DOE Standard Terms and Conditions

Version 2

Standard Terms and Conditions

Laws, Regulations, National Policies, Executive

Orders, and Guidance Incorporated by

Reference The following are incorporated into this award by reference:

• Financial Assistance Regulations at 2 CFR Part 200, as adopted and supplemented by

2 CFR Part 910, and subject to deviations issued pursuant to 2 CFR 910.133

• National Policy Requirements (November 12, 2020)

• Recipient’s Application for Financial Assistance as approved by DOE

• Notice of Funding Opportunity under which the project was selected (if applicable)

• Research Terms & Conditions (November 12, 2020) and the DOE Agency Specific

Requirements (November 12, 2020) at https://www.nsf.gov/awards/managing/rtc.jsp (as applicable)

• Other program regulations at http://www.eCFR.gov (as applicable)

Applicability of Standard Terms and Conditions These Standard Terms and Conditions comply with 2 CFR 200.211(c) and provide a common set of financial assistance terms that can be applied to all applicable DOE awards. The

Special Terms and Conditions are a companion document to the Standard Terms and Conditions, comply with 2 CFR 200.211(d), and address the unique aspects of a particular award driven by program specific requirements, statutory criteria, risks, or other considerations. Recipients must meet the requirements set forth in both the Standard Terms and Conditions and Special Terms and Conditions, if applicable. In instances where requirements may conflict, the Special Terms and Conditions will take precedence.

Financial Assistance Regulations at 2 CFR Part 200, as adopted and supplemented by 2

CFR 910 (subject to any deviations issued pursuant to eCFR :: 2 CFR 910.133 — Deviation authority) are incorporated into the Standard Terms and Conditions by reference.

In some instances, the terms and conditions reference specific sections of 2 CFR Part 200 and 2 CFR Part 910 to provide clarity regarding their implementation. These references do not replace, limit, or eliminate the applicability of the remaining portions of the Financial Assistance

Regulations to the award.

The following tables provide an index of the sections of the regulations. The references in these tables are for convenience and do not replace the recipient’s own due diligence in reviewing and complying with these regulations.

2 CFR Part 200, "Federal Agency" Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910?toc=1 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-B/section-910.133 https://www.energy.gov/sites/default/files/2021-09/National%20Policy%20Assurances%20-%20November%202020.pdf https://www.nsf.gov/awards/managing/rtc.jsp http://www.ecfr.gov/ https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-C/section-200.211 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-C/section-200.211 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-C/section-200.211 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-C/section-200.211 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200?toc=1 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910?toc=1

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Subpart Title Reference

A Acronyms 2 CFR 200

Definitions 2 CFR 200.1

B General Provisions 2 CFR 200.100 - 113

C Pre-Federal Award Requirements and Contents of Federal

Awards

2 CFR 200.200 - 217

D

Post Federal Award Requirements 2 CFR 200.300 - 309

Property Standards 2 CFR 200.310 - 316

Procurement Standards 2 CFR 200.317 - 327

Performance and Financial Monitoring and Reporting 2 CFR 200.328 - 330

Subrecipient Monitoring and Management 2 CFR 200.331 - 333

Record Retention and Access 2 CFR 200.334 - 338

Remedies for Noncompliance 2 CFR 200.339 - 343

Closeout 2 CFR 200.344

Post -Closeout Adjustments and Continuing

Responsibilities

2 CFR 200.345

Collection of Amounts Due 2 CFR 200.346

E Cost Principles 2 CFR 200.400 - 476

F Audit Requirements 2 CFR 200.500 - 521

2 CFR Part 910 "DOE" Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards

Subpart Title Reference

A Reserved

B General Provisions 2 CFR 910.120 - 133

C Reserved

D Post Award Federal Requirements for For-Profit Entities 2 CFR 910.350 - 372

Appendix A: Patent and Data Provisions

E Cost Principles 2 CFR 910.401

F Audit Requirements for For-Profit Entities 2 CFR 910.500 - 521

Notice Regarding Use of Hyperlinks Hyperlinks are provided to improve the readability of the terms as a convenience to the recipient. The hyperlinked citation is applicable and in full effect on the effective date of Award

Agreement, (or amended terms and conditions as may be applicable). If a hyperlink is broken, dead, or orphaned, the referenced regulation remains applicable.

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-A/subject-group-ECFR2a6a0087862fd2c/section-200.0 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-A/subject-group-ECFR2a6a0087862fd2c/section-200.1 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#subpart-B https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-C https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-C https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#subpart-D https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#subject-group-ECFR8feb98c2e3e5ad2 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR45ddd4419ad436d https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR36520e4111dce32 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR031321e29ac5bbd https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR4acc10e7e3b676f https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR86b76dde0e1e9dc https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR682eb6fbfabcde2 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFRbceb211a19344ce https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFRbceb211a19344ce https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR1b58ad86a04a1d3 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#subpart-E https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#subpart-F https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-B https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-D https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-D/appendix-Appendix%20A%20to%20Subpart%20D%20of%20Part%20910 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-E https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-F

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Table of Contents

Laws, Regulations, National Policies, Executive Orders, and Guidance Incorporated by Reference

