Total Award Amount requires a flexible and iterative approach during budget planning.