SiC_Cladding_NOFO_Part_2_DE-FOA0003577.pdf

Financial Assistance Notice of Funding Opportunity

Part 2

The NOFO Part 2 is a companion document to the NOFO Part 1. The NOFO Part 1 describes DOE’s program goals and evaluation criteria, eligibility, and other components 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. You should review both the NOFO Part 1 and the NOFO Part 2 before applying.

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Notice of Funding Opportunity Part 2

Table of Contents

I. Basic Information

II. Eligibility A. Cost Sharing

1. Legal Responsibility

2. Cost-Share Allocation

3. Cost Share Types and Allowability

4. Cost Share Contributions by FFRDCs

5. Cost Share Verification

6. 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 B. Statement of Substantial Involvement

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

1. Application for Federal Assistance (SF-424)

2. Letters of Commitment

3. Statement of Project Objectives (SOPO)

4. Project Management Plan (PMP)

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

6. Budget Justification Workbook

7. Subrecipient Budget Justification

8. Waiver for Foreign Entity Participation

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

10. Digital Persistent Identifier (PID)

11. Research Security Training Requirement

12. Transparency of Foreign Connections

13. Potentially Duplicative Funding Notice

14. Locations of Work

15. Environmental Considerations Summary

16. Environmental Impact Volume

17. Environmental Questionnaire

18. Lobbying Activities

19. Summary for Public Release

20. Summary Slide

D. Reply to Reviewer Comments

1. Content and Form of Replies to Reviewer Comments

E. Additional Requirements

1. Allowable Costs

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2. Pre-Award Costs

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

4. Foreign Travel

5. Equipment and Supplies

6. Davis-Bacon Act Requirements

7. Prohibition on Using Funds for Activities Related to Federal Acquisition Security Council

(FASC)-Prohibited Unmanned Aircraft Systems

V. Submission Requirements and Deadlines A. Required Registrations

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

2. eXCHANGE

3. Grants.gov Registration

B. Application Package

1. eXCHANGE

C. Questions and Support

1. Questions

2. Support

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

6. Applicants Not Selected for Award Negotiations

B. Post-Selection Information Requests

1. Example Information Requests

2. Entity Risk Assessment

3. Environmental Review Under the National Environmental Policy Act (NEPA)

4. Trafficking in Persons

5. Construction Workforce Continuity Plan

6. Operations Workforce Continuity Plan

7. Interim Conflict of Interest Policy for Financial Assistance

8. Participants and Collaborating Organizations

9. Current and Pending Support

10. Transparency of Foreign Connections

11. Prohibition Related to Malign Foreign Talent Recruitment Programs

12. Foreign Collaboration Considerations

13. Data Management and Sharing Plan

C. Award Notices

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1. Register with FedConnect

VIII. Award Administration Information A. Post-Award Requirements and Administration

1. Real Property and Equipment Continued Use

2. Go/No-Go Review

3. Program Down-Select

4. Energy Data eXchange (EDX) Requirements

5. Invoice Review and Approval

6. Cost Share Payment

IX. Other Information A. Government Right to Reject or Negotiate B. Commitment of Public Funds C. Notice of Right to Conduct a Review of Financial Capability D. Requirement for Full and Complete Disclosure E. Retention of Submissions F. Intellectual Property (IP) Provisions G. Title to Subject Inventions H. Government Rights in Subject Inventions I. U.S. Manufacturing Commitments J. Subject Invention Utilization Reporting K. Copyright L. Personally Identifiable Information (PII) M. Annual Independent Audits N. Acronyms

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Notice of Funding Opportunity, Part 2

I. Basic Information Refer to the NOFO Part 1, Basic Information, for Key Facts, Executive Summary, and

Agency Contact Information.

II. Eligibility NOFO Part 1, Eligibility, provides the eligibility criteria specific to your application.

This section includes additional information to help you understand the standard eligibility requirements across all DOE NOFOs.

A. Cost Sharing This section contains additional information to help you understand Federal cost sharing requirements. NOFO Part 1, Eligibility—Cost Sharing, provides 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 before the end of the project period, the recipient must 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 obligations 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 the 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 when the application is submitted

• Be cash, cash equivalents, or in-kind contributions

• Come from nonfederal sources (unless otherwise allowed by law), such as project participants, state or local governments, or other third-party financing 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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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 the value of the contribution can be readily determined, verified, and justified but no actual cash is transacted to secure the good or service that makes up the contribution. For allowable types of cost share, refer to 2 C.F.R. § 910.130 for for-profit entities or 2 C.F.R. § 200.306 for all other entity types.

Project teams may use funding or property received from state or local governments to meet the cost share requirement as 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

• Necessary and reasonable for proper and efficient accomplishment of the project

Because all sources of cost share are part of total project cost, DOE will review the cost share dollars according to the same Federal regulations as Federal dollars to the project. The DOE Grants Officer must review and approve every cost share contribution and incorporate them into the project budget before the expenditures are incurred.

4. 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 nonfederal source.

5. Cost Share Verification You must provide written assurance of your proposed cost share contribution in your application. If selected for award negotiations, you must provide additional information and documentation on your cost share contributions. NOFO Part 1, Eligibility—Cost Sharing, provides specific requirements.

6. 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. Cost share calculation should not go beyond 2 decimals (e.g., 79.25 - not 79.24875).

Example 1. Standard Cost Share Calculation

A project with $1 million in federal funds with a minimum 20% nonfederal 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 ($) minus Federal share ($) = nonfederal share ($)

• Example: $1,250,000 minus $1,000,000 = $250,000

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• Formula: nonfederal share ($) divided by total project cost ($) = nonfederal share (%)

• Example: $250,000 divided by $1,250,000 = 20%

Example 2. Blended Cost Share Calculation A project with $2 million in Federal funds with four tasks requiring different nonfederal 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:

Task 1

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

• Task 1 cost minus Federal share = nonfederal share

• $1,250,000 - $1,000,000 = $250,000 (nonfederal share)

Task 2

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

• Task 2 cost minus Federal share = nonfederal share

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

Task 3

• $400,000 divided by 50% = $800,000 (Task 3 cost)

• Task 3 cost minus Federal share = nonfederal share

• $800,000 - $400,000 = $400,000 (nonfederal share)

Task 4

• Federal share = $100,000

• Nonfederal cost share is not required for outreach = $0 (nonfederal share)

Complete the calculation as follows.

Tasks $ Federal Share

% Federal Share

$ Nonfederal Share

% Nonfederal 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

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Task 4 $100,000 100% $0 0% $100,000

Totals $2,000,000 $775,000 $2,775,000

Blended cost-share percentage

• Nonfederal share ($775,000) divided by total project cost ($2,775,000) = 27.9% (nonfederal)

• Federal share ($2,000,000) divided by total project cost ($2,775,000) = 72.1% (Federal)

B. Other Eligibility Information NOFO Part 1, Eligibility—Eligible Applicants, provides NOFO-specific eligibility information. The following information is standard for all DOE NOFOs.

1. Questions Regarding Eligibility We will not determine eligibility before the application due date in NOFO Part 1, Key

Facts.

2. Entity of Concern Prohibition Prohibition

No Entity of Concern (as defined in section 10114 of Public Law 117-167 [42 U.S.C 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 Department 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. (section 10114 of Public Law 117-167 [42 U.S.C 18912]) and Division D, Title III, section 310 of Division D of the Consolidated Appropriations Act of 2024 [Pub. L. No. 118-42]). By applying to this NOFO, you certify that neither the applicant nor any of the project participants qualify as Entities of Concern.

Definitions

Entity of Concern is (section 10114 of Public Law 117-167 [42 U.S.C. 18912], also known as the CHIPS and Science Act) “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 1260H of 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 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/117/plaws/publ167/PLAW-117publ167.pdf#page=105 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/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 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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• (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 include those that describe and promote the understanding of scientific and technical aspects of specific energy technologies and exclude those that encourage or support political activities, such as collecting and disseminating information related to potential, planned, or pending legislation.

4. Artificial Intelligence (AI) Application Use You must indicate in the project summary the extent to which, if any, you used generative artificial intelligence (AI) technology and how you used it to develop your application or proposal.

All submissions to DOE are subject to information and disclosure statutes and regulations, including the Freedom of Information Act, Privacy Act, and 10 C.F.R. § 1004.11.

You are responsible for the accuracy, authenticity, and authorship represented in your proposal submission for merit review, including content developed with the help of generative AI tools.

You must ensure you 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 using 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 research misconduct allegations concerning research supported by DOE grants, cooperative agreements, and management and operations (M&O) contracts, are specified in 10 C.F.R. § 733. Specific provisions governing research misconduct procedures for financial assistance recipients (under grants and cooperative agreements) are specified in 2 C.F.R. § 910.132.

III. Program Description NOFO Part 1, Program Description, provides all information (goals, objectives, and topic areas) related to the NOFO you are applying to.

A. Informational Webinar NOFO Part 1, Basic Information—Key Dates, includes information on whether we will conduct an informational webinar while the NOFO is open.

For some NOFOs, we conduct an informational webinar during the NOFO process. We typically hold it after the initial NOFO release but before the due date for concept papers or the application, if concept papers are not required.

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Attendance is not mandatory and will not positively or negatively impact the overall review of any submissions. The webinar is open to all potential applicants who wish to participate. Please refrain from asking questions or communicating information that would reveal confidential or proprietary information about your project.

B. Statement of Substantial Involvement If cooperative agreements will be made under this NOFO as indicated in Key Facts in

NOFO Part 1. DOE will include a statement of DOE’s substantial involvement in the work performed under the resulting awards. For cooperative agreements, we do not limit our involvement to the administrative requirements of the award. Instead, we have substantial involvement in directing and redirecting the technical aspects of the project. Our substantial involvement in resulting awards may include the statements below and additional program-specific statements:

• Sharing responsibility with the recipient for the management, control, direction, and project performance

• Intervening in the conduct or performance of work under this award for programmatic reasons, which includes interrupting or modifying the conduct or performance of project activities

• Redirecting or stopping funding based on our evaluation at the Go/No-Go decision points

• Participating in major project decision-making processes

IV. Application Content and Form This section contains supplemental information to help you understand the application content and form requirements outlined in the NOFO, including detailed information on the content and naming conventions of the application content. NOFO Part 1, Application Content and Form, provides the application contents and form specific to the NOFO you are applying to.

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

A. Use and Disclosure of Application Information Applicants should not include trade secrets or business-sensitive, proprietary, or otherwise confidential information (Proprietary Information) in their application unless you need that information to explain the proposed project or to comply with a requirement in the NOFO.

All application information is subject to public release under the Freedom of Information Act (FOIA) except information that qualifies under a FOIA exemption. One of the exemptions is trade secrets or commercial or financial information that is confidential or privileged.

Accordingly, if you include Proprietary Information with your application, you must mark it with the Notice below and follow the marking requirements below to protect it from disclosure under FOIA or otherwise. Note that the protective markings alone do not automatically make the information exempt under FOIA but help the DOE’s designated FOIA Officer determine if the information qualifies for a FOIA exemption. You can find more information on how DOE process FOIA requests at 10 C.F.R. Part 1004.

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Notice of Restriction on Use and Disclosure of Information:

Pages [list applicable pages] of this document may contain trade secrets or business-sensitive, proprietary, or otherwise confidential information that is exempt from public disclosure. Such information can be used or disclosed only for evaluation purposes or in accordance with a financial assistance agreement between the submitter and the Government, with the restriction that the information must be retained in confidence and not be further disclosed. The Government may use or disclose any information that is not appropriately marked or otherwise restricted, regardless of source. [End of Notice]

In addition:

• The header and footer of every page that contains Proprietary Information must say:

“CONTAINS TRADE SECRETS, BUSINESS-SENSITIVE, PROPRIETARY, OR

OTHERWISE CONFIDENTIAL INFORMATION EXEMPT FROM PUBLIC

DISCLOSURE”

• Every line or paragraph containing Proprietary Information must be clearly marked with double brackets or highlighting Properly marked Proprietary Information will be used or disclosed only for evaluation purposes. For example, DOE may disclose such information to determine whether to select the project for funding under this NOFO or other Government programs, or as otherwise authorized by law. This restriction does not limit the Federal Government’s right to use the information if it is obtained from another source.

The Federal Government is not liable for disclosing or using unmarked information, and it may use or disclose unmarked information for any purpose.

B. Application Format Summary All submissions must conform to the form and content requirements described below.

NOFO Part 1, Application Content and Form, provides 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 • Times New Roman

• Black font color

• Size 12-point or larger (except in figures or tables, which may be 10-point font).

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• You can use a symbol font to insert Greek letters or special characters, but the font size requirement still applies.

References References:

• Must be footnotes or endnotes

• Must be font size of 10 or larger.

• Are counted toward the maximum page requirement

Control Number A control number (i.e., a unique application identifier) will be issued when you begin the eXCHANGE application process.

The control number . must be prominently displayed on the upper right corner of the header of every page in the application and included in the file name (i.e., Control Number_Applicant Name_Application).

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

Page Count Limitations If you exceed the maximum page limit, we will review only the authorized number of pages and disregard any additional pages.

The specified maximum page limit includes the cover page, charts, graphs, maps, and photographs when printed using the formatting requirements set forth above and single spaced.

The following information addresses eXCHANGE issues typically encountered during the application process. NOFO Part 1, Submission Requirements and Deadlines—Application Package, provides the eXCHANGE site location and support for technical assistance information.

Additional eXCHANGE Information

Deadlines for Submission eXCHANGE enforces the deadlines for NOFOs. The “Apply” and “Submit” buttons automatically disable at the defined submission deadlines.

Submission Difficulties Applicants who experience technical difficulties with submission prior to the NOFO deadline should contact the eXCHANGE helpdesk for your NOFO (provided in NOFO Part 1, Key Facts).

Application Forms To access application forms and instructions available on eXCHANGE, select the appropriate funding opportunity number on the Funding Opportunity page.

Size Limitations The maximum file size you can upload to the eXCHANGE is 50MB. If your file is larger than 50MB but still within the maximum page limit, you can break it into parts. For

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We do not accept late submissions that result from technical difficulties uploading files that exceed 50MB.

C. Application Content Requirements 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 page limits. Each application must be limited to a single concept and must not exceed the stated page limits. DOE reserves the right not to proceed with merit reviews of incomplete applications.

1. Application for Federal Assistance (SF-424) You must complete the Standard Form (SF)-424, Application for Federal Assistance, which is available in eXCHANGE. Complete all required fields according to the instructions on the form.

When accessing the link to the SF-424 in eXCHANGE, you will be directed to the Grants.gov website, where you will see a notice stating that the forms are for sample purposes only and cannot be submitted with the application package. DOE applicants should disregard this notice. The SF-424 accessed through the link in eXCHANGE is the official form for this NOFO. You must download, complete, and upload the required form as part of your application package.

Be sure the dates (Block 17) and dollar amounts (Block 18) on the SF-424 reflect the complete project period and not just the first project year, first phase, or another subset of the project period.

The System for Award Management (SAM) is the central repository for common Government-wide certifications and representations required to be eligible for a Federal award.

You must update your registration annually. Federal agencies use SAM information to comply with award requirements and avoid increased burden and costs of separate requests for such information, unless you fail to meet a Federal award requirement or your SAM registration must be updated for other reasons.

2. Letters of Commitment You must submit letters of commitment from all subrecipients. You must also submit letters of commitment from all third-party cost-share providers. 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. We do not accept letters of support or endorsement for the project from entities that do not have a substantive role in the project. Each third party contributing to cost sharing should be identified with the following information:

Letters of Commitment Content

Organization Name Phone, email, and address

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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.

3. Statement of Project Objectives (SOPO) NOFO Part 1, Technical Volume, provides specific requirements to each NOFO. If required, you must submit a SOPO. A SOPO template is available in eXCHANGE. We strongly encourage you to use the template to complete your SOPO, but you are not required to do so. If you do not use the template, be sure you address all the elements described in NOFO Part 1, Technical Volume, and as outlined in the SOPO template.

4. Project Management Plan (PMP) NOFO Part 1, Technical Volume, provides specific requirements to each NOFO. If required, you must submit a PMP. A PMP template is available in eXCHANGE. We strongly encourage you to use the template to complete your PMP, but you are not required to do so. If you do not use the template, be sure you address all the elements described in NOFO Part 1, Technical Volume, and as outlined in the template.

5. Budget Information—Non-Construction Programs (SF-424A) You must provide a separate budget for each year of support requested and a cumulative budget for the total project performance period. Use Standard Form (SF)-424A Excel, Budget Information—Non-Construction Programs on the DOE Financial Assistance Forms Page at Financial Assistance Forms and Information For Applicants and Recipients. If you elect to use the budget justification workbook in eXCHANGE, you do not need to submit a separate SF- 424A.

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

• The request meets all the criteria for allowability under the applicable Federal cost principles

• The request is not prohibited by the Additional Requirements described below or any program-specific requirements in the NOFO Part 1, Application Content and Form— Additional Requirements.

6. Budget Justification Workbook We strongly encourage you to use the Budget Justification Workbook template in eXCHANGE. If you choose not to use the suggested template, you must also submit a Standard Form (SF)-424A, Budget Information—Non-Construction Programs, (available on grants.gov) and include a breakdown of all costs by budget category, as outlined in the SF-424A and the Budget Justification template, including all work to be performed by the recipient and its https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients https://www.grants.gov/forms/forms-repository/sf-424-family

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In addition to project-specific costs, you should include costs associated with:

• Oversight

• Required annual audits and incurred cost proposals (these costs may be reimbursed as a direct or indirect cost)

• Implementing award-specific requirements such as Buy America requirements and Davis-

Bacon Act requirements

• Reporting

The Instructions and Summary and SF-424A tabs in the Budget Justification Workbook template will auto-populate as you enter information into the workbook. Be sure to carefully read the Instructions and Summary tab in the Budget Justification Workbook.

7. Subrecipient Budget Justification You must provide a separate budget justification for each subrecipient expected to perform work estimated to be more than $500,000 of the total proposed budget. The budget justification must include the same justification information described in the Budget Justification Workbook section above.

8. Waiver for Foreign Entity Participation NOFO Part 1, section II.A.2, Domestic Entities, explains the qualifications of domestic entity eligibility and NOFO Part 1, section II.A.3, Foreign Entity Participation, explains how to request a foreign entity waiver. If the prime applicant or subrecipient do not meet the qualifications for a domestic entity, the applicant must submit an explicit waiver request in the application.

Waiver Criteria

A foreign entity seeking to participate in a project funded under this NOFO must demonstrate to the satisfaction of DOE that:

• Its participation is in the best interest of United States industry and economic development

• The project team has appropriate measures in place to control sensitive information and protect against unauthorized transfer of scientific and technical information

• Adequate protocols exist between the United States subsidiary and its foreign parent organization to comply with export control laws and any obligations to protect proprietary information from the foreign parent organization

• The work is conducted within the United States, and the entity acknowledges and demonstrates that it has the intent and ability to comply with the U.S. Competitiveness Provision (see Post-Award Requirements--U.S. Manufacturing Commitments below)

• It satisfies other conditions DOE may deem necessary to protect U.S. Government interests

Content for Waiver Request A foreign entity waiver request must include:

• Information about the entities involved in the proposed work to be conducted outside the United States (i.e., the entity seeking a waiver and the entities that will conduct the work):

Version 4.1 Page 16 of 47 o Name o Point of contact o Proposed type of involvement in the project

• Country of incorporation

• The extent of the ownership or level of control by foreign entities

• Whether the entity is state owned or controlled

• A summary of the ownership breakdown of the foreign entity

• The percentage of ownership or control by foreign entities, foreign shareholders, foreign states, or foreign individuals

• The rationale for proposing a foreign entity participant (must address criteria above)

• A description of the project’s anticipated contributions to the United States economy o How the project will benefit United States R&D and manufacturing, including contributions to employment in the United States and growth in new markets and jobs in the United States o How the project will promote domestic American manufacturing of products or services

• A description of how the foreign entity’s participation is essential to the project

• A description of the likelihood of IP being created from the work and the treatment of any such IP

• A list of countries where the work will be performed (If any work is proposed to be conducted outside the United States, you must also complete a separate request for a foreign work waiver) We may also require a risk assessment of IP and data protection protocols that includes the:

• Export control risk based on the data protection protocols

• Technology being developed

• The foreign entity and country

The project lead can prepare these submissions (if not the recipient), but the recipient must represent to DOE whether it believes the data protection protocols are adequate and represent the risk assessment—high, medium, or low—of data leakage to a foreign entity.

We may request additional language to any agreement or subagreement to protect IP, mitigate risk, or other related purposes and any other additional information we need to consider the waiver request.

You cannot appeal DOE’s decision on a waiver request.

9. Performance of Work in the United States (Foreign Work Waiver) All work for the projects selected under this NOFO must be performed in the United

States, unless you have a written waiver from DOE and prior approval by the DOE Grants Officer. To request a waiver of this requirement, you must submit an explicit waiver request in the application for each entity proposing performance of work outside of the United States.

Overall, a waiver request must demonstrate to the satisfaction of DOE that it:

• Would further the purposes of this NOFO

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• Is otherwise in the best interest of the DOE program objectives

• Is in the economic and energy security interests of the United States

• Does not pose an undue RTES risk (see Due Diligence Review for Research Technology and Economic Security below)

• Is otherwise in the best interest of DOE program goals and agency priorities.

A request for a foreign work waiver must include:

• The rationale for performing the work outside the United States (foreign work)

• A description of the work proposed to be performed outside the United States

• An explanation of how the foreign work is essential to the project

• A description of the anticipated benefits to be realized by the proposed foreign work and the anticipated contributions to the U.S. economy

• The associated benefits to be realized and the contribution to the project from the foreign work

• How the foreign work will benefit the United States, including manufacturing, contributions to employment in the United States, and growth in new markets and jobs in the United States

• How the foreign work will promote manufacturing of products and services in the United States

• A description of the likelihood that Intellectual Property (IP) will be created from the foreign work and the treatment of any such IP

• The total estimated cost (DOE and recipient cost share) of the proposed foreign work

• The countries where the foreign work is proposed to be performed

• The name of the entity that would perform the foreign work

We may require additional information before considering the waiver request. You cannot appeal DOE’s decision on a waiver request.

10. Digital Persistent Identifier (PID) For all Research and Development (R&D) NOFOs, if you are required to submit a

Biographical Sketch or Current and Pending (Other) Support disclosures, you must provide a digital persistent identifier (PID) in these disclosures as part of the application. These PIDs must meet the common/core standards specified in the NSPM-33 Implementation Guidance or successor guidance (e.g., an ORCID iD). The PID is a digital identifier that is globally unique, persistent, machine resolvable and processable and has an associated metadata schema.

Consistent with NSPM-33, PIDs for individuals are used to identify an individual person.

Every covered individual must have a PID with their Current and Pending Support submission as described above and in NOFO Part 1, Application Content Requirements— Covered Individual Definition, Designation, and Responsibility.

11. Research Security Training Requirement The research security training requirement applies to R&D applications. Covered individuals listed on applications under this NOFO must certify that they have taken research security training consistent with section 10634 of the CHIPS and Science Act of 2022. In addition, if you receive an award, you must maintain sufficient records of your compliance with this requirement for covered individuals at your organization and for all subrecipients. You must https://orcid.org/register

Version 4.1 Page 18 of 47 retain these records for the time period noted in 2 C.F.R. § 200.334 and make them available to DOE on request.

Include this information for each covered individual with the Current and Pending Support submission as described above and in NOFO Part 1, Application Content Requirements—Covered Individual Definition, Designation, and Responsibility.

12. Transparency of Foreign Connections You must provide a Transparency of Foreign Connections disclosure and certification as it relates to the proposed recipient and subrecipients. Include a separate disclosure for the applicant and each proposed subrecipient.

Disclosure Format

For the convenience of the entity providing the disclosure and certification, a template is available at Transparency of Foreign Connections; however, you are not required to use this format. If you use another format, the signatory must include the same substantive information, a signature, the date, and the certification statement provided at Transparency of Foreign Connections.

Disclosure exceptions by entity type

• U.S. national laboratories and domestic government entities are not required to provide the Transparency of Foreign Connections disclosure

• Institutions of higher education are only required to respond to items with an asterisk (*)

• The disclosure requirements are determined by the entity type. Even if the applicant is exempt, the subrecipients must provide these disclosures unless the subrecipient is also exempt Applicants, regardless of entity type, must provide complete responses for project team members that are not U.S. national laboratories, domestic government entities, or institutions of higher education.

Questions

Contact rtesinfo@hq.doe.gov DOE reserves the right to request additional or clarifying information based on the information submitted.

13. Potentially Duplicative Funding Notice If you or a project team member has other active Federal awards, you must determine whether the activities of those awards potentially overlap with the activities in your application to this NOFO. If the projects overlap, you must notify DOE in writing of the potential overlap and state how you will ensure that project funds (i.e., recipient cost share and federal funds) will not be used for identical cost items under multiple awards.

14. Locations of Work If required in NOFO Part 1, Application Content and Form—Application Content

Requirements, you must provide a list of locations where the recipient and subrecipients will perform project work, including the information identified in the Locations of Work (LOW) template for each location. The Locations of Work template is available on eXCHANGE (NOFO Part 1, Application Content and Form—Application Content Requirements, provides the https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR4acc10e7e3b676f/section-200.334 https://www.energy.gov/ia/transparency-foreign-connections https://www.energy.gov/ia/transparency-foreign-connections https://www.energy.gov/ia/transparency-foreign-connections mailto:rtesinfo@hq.doe.gov

Version 4.1 Page 19 of 47 file format and name instructions). We strongly encourage you to use the template. If you decide not to use the template, your submission must include all elements outlined in the template.

15. Environmental Considerations Summary Refer to NOFO Part 1, Application Content and Form—Application Content

Requirements, to determine if the Environmental Considerations Summary is required. If required, you can find the template in eXCHANGE.

16. Environmental Impact Volume Refer to NOFO Part 1, Application Content and Form—Application Content

Requirements, to determine if the Environmental Impact Volume (EIV) is required. If required, you can find the template will in eXCHANGE.

The Environmental Impact Volume should describe the proposed action, its alternatives, and the existing environment.

17. Environmental Questionnaire Refer to NOFO Part 1, Application Content and Form—Application Content

Requirements, to determine if the Environmental Questionnaire is required. If required, you can find the template in eXCHANGE.

The Environmental Questionnaire must include the scope of work for the entire project.

You must submit a separate Environmental Questionnaire for each proposed subrecipient performing work at every location. If selected for award and you didn’t know a subrecipient’s work location at the time of application, you must submit another Environmental Questionnaire before you perform any work at that location.

When the Environmental Questionnaire is required, our decision if and how to distribute federal funds under this NOFO is subject to the National Environmental Policy Act (42 U.S.C. § 4321, et seq.).

18. Lobbying Activities Recipients and subrecipients cannot use any federal funds to influence or attempt to influence, directly or indirectly, congressional action on any legislative or appropriation matters.

Applicants and proposed subrecipients that have lobbying activities to disclose

Complete and submit the Disclosure of Lobbying Activities (SF-LLL) available at https://apply07.grants.gov/apply/forms/sample/SFLLL_2_0-V2.0.pdf to certify you have not and will not pay any nonfederal funds to any person for influencing or attempting to influence any of the following in connection with this application:

• An officer or employee of any Federal agency

• A member of Congress

• An officer or employee of Congress

• An employee of a member of Congress https://apply07.grants.gov/apply/forms/sample/SFLLL_2_0-V2.0.pdf

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Recipients and subrecipients that have no lobbying activities to disclose Complete and submit the Certification Regarding Lobbying form (OMB 4040-0013) available at https://apply07.grants.gov/apply/forms/sample/GG_LobbyingForm-V1.1.pdf.

19. Summary for Public Release You must submit a one-page summary of your project that we can disseminate to the public.

Summary of Public Release Content

Applicant Name Provide the legal name of the applicant.

Major Participant Names List all significant project participants and their roles.