Applicability of Standard Terms and Conditions

Notice Regarding Use of Hyperlinks

Table of Contents

I. Administrative Terms

A. Legal Authority and Effect B. Recipient Responsibilities C. Mandatory DOE Notifications D. Performance Measurement E. Subaward and Contract Requirements F. Funding Availability G. National Security: Classifiable Results Originating Under an Award H. Prohibition Against Re-Assignment I. Compliance with Federal, Tribal, State, and Local Laws J. Permits and Approvals K. Corporate Felony Conviction and Federal Tax Liability Assurances L. Nondisclosure and Confidentiality Agreements Assurances M. Pre-Award Information N. Termination O. Noncompliance P. Prohibition on the Use of Funds for Activities Related to Federal Acquisition Security Council

(FASC)-Prohibited Unmanned Aircraft Systems Q. Computer Network Restrictions

II. National Policy Terms

A. Terms and Conditions Incorporated by Reference B. National Environmental Policy Act C. Historic Preservation Act D. Drug Free Workplace E. Nonprocurement Debarment and Suspension F. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty G. Lobbying H. Fraud, Waste and Abuse I. Human Subjects Research J. Laboratory Animal Welfare Act K. Build America, Buy America Act (BABA) Requirement L. Implementation of Executive Order 14173, Ending Illegal Discrimination and Restoring Merit-Based

Opportunity

III. DOE Terms

A. Liability B. Interim Conflict of Interest Policy for Financial Assistance C. Organizational Conflict of Interest D. Environmental, Safety and Health Performance of Work at DOE Facilities E. Insolvency, Bankruptcy or Receivership F. Impacted Indian Tribes G. Acknowledgement and Disclaimer Language

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IV. Research, Technology, and Economic Security (RTES) Terms

A. RTES Due Diligence Reviews and Monitoring B. Required Risk Mitigation C. Transparency of Foreign Connections D. Foreign Collaboration Considerations E. Research Security Training Requirement F. Digital Persistent Identifiers G. Entity of Concern Prohibition H. Performance of Work in United States (Foreign Work Waiver) I. Export Control J. Malign Foreign Talent Recruitment Program Prohibition

V. Financial Terms

A. Pre-Award Costs B. Cost Share Compliance C. Federal Payment D. Audits E. Conference Spending F. Budget Changes G. Subrecipient Change Notification

VI. Equipment and Real Property Terms

A. Notice Regarding the Purchase of American-Made Equipment and Products – Sense of Congress B. Title to Real Property and Equipment C. Federally Owned Property (Government-Furnished)

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I. Administrative Terms A. Legal Authority and Effect

A DOE financial assistance award is valid only if it is in writing and is signed, either in writing or electronically, by a Grants Officer.

The recipient may accept or reject the award. A request to draw down DOE funds or acknowledgement of award documents by the recipient’s authorized representative through electronic systems used by DOE, specifically FedConnect, constitutes the recipient's acceptance of the terms and conditions of this award. Acknowledgement via FedConnect by the recipient’s authorized representative constitutes the recipient's electronic signature.

B. Recipient Responsibilities

By accepting the award, the recipient accepts responsibility for administration of the award consistent with federal statutes, regulations, and the terms and conditions of the award.

The recipient must promptly notify DOE of any significant developments relating to the administrative, programmatic, technical, environmental, financial aspects, etc. of the award as well as any incident associated with the project (positive or negative) that has the potential for high visibility in the media. Please see Mandatory DOE Notifications for specifics.

C. Mandatory DOE Notifications

Recipients must promptly notify DOE in writing to the Grants Officer, Specialist, and

Federal Project Manager for your award as identified in the Assistance Agreement should any of the instances described below occur during the course of your DOE financial assistance award.

Description of Notification Requirements Location

Any fatality, injury, or illness that results in loss of consciousness or requires medical treatment beyond first aid involving an employee, or member of the public, resulting in any way from the performance of this award.

Standard Terms, “Liability”

Refusal of a subrecipient to accept flow down requirements within 5 business days of refusal.

Standard Terms, “Subaward and

Contract Requirements”

Any incident arising out of or relating to work under the award that has the potential for high visibility in the media upon occurrence.

Standard Terms, “Recipient

Responsibilities”

Any violations of Federal, State, Tribal, and local laws (i.e., environmental, health, safety, or labor laws and regulations) arising out of or relating to work under the award upon occurrence.

Standard Terms, “Compliance with

Federal, Tribal, State, and Local

Laws”

Any notices or claims of patent or copyright infringement arising out of or relating to the performance of the DOE award upon occurrence.

Award Attachments, “Intellectual

Property Provisions” https://www.fedconnect.net/FedConnect/Default.htm https://www.fedconnect.net/FedConnect/Default.htm

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Significant problems relating to the administrative, programmatic, technical, environmental (i.e., compliance with permits, etc.), or financial aspects of the award immediately upon occurrence.

Standard Terms, “Recipient

Responsibilities”

Any noncompliance with approved Federal, Tribal, State, and

Local permits, licenses, authorizations, and approvals upon occurrence.

Standard Terms, “Permits and

Approvals”

Any adverse environmental event that significantly impacts social, cultural, economic, and natural resources (i.e., any significant environmental permit violation, incident which causes a significant process or hazard control system failure, environmental contamination or the need for environmental cleanup) immediately upon occurrence.

Standard Terms, “National

Environmental Policy Act”

Any information arising during the award that may require classification immediately and no later than five (5) days.

Standard Terms, “National

Security: Classifiable Results

Originating Under an Award”

Any information alleging a violation of a prohibition identified in 2 CFR 175.105(a) immediately upon occurrence.

Standard Terms, “Terms and

Conditions Incorporