Regional_State_Groups_NOFO_Part_1-DE-FOA-0003617-001.pdf

Financial Assistance Notice of Funding Opportunity

Part 1

Department of Energy (DOE) Office of Nuclear Energy Staff Support for Regional Engagement with the U.S. Department of Energy, Office of Nuclear Energy, Office of Storage & Transportation on Radioactive Materials Transportation Planning Notice of Funding Opportunity Number: DE-FOA-0003617

Application Due: September 30, 2026 at 6:00pm Eastern Standard Time

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

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Amendment #1

1. NOFO Part 1 Page 26 and 27: The due date for applications was changed from July 2, 2026 at

5:00pm to the correct date due date of September 30, 2026 at 6:00pm.

2. NOFO Part 2 Page 13: The due date for applications was changed from July 2, 2026 at 5:00pm to the correct date due date of September 30, 2026 at 6:00pm.

3. Provide answers to submitted questions regarding this NOFO.

Table of Contents

BEFORE YOU BEGIN

A. 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

3. Performance of Work in the United States

4. Ineligible Participants

B. Limitation on Number of Concept Papers and 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. Background B. Program Purpose C. Program Goals and Objectives D. Expected Performance Goals

1. Performances and Deliverable Requirements

2. Supplemental Program Tasks

3. Supplemental Program Deliverables

E. Topic Areas F. Applications Specifically Not of Interest G. Statutory Authority

IV. APPLICATION CONTENT AND FORM

A. Use and Disclosure of Application Information B. Summary C. Application Content Requirements

1. Covered Individual Definition, Designation, and Responsibility

2. Summary of Application Requirements

3. Impacted Indian Tribes Documentation

4. Project Management Plan

D. Additional Requirements

1. Buy America Preference for Infrastructure Projects

V. SUBMISSION REQUIREMENTS AND DEADLINES

A. Submission Date and Times

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B. 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. Government Rights in Data

IX. OTHER INFORMATION

A. Acronyms

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Notice of Funding Opportunity, Part 1

Before You Begin

A. Navigating the Notice of Funding Opportunity

To reduce the burden on applicants in the Notice of Funding Opportunity (NOFO) process and limit the length of the NOFO information requests, we separated the NOFO into two parts.

The NOFO Part 1 describes the Department of Energy (DOE) program goals and evaluation criteria, eligibility, and other components specific to each funding opportunity.

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. You must review both parts before applying. To assist you in the process, you will find references throughout this document to additional information in Part 2.

You must also take several one-time actions before applying. Some of these actions may take several weeks, so be sure to allow yourself enough time to complete them. If you do not complete all required steps, it could interfere with application and negotiation deadlines or your ability to receive an award if selected. If you have already completed these one-time registrations, make sure they are active and up to date. All registrations are free. You can find additional information about registration in NOFO Part 2, Get Registered.

Hyperlinks are provided for the applicant’s ease of reference. Links, and the information contained in them, may change over time. It is up to an individual applicant to make sure that they have the current information that is contained in the links.

This announcement is published with NOFO Part 2.

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I. Basic Information A. Key Facts Issuing Agency

Department of Energy, Office of Nuclear Energy (NE)

Funding Opportunity Title

Staff Support for Regional State Engagement with the U.S.

Department of Energy, Office of Nuclear Energy, Office of Storage & Transportation on Radioactive Materials Transportation Planning

Announcement Version

This is an original announcement, and DOE will only accept new applications under this initial announcement.

Funding Opportunity Number

DE-FOA-0003617

Funding Instrument

Cooperative Agreement

Expected Total Available Funding

Up to $6.8 Million may be made available for all awards under this NOFO, subject to the availability of future appropriations. DOE anticipates making four (4) awards from this NOFO, one (1) for reach region listed below. Funding for all awards combined would be in tranches of up to $1.36 million per year for the 5-year period of fiscal years (FYs) 2027 through 2031. Funding for each individual award would be in tranches of up to $340,000 per year for the 5-year period of fiscal years (FYs) 2027 through 2031

Assistance Listing Number and Name

81.121

Announcement Type

Research, Development, and Demonstration

Funding Opportunity Description

Staff Support for Regional State Engagement with the United States (U.S.) Department of Energy, Office of Nuclear Energy, Office of Storage & Transportation on Radioactive Materials Transportation Planning

Program Goals & Objectives

Facilitate engagement between DOE and State government representatives in four (4) specific regions (Eastern Region, Western Region, Midwestern Region, or Southern Region of the United States) and the Office of Storage & Transportation (DOE-S&T) in planning for future large-scale DOE transportation of commercial used nuclear fuel (UNF) and high-level radioactive waste (HLW), and addressing related DOE program issues that may impact a State or region. DOE anticipates making a total of four (4) awards e from this NOFO, one

(1) award for each region.

Topic Areas

DOE anticipates making four (4) individual awards, one (1) for each region:

• Eastern Region

• Midwestern Region

• Southern Region

• Western Region

KEY DATES

All deadlines are 5:00 p.m. ET unless indicated otherwise Notice of Funding Opportunity Issue Date:

August 31, 2026

Application Deadline:

September 30, 2026

Anticipated Selection Notification Date:

October 22, 2026

Anticipated Award Date:

November 19, 2026

Estimated Period of Performance:

December 1, 2026 – September 30, 2031

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Eligible Applicants Domestic Entities (Institutes of higher education, for-profit entities, non-profit entities, State and local government entities, and Indian Tribes) are eligible to apply as prime applicants and subrecipients.

Foreign entities may be eligible to apply as prime applicants and subrecipients (subject to waiver approval).

Federally funded research and development centers (FFRDCs) may be eligible to apply as subrecipients but may not apply as prime applicants (subject to Contracting Officer approval).

NOFO URL and Email

Regional_State_Tribal_Groups@id.doe.gov

Grants.gov • Registration Link: https://grants.gov HELP: Grants.gov provides 24/7 support. You can call 1-800-518- 4776 or email support@grants.gov. Retain your ticket number.

1. Funding Details

Multiple Topic Areas Funding of up to $6.8 million may be made available for all awards under this NOFO, subject to the availability of future appropriations. DOE anticipates making four (4) awards from this NOFO, one (1) for reach region listed below. Funding for all awards combined would be in tranches of up to $1.36 million per year for the 5-year period of fiscal years (FYs) 2027 through 2031. Funding for each individual award would be in tranches of up to $340,000 per year for the 5-year period of fiscal years (FYs) 2027 through 2031.

Topic Area 1: Eastern Region

• Approximate total available funding: $1,700,000.00

• Approximate number of awards: 1

• Approximate dollar amount of individual awards: $1,400,000.00–$1,700,000.00

• Minimum cost share required: No cost share for this project

• Approximate award project period: 60 Months

• Anticipated length of budget periods: 12 Months

Topic Area 2: Midwestern Region

• Approximate total available funding: $1,700,000.00

• Approximate number of awards: 1

• Approximate dollar amount of individual awards: $1,400,000.00–$1,700,000.00

• Minimum cost share required: No cost share with this project

Topic Area 3: Southern Region mailto:Regional_State_Tribal_Groups@id.doe.gov https://grants.gov/ mailto:support@grants.gov

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• Approximate number of awards: 1

• Approximate dollar amount of individual awards: $1,600,000.00–$1,700,000.00

• Minimum cost share required: No cost share with this project

Topic Area 4: Western Region

• Approximate number of awards: 1

• Approximate dollar amount of individual awards: $1,600,000.00–$1,700,000.00

• Minimum cost share required: No cost share with this project

2. Period of Performance

We anticipate making awards under multiple budget periods. If applicable, project continuation will depend on available funding and our Go/No-Go decision which will be made at the conclusion of a budget period. You can find a complete list of post-award requirements and more information on the Go/No-Go review in NOFO Part 2, Award Administration Information.

Funding for all budget periods, including the initial budget period, is not guaranteed.

B. Executive Summary

The purpose of the resultant Cooperative Agreements between the U.S. Department of Energy (DOE), Office of Nuclear Energy (NE), Office of Storage & Transportation (DOE-S&T) and the Recipient is to facilitate engagement between State government representatives in each of the four (4) specific regions (Eastern Region, Western Region, Midwestern Region, or Southern Region of the United States) and DOE-S&T in planning for future large-scale DOE transportation of commercial used nuclear fuel (UNF) and high-level radioactive waste (HLW) and related DOE program issues that may impact a State or Region. This facilitation is an essential component of developing and implementing a successful large-scale UNF transportation program that is safe, secure, and merits public trust and confidence. DOE anticipates making four (4) awards from this NOFO, one (1) award for each specific region.

C. Agency Contact Information

For questions about this NOFO, email us at Regional_State_Tribal_Groups@id.doe.gov.

II. Eligibility To be considered, your submission must meet the criteria set forth below. If your application does not meet these eligibility requirements, it will be removed from consideration for any award. DOE will not determine eligibility for potential applicants before the application

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A. Eligible Applicants

1. Domestic Entities

• The following types of domestic entities are eligible to participate as a recipient or subrecipient of this NOFO: Institutions of higher education (as defined in Title 20 U.S.C.

§ 1001)

• For-profit organizations

• Nonprofit organizations

• State and local government entities

• Indian Tribes (as defined in section 4 of the Indian Self-Determination and Education

Assistance Act, 25 U.S.C. § 5304)1

To qualify as a domestic entity, the entity must be:

• Organized, chartered, or incorporated (or otherwise formed) under the laws of a state or territory of the United States or under the laws of the United States

• Have majority domestic ownership and control

• Have a physical place of business in the United States

Participant Limitations

Participation of the following entities is limited as follows:

• Provided there is no conflict, 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 not eligible to apply as a recipient

• NETL is eligible to apply as a subrecipient

1 “Indian Tribe,” as defined in section 4(e) 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 according to the Alaska Native Claims Settlement Act (85 Stat. 688) [43 U.S.C. § 1601, et seq.], is eligible for the special programs and services provided by the United States to Indians because of their status as Indians.

2 FFRDCs are federally funded research and development centers that conduct research for the U.S. Government. You can find a list of FFRDCs at https://ncses.nsf.gov/resource/master-gov-lists-ffrdc.

https://uscode.house.gov/view.xhtml?req=granuleid:USC-2010-title20-section1001&num=0&edition=2010 https://uscode.house.gov/view.xhtml?req=granuleid:USC-2010-title20-section1001&num=0&edition=2010 https://uscode.house.gov/view.xhtml?req=(title:25%20section:5304%20edition:prelim) https://uscode.house.gov/statutes/pl/92/203.pdf#:%7E: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://ncses.nsf.gov/resource/master-gov-lists-ffrdc

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2. Foreign Entity Participation In general, foreign entities are not eligible to apply as either a recipient or subrecipient.

In limited circumstances, we may approve a waiver to allow a foreign entity to participate as a recipient or subrecipient.

3. 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, you must submit an explicit waiver request in the application. Without an approved waiver, such costs will not be allowed under the award.

NOFO Part 2, Application Content Requirements, lists the requirements for submitting a foreign work waiver request.

4. Ineligible Participants

The following entities are ineligible for 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 (2 CFR § 200.214).

• Entities identified on the Department of the Treasury Office of Foreign Assets Control Treasury’s Sanctions Program Specially Designated Nationals list. (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.

Entity of Concern Prohibition

Entities of Concern are prohibited from participating in projects under this NOFO. You can find details and definitions in NOFO Part 2, Eligibility, Other Eligibility Information, Entity of Concern Prohibition.

B. Limitation on Number of Concept Papers and Applications

Eligible for Review You can submit more than one application to this NOFO, provided that each application describes a unique, scientifically distinct project as determined by DOE. Applicants may submit up to four applications with one application for each topic area.

C. Cost Sharing

You must follow through on the estimated cost share commitments you proposed in your application if selected for award negotiations. You can find more information on cost sharing in NOFO Part 2, Eligibility.

1. Cost Share Requirements

Cost sharing is not required under this NOFO.

https://sanctionslist.ofac.treas.gov/Home/SdnList 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 no conflict exists, DOE and non-DOE FFRDCs may be proposed as subrecipients 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 FFRDC’s participation on the proposed project, and you must submit this authorization with the application. The FFRDC’s use 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 FFRDC’s participation on the proposed project, and you must submit this authorization prior to any award. The FFRDC’s use must be consistent with the contractor’s authority under its award.

Funding and Subaward with FFRDCs

The recipient and FFRDC must enter into an appropriate sub-award agreement that will govern, among other things, how the recipient funds the FFRDC portion of the work under its DOE award. This agreement must be fully executed before the FFRDC starts work directly related to the financial assistance award. The DOE funding office will fund the DOE FFRDC or non-DOE FFRDC participating as a sub-awardee under the DOE financial assistance award to the recipient.

You should prepare the budgets in your application using rates that would fund the FFRDCs through sub-awards. Your cost share requirement will be based on the total cost of the project, including the applicant’s, all subrecipient’s, and all FFRDC’s portions of the project.

Responsibility

The recipient is the responsible authority for settling and satisfying 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 FFRDC’s scope of work should not be more significant than the applicant’s scope of work.

III. Program Description A. Background The Office of Nuclear Energy is issuing this Notice of Funding Opportunity (NOFO).

Funding for the first year of the Cooperative Agreement(s) awarded under this funding opportunity announcement will be derived from the Commerce, Justice, Science; Energy and Water Development; and Interior and Environment Appropriations Act, 2026 (P.L. 119-74).

Funding of up to $6.8 million may be made available for all awards under this NOFO, subject to the availability of future appropriations. DOE anticipates making four (4) awards from this

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NOFO, one (1) for reach region listed below. Funding for all awards combined would be in tranches of up to $1.36 million per year for the 5-year period of fiscal years (FYs) 2027 through 2031. Funding for each individual award would be in tranches of up to $340,000 per year for the 5-year period of fiscal years (FYs) 2027 through 2031. The Cooperative Agreement(s) will be awarded in accordance with Title 2 of the Code of Federal Regulations, Chapter II Subchapter H, Part 200 (2 CFR Part 200) and Title 2 of the Code of Federal Regulations, Chapter II Subchapter H, Part 910 (2 CFR Part 910).

DOE is conducting activities in preparation for an integrated waste management approach to the backend of the fuel cycle and disposal of commercial used nuclear fuel (UNF) and other nuclear wastes. These activities include, but are not limited to, site preparation activities at nuclear power plant sites, evaluation of regional transport considerations, and transportation coordination efforts as part of an integrated waste management system. The working relationship between DOE-S&T and the States under the resultant Cooperative Agreement(s) will be based on cooperation and consultation and will build on the successful collaborations among Tribes, States, and DOE on other shipping campaigns.

This Statement of Objectives (SOO) (Attachment 1) outlines activities to be conducted by the Recipient to assist DOE-S&T in preparing for, and if applicable, implementing an integrated waste management program in cooperation with States. Activities may include, but are not limited to:

• Evaluation of transportation infrastructure at and near nuclear reactor and UNF storage sites;

• Efforts to complete the policy and procedures for a DOE emergency response training and technical assistance funding program for UNF shipments;

• Addressing outstanding questions related to a rail-, highway-, or waterway-based UNF transportation systems;

• Continuing to develop and pilot frameworks for DOE rail, highway, and waterway radioactive materials shipment safety inspections;

• Information sharing on DOE development of specialty railcars;

• Assisting in developing general plans and procedures for DOE UNF shipping campaigns, including providing regional or State-specific data and information;

• Supporting State participation in meetings and technical conferences including the

Annual Meeting of DOE’s National Transportation Stakeholders Forum (NTSF), as appropriate;

• Providing travel support to training and meetings; and

• Other activities specific to the Nuclear Waste Policy Act of 1982, as amended, and/or management of commercial UNF and HLW by DOE.

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B. Program Purpose The purpose of each Cooperative Agreement between DOE-S&T and a Recipient is to facilitate engagement between State government officials in each of the four (4) specific regions (Eastern Region, Western Region, Midwestern Region, or Southern Region of the United States) and DOE-S&T in planning for future large-scale DOE transportation of commercial used nuclear fuel (UNF) and high-level radioactive waste (HLW) to federal storage and disposal facilities that are together part of a federal “integrated waste management system.” This facilitation is an essential component of developing and implementing a successful large-scale UNF transportation program that is safe, secure, and merits public trust and confidence.

The Recipient must complete the tasks and deliverables as described in the SOO for the specific region (Eastern, Western, Midwestern, or Southern Region) in which it wishes to be considered under this Cooperative Agreement in cooperation with the States listed. (See Attachment 1 Eastern, Attachment 2 Midwestern, Attachment 3 Southern, or Attachment 4 Western)

C. Program Goals and Objectives

The SOO is divided into two parts; the first part consists of Principle Program Tasks and Principal Deliverables that will be conducted throughout the performance period of the Cooperative Agreement and are described below. DOE-S&T considers the Principal Program Tasks and Principal Deliverables to be priorities and are consistent across all DOE-S&T Cooperative Agreement Recipients. The second part comprises Supplemental Program Tasks that may be proposed each year by the Recipient and entail specific objectives, work products, and schedules of activities to be conducted during the ensuing funding year. The Recipient will propose Supplemental Program Tasks to DOE-S&T for approval prior to the start of each Federal fiscal year in the performance period. Activities proposed as Supplemental Program Tasks should be consistent with DOE S&T’s current program direction, planning and analysis activities, and other DOE policies, and they should include initiatives intended to meet informational, technical, and other needs of participating State representatives in the region within the overall scope of the SOO.

1. Principal Program Tasks

A. Planning and Policy

1. The Recipient will convene a committee of participating State representatives (or

“regional committee”) in the region to identify topics and issues of interest to committee members related to DOE transport of UNF and HLW, and the direct engagement with DOE-S&T staff on related topics.

2. The Recipient will convene two regional committee meetings each year, with additional conference calls and/or web-meetings, as needed.

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a. It is expected that one meeting each year will be held in conjunction with DOE’s NTSF3 Annual Meeting.

b. Recipient will provide logistical support for each regional committee meeting/call including preparing agendas and briefing materials with input from participating State representatives, assembling meeting handouts and presentations, staffing meeting operations, sending follow-up materials including meeting summaries, and preparing reports of actions to be taken or decisions made, when warranted.

3. The Recipient will participate in and recruit regional committee members to participate in DOE-S&T efforts to identify, evaluate, and prioritize public policy issues regarding development of the transportation system to support shipments of UNF and HLW.

4. Recipient will coordinate with DOE-S&T program staff to schedule quarterly conference calls/meetings to review the status and progress of activities under the Cooperative Agreement and emerging issues relevant to the program.

B. Shipment Planning and Preparedness

1. Recipient will participate in and/or recruit regional committee members to participate in, ad hoc working groups to address policy issues and planning activities related to DOE-S&T’s program activities, such as the NTSF High Burnup Research Cask Shipment Ad Hoc Working Group, and others.

2. The Recipient will coordinate participation of committee chairs and co-chairs in DOE-S&T’s Transportation Core Group, including attendance at in-person and/or virtual meetings to discuss DOE-S&T program progress, future plans, and other outstanding issues.

3. Recipient will support the assessment of routing and infrastructure issues related to transporting UNF and HLW in the region, including rail, highway, bridges, and port facilities, by facilitating connections between DOE-S&T staff and appropriate participating State government points of contact.

4. As needed, Recipient will participate in and/or recruit regional committee members to participate in DOE-S&T site visits to nuclear power plant sites in their region.

C. Communications and Work Products

1. Recipient will assist DOE-S&T in developing and distributing public information and communication materials associated with the transportation of UNF and HLW.

2. Recipient will coordinate regional committee review and comment of DOE-S&T documents, web materials, information products, DOE Orders, and other activities, as requested by DOE-S&T.

3 Funds from this Cooperative Agreement may be used for committee member travel to the NTSF, for costs of committee meetings held in conjunction with the NTSF Annual Meeting, to support travel costs of presenters from the region to the NTSF Annual Meeting, to support staff participation in the NTSF Planning Committee, or to support similar activities. However, this Cooperative Agreement is not a funding source for planning or operational costs associated with hosting the NTSF Annual Meeting.

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3. Recipient will establish and maintain a website for the purpose of providing relevant information about their regional committee and its work to participating State representatives, DOE, and other stakeholders.

4. Recipient will collaborate with Tribal and State governments in their region to collectively and strategically address issues impacting both Tribes and participating States.

D. Other

1. As requested by the participating States, Recipient will enter into financial assistance agreements to support participating State engagement in activities, including but not limited to training and exercises.

D. Expected Performance Goals

1. Performances and Deliverable Requirements

A. Regional Committee Operations

1. Within 30 days from the start of the performance period, the Recipient will provide

DOE-S&T with a list of current regional committee members with contact information, to include elected officials of participating State governments (or their designated employees with authority to act on their behalf) acting in their official capacities through the Cooperative Agreement to engage with DOE-S&T on the topics covered in this SOO.

a. The Recipient will provide DOE-S&T with updated contact information within 30 days of any change in regional committee representatives.

2. Within 45 days of each semi-annual regional committee meeting, the Recipient will prepare meeting summaries, which include action items and/or agreements made, and email a copy or a public hyperlink to the DOE-S&T Program Manager.

3. Within 30 days from the end of each quarter of each Federal fiscal year, the Recipient will submit a quarterly progress report on the status of the implementation of the Cooperative Agreement. Quarterly reports will follow the Federal Assistance Reporting Checklist and Instructions (examples of appropriate formats can be provided upon request). Quarterly reports may be structured to provide progress information for multiple DOE Cooperative Agreements, if the reports make it clear which activities are entirely or partially supported by DOE-S&T funds. The Recipient will submit periodic financial reports as specified in the Administrative and National Policy Requirements section of the Cooperative Agreement.

B. Feedback on Support Services

1. Every Federal fiscal year, the Recipient must obtain, in a manner to be determined by the Recipient, and provide to DOE-S&T independent feedback from its regional committee members. This feedback should focus on the type and quality of support services provided to the participating State representatives by the Recipient. The Recipient must convey this information to DOE in a written report that summarizes the views expressed by each participating State and demonstrates the extent to which the Recipient is meeting participating State information and communication needs, is knowledgeable about the issues that are most important to the representatives of the

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States in their region, is providing suitable support to help participating State representatives understand or address key issues, and is otherwise adequately facilitating engagement between participating State representatives and DOE-S&T.

C. Communications and Work Products

1. The Recipient will maintain a public website with designs, marketing, branding, and content development determined in consultation with participating State representatives.

2. The Recipient will provide DOE-S&T with electronic copies of any reports, policy papers, technical papers, official letters, web materials, training materials, presentations, and public communication materials produced under this Cooperative Agreement. Such documents must also comply with the Terms and Conditions of this Cooperative Agreement.

2. Supplemental Program Tasks

Supplemental program tasks may be proposed each year by the Recipient after consultation with participating State representatives, and these tasks entail specific objectives, work products, and schedules of activities to be conducted during the ensuing funding year.

Supplemental Program Tasks will be proposed to DOE-S&T for approval at least 60 days prior to the start of each Federal fiscal year in the performance period (functionally, this step will be part of the annual continuation award renewal process). Activities proposed as Supplemental Program Tasks should focus on initiatives that meet informational, technical, and other needs of State representatives in the region that are directly related to the purpose of the Cooperative Agreement.

3. Supplemental Program Deliverables

These deliverables will be determined annually and correspond to the DOE-S&T-approved Supplemental Program Tasks proposed by the Recipient.

E. Topic Areas

Topic Area 1: Eastern Region Covering the states of Connecticut, Delaware, Maine, Maryland (split with Southern region) Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Vermont

Topic Area 2: Midwestern Region Covering the states of Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Nebraska, North Dakota, Ohio, South Dakota, Wisconsin, Missouri (spilt with Southern region)

Topic Area 3: Southern Region Covering the states of Alabama, Arkansas, Florida, Georgia, Kentucky, Louisiana, Maryland (split with Eastern region), Mississippi, Missouri (split with Midwestern region), North Carolina, Oklahoma, South Carolina, Tennessee, Texas (split with Western region), Virginia, West Virginia

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Topic Area 4: Western Region Covering the states of Arizona, California, Colorado, Idaho, Montana, Nevada, New Mexico, Oregon, Texas (split with Southern region) Utah, Washington, Wyoming

F. Applications Specifically Not of Interest

DOE will not review or consider the following types of applications as determined by DOE without appeal (also refer to the Responsiveness Review section below):

• Applications that fall outside the technical parameters specified in Background and Context and Topic Areas.

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

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

G. Statutory Authority

The programmatic authorizing statutes are the Atomic Energy Act of 1954, as amended, including 42 U.S.C. § 2011, 2013-2014, 2073-2075, 2111, 2201; the Department of Energy Organization Act of 1977, as amended, including 42 U.S.C. § 7256.

Awards made under this announcement are subject to the OMB Guidance for Federal Financial Assistance (e.g., 2 C.F.R. Part 200) as adopted and DOE’s Financial Assistance Regulations, 2 C.F.R. Part 910.

IV. Application Content and Form This section includes application information specific to this NOFO. Refer to NOFO Part

2, Application Content and Form, for standard information that applies to all DOE NOFOs, such as formatting and content requirements and other requirements.

A. Use and Disclosure of Application Information

In addition to the information provided in NOFO Part 2, Use and Disclosure of Application Information, for compliance with implementation of Presidential Memorandum Simplifying the Funding of Energy Infrastructure and Critical Mineral and Material Projects, the Department of Energy may share and use within the government any application information provided by or on behalf of the applicant. Accordingly, in accordance with applicable law and notwithstanding any other provisions herein, by submitting an application or agreeing to a financial assistance arrangement with the Department of Energy under this NOFO, the applicant is providing consent for any properly marked trade secret, confidential, proprietary, privileged or otherwise sensitive application information provided by or on behalf of the applicant to be disclosed to the Executive Office of the President and relevant agencies offering loans, grants, equity, guarantees or other Federal funding, for the purposes of the Presidential Memorandum on Simplifying the Funding of Energy Infrastructure and Critical Mineral and Material Project.

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B. Summary The application process includes submission of an application and replying to reviewer comments.

Application Submission Phase Eligibility for Submission

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

Replies to Reviewer Comments

Must be submitted by the specified due date and time to be considered.

C. Application Content Requirements

Each application must be limited to a single concept. Applications must conform to the following requirements and must not exceed the stated page limits. NOFO Part 2, Application Content and Form, includes a complete list of application requirements. You can find detailed guidance on the content and form of NOFO-specific requirements in the Summary of Application Requirements table below.

1. Covered Individual Definition, Designation, and Responsibility

Several of the Application Content Requirements in the table below and in the NOFO Part 2 are required for Covered Individuals.

For this NOFO, Covered Individual is an individual who:

• Contributes in a substantive, meaningful way to develop or execute the scope of work of a project proposed for funding by DOE

• Is designated as a Covered Individual by DOE

DOE designates as Covered Individuals any:

• Principal investigator (PI)

• Project director (PD)

• Co-principal investigator (Co-PI)

• Co-project director (Co-PD)

• Project manager

• Any individual functionally performing as a PI, PD, Co-PI, Co-PD, or project manager

• Technical staff (e.g., postdoctoral fellows/researchers and graduate students)

DOE may further designate Covered Individuals during award negotiations or the award period of performance.

If selected, throughout the life of the award, you have an ongoing responsibility to submit:

• Current and pending support disclosure statements and resumes or biosketches for any new Covered Individuals.

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• Updated disclosures if a current and pending support disclosure statement, resume, or biosketch previously submitted to DOE changes

2. Summary of Application Requirements

Component File

Forma t

Page Limit

File Name

Application for Federal Assistance

(SF-424)

(NOFO Pt. 2 pg. 13)

PDF n/a Applicant _ 424

Impacted Indian Tribes Documentation (If applicable) (NOFO Pt. 2 pg. 14)

PDF n/a Applicant _ Impacted Tribes

Statement of Project Objectives (NOFO Pt. 2 pg. 13)

MS

Word n/a Applicant _ SOPO

Project Management Plan/Project Narrative (NOFO Pt. 2 pg. 14)

PDF 20 Applicant _ PMP

Budget Information Non- Construction Programs (SF-424A) (NOFO Pt. 2 pg. 14)

PDF n/a Applicant _ Budget Information

Budget Justification Workbook (NOFO Pt. 2 pg. 14)

MS

Excel n/a Applicant _ Budget_Justification

Subrecipient Budget Justification (NOFO Pt. 2 pg. 14)

MS

Excel n/a Applicant _ Subrecipient Budget Justification

Work Proposal for FFRDC, (see

DOE O 412.1A)

(NOFO Pt. 2 pg. 17)

PDF n/a Applicant _ FFRDC WP

Authorization for Non-DOE or DOE FFRDCs (NOFO Pt. 2 pg. 17)

PDF n/a Applicant _ FFRDC Auth

Waiver for Foreign Entity Participation (NOFO Pt. 2 pg. 17)

PDF n/a Applicant _ FEW

Performance of Work in the United States (Foreign Work Waiver) (NOFO Pt. 2 pg. 17)

PDF n/a Applicant _ FWW

Biosketch (for each Covered Individual) (NOFO Pt. 2 pg. 17)

PDF n/a Applicant _ Biosketch

Current and Pending Support (for each Covered Individual) (NOFO Pt. 2 pg. 35)

PDF n/a Applicant _ CPS https://www.directives.doe.gov/directives-documents/400-series/0412.1-BOrder-a-chg1-AdmChg/@@images/file

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Transparency of Foreign Connections (NOFO Pt. 2 pg. 17)

PDF n/a Applicant _TFC

Potentially Duplicative Funding Notice (NOFO Pt. 2 pg. 18)

PDF n/a Applicant _ PDFN

Locations of Work (NOFO Pt. 2 pg. 18)

Excel n/a Applicant _ LOW

Disclosure of Lobbying Activities, if applicable (SF-LLL) (NOFO Pt. 2 pg. 19)

PDF n/a Applicant _ SF-LLL

Certification Regarding Lobbying

(OMB 4040-0013)

(NOFO Pt. 2 pg. 19)

PDF n/a Applicant _Cert Lobbying

Summary for Public Release (NOFO Pt. 2 pg. 20)

PDF 1 Applicant _ Summary

Summary Slide (NOFO Pt. 2 pg. 20)

MS

Power Point

1 Applicant _ Slide

3. Impacted Indian Tribes Documentation

For any application that potentially impacts Indian Tribes,4 including when the potentially impacted Indian Tribe is the applicant, you must submit additional documentation:

• For projects sited on Tribal lands 5 or intersecting with Tribal subsurface rights:

o You must submit documentation of support from the relevant Indian Tribes with the application. See below for Requirements for Documentation of Tribal Support.

• For applications potentially impacting Indian Tribes’ resources and reserved rights in other ways:

o We encourage you to submit documentation of support from the relevant Indian Tribes. You must, at a minimum, provide documentation confirming that an authorized representative from each potentially impacted Indian Tribe is aware of the application's nature and its potential impacts to the Indian Tribe. See below for helpful resources for evaluating potential impacts and requirements for documenting Tribal awareness.

We encourage you to reach out to Indian Tribes as early as possible to give them ample time to evaluate and respond. Documentation will not be scored; however, if you do not submit documentation of an Indian Tribe’s awareness or a letter of support, it may result in determining your application ineligible, non-responsive to the NOFO, not subject to further review, or not otherwise subject to selection or award.

4 Indian Tribe as defined in 25 U.S.C. § 5304 and includes Alaska Native Villages and

Alaska Native Corporations.

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

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Documentation of Tribal Support Item Criteria

Letter of Support from Tribal Leadership The letter must be signed by an authorized representative6 of the Indian Tribe and express support for the project. The signers must be holding their positions while the NOFO is open for applications or when subsequently submitted.

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

Must express support for the project.

Documentation of Tribal Awareness

Item Criteria Any Documentation of Tribal Support (see above)

See above

An email reply or documentation of certified mail delivery

Must demonstrate that an authorized representative6 of the Indian Tribe is the one who was notified and made aware of the nature of the project and its potential impacts to the Indian Tribe.

The following resources and guidance may be useful to help determine if a project may impact Indian Tribe resources or reserved rights and to find the appropriate contacts. These resources are not exhaustive, and many Indian Tribes have resources or reserved rights that extend beyond their Tribal lands or are covered within treaties, statutes, or case-law. You should do additional research, while respecting Tribal privacy over sacred sites. Any outreach, impact assessment, and mitigation plans must be documented and made available to DOE on request after award selection or during award negotiation. If the applicant is an Indian Tribe, we recommend these resources and guidance be used to ascertain impacts to other Indian Tribes.

Resources for Evaluating a Project’s Potential Impact on an Indian Tribe Item Location

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

6 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.

https://bia-geospatial-internal.geoplatform.gov/indianlands/ https://bia-geospatial-internal.geoplatform.gov/indianlands/

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Tribal Directory Assessment Tool (TDAT) https://egis.hud.gov/TDAT/

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

Best Practices For Identifying And Protecting Tribal Treaty Rights, Reserved Rights, And Other Similar Rights In Federal Regulatory Actions And Federal Decision-Making

Guidance on Assessing Potential Impacts to Indian Tribe Resource or Reserved Rights Type of Action Assessment Mitigation

Research and Development (R&D)

• Identify any resources you will quantify or model 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 Tribes may be impacted

• Explain any instances of uncertainty or need for confidentiality

Explain any actions you took to mitigate or address any potential impacts identified, including engaging with the potentially impacted Indian Tribes, in the application.

Surface Impacts

• Identify any Indian Land (as defined in 25 U.S.C. § 3501), traditional homelands, or Tribal historic and sacred sites that will be crossed or are near to the proposed infrastructure

• Identify which Indian Tribes might be impacted

• Explain any instances of uncertainty or confidentiality

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

• 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 Tribes might be impacted

• Explain any instances of uncertainty and any potential for subsurface resource migration that has been considered https://egis.hud.gov/TDAT/ https://treaties.okstate.edu/ https://www.bia.gov/service/tribal-leaders-directory https://www.bia.gov/sites/default/files/dup/inline-files/best_practices_guide.pdf https://www.bia.gov/sites/default/files/dup/inline-files/best_practices_guide.pdf https://www.bia.gov/sites/default/files/dup/inline-files/best_practices_guide.pdf https://www.bia.gov/sites/default/files/dup/inline-files/best_practices_guide.pdf

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Hydropower, Offshore Wind, or Other Water Related Projects

• Identify any Tribal resources or reserved rights (e.g., water, fishing, or other treaty rights) that could be impacted by the proposed project

• Identify any Tribal historic sites, sacred sites, or relevant vistas that could be impacted by the project

• Identify the potentially impacted Indian Tribes and explain any sources of uncertainty or confidentiality

Other Actions Not Categorized Above

• Identify any other proposed actions that may impact an Indian Tribe’s resources or reserved rights. Tribal resources and reserved rights include, and are not limited to:

o An Indian reservation or land (as defined in 25 U.S.C. § 3501) o Intersecting Tribal sub-surface rights o Historic homelands they were removed from:

Cultural sites Sacred sites Water rights Mineral and other subsurface rights Fishing rights Hunting rights

• Identify the Tribes potentially impacted and any sources of uncertainty or confidentiality

We may share any application that could impact Indian Tribes with those Indian Tribes, subject to any proper Proprietary Information markings on the submission. Accordingly, you should include a “Notice of Restriction on Use and Disclosure of Information” to identify any Proprietary Information (NOFO Part 1, Use and Disclosure of Applicant Information). After selection, you may be asked to include a “Notice of Restriction on Disclosure and Use of Data” to identify any Proprietary Information. Properly marked application information will only be used or disclosed for evaluation purposes when we must determine if the proposed project impacts an Indian Tribe, and we will only share that information with the potentially impacted Tribes.

Data you submit once under award that could impact Indian Tribes may be shared with the potentially impacted Indian Tribes, subject to any restrictions included on properly marked data per the award terms.

If you or DOE determines an Indian Tribe will be impacted, you must provide information on the project location, potential impacts, and how you will engage with Indian Tribes during the performance period of the agreement and, if necessary, after the end of the agreement. In addition to your engagement, we will determine if formal government-to-

Version 5.0 Page 24 of 33 government consultation could be appropriate, and we will conduct that consultation accordingly.

4. Project Management Plan

The Project Management Plan must conform to the following content and form requirements and address the technical review criteria in Technical Review Criteria. In the Project Management Plan, the applicant must specifically state which of the 4 regions (Eastern, Midwestern, Southern, or Western) the applicant is applying for.

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 project management plan to the application may not be more than 20 pages, including the cover page; table of contents; all citations, charts, graphs, maps, photos, or other graphics; and all information below. You should consider the weight of each technical review criteria (see Technical Review Criteria) when preparing the Technical Volume.

Project Management Plan Content Requirements Overview

Section Approximate Percent Content of the Technical Volume

Cover Page N/A Management and Organization 50% Project Objectives 30% Risk Analysis and Mitigation 20%

Cover Page

This page must include:

• The project title

• Specific NOFO topic areas (if applicable)

• Technical and business points of contact

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

• The project locations

• The proposed Federal funding level, cost share, and performance period

• Senior and key personnel and other individuals

• Statements regarding confidentiality

Management and Organization This section must include:

• Management Plan, including key organizational members and structure, project partner roles and responsibilities, and relevant prior experience. Addresses any changes to the

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• Description of the skills and expertise that the project…