Lead Project Manager/Principal Investigators

Provide names and titles.

Project Title Provide the title for the planned project.

Project Locations Provide the locations of work for the proposed project.

Project Objectives Identify the overarching project objectives aligned with requirements set forth in the NOFO.

Project Description The description must include methods to be employed, the potential impact of the project (e.g., benefits, outcomes), and the project’s goals.

Publicly Releasable (Unlimited Rights)

This document must not include any proprietary or business-sensitive information because we may make it available to the public after selections are made.

Page Limit Clarification The summary must not exceed the stated page limit found in the NOFO Part 1, Application Content and Form— Application Content Requirements when printed, using standard 8.5” x 11” paper with 1” margins (top, bottom, left, and right) and font not smaller than 12-point.

20. Summary Slide You must provide one slide summarizing the proposed project. The Summary Slide requirements and instructions are in NOFO Part 1, Application Content and Form—Application Content Requirements, and the suggested Summary Slide template is available on eXCHANGE.

Summary Slide Content

Project Title Provide the title for the planned project.

Applicant Provide the legal name of the applicant.

https://apply07.grants.gov/apply/forms/sample/GG_LobbyingForm-V1.1.pdf

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D. Reply to Reviewer Comments

1. Content and Form of Replies to Reviewer Comments

Refer to NOFO Part 1, Application Content and Form—Summary, to determine if the Reply to Reviewer Comments Submission Phase applies.

If so, we will provide applicants with reviewer comments following our evaluation of all eligible applications. You will have a brief opportunity to prepare a short Reply to Reviewer Comments (Reply). The Reply must not exceed three pages. If a Reply is more than three pages, we will read only the first three pages. You may use the Reply to respond to one or more comments or to supplement your application. The Reply may include text, graphs, charts, or data.

We will post the reviewer comments in eXCHANGE. The expected submission deadline is on the cover page of NOFO Part 1; however, you must monitor eXCHANGE to ensure the expected due date has not changed. We will not extend the deadline if you do not submit your reply on time because you did not check eXCHANGE for updates. You should expect to have about three business days to prepare and submit a reply.

You are not required to submit a Reply to Reviewer Comments. We will review and consider each eligible application, even if we do not receive a reply or we find it to be ineligible.

E. Additional Requirements

1. Allowable Costs

All expenditures must be allowable, allocable, and reasonable under the applicable Federal cost principles. According to 2 C.F.R. § 910.352, the cost principles in the Federal Acquisition Regulations (48 C.F.R. § 31.2) apply to for-profit entities. The cost principles in 2 C.F.R. Part 200, Subpart E, apply to all entities other than for-profits.

Project Locations Provide the locations of work for the proposed project.

PI/LPM and Key Personnel Information

Provide names and titles.

Requested DOE Funds Identify Federal funds requested for the project.

Proposed Cost Share Provide the amount of cost share contribution.

Technology Summary Describe the technology to be developed.

Technology Impact Describe the impact of the proposed technology if the project is successful.

Project Goals Identify the overarching project goals.

Key Graphics Provide illustrations, charts, or tables if they add to your description.

Key Idea / Takeaway Describe the key takeaway for DOE.

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2. Pre-Award Costs If selected for award negotiations (selectees), you must request prior written approval to charge pre-award costs. Pre-award costs are those incurred before the effective date of the negotiated Federal award where such costs are necessary for efficient and timely performance of the scope of work.

These costs are allowable only to the extent that they would have been allowable if you incurred after the effective date of the Federal award and only with the written approval of the Federal awarding agency through the Grants Officer.

You cannot incur pre-award costs before the Selection Official signs the Selection Statement and Analysis.

Pre-award expenditures are made at your own risk. DOE is not obligated to reimburse costs:

• In the absence of appropriations

• If an award is not made

• If an award is made for a less than you anticipated

National Environmental Policy Act (NEPA) Requirements Related to Pre-Award Costs DOE’s decision if and how to distribute Federal funds under this NOFO is subject to

NEPA. Carefully consider and seek legal counsel or other expert advice before taking any action related to the proposed project that would have an adverse effect on the environment or limit the choice of reasonable alternatives before we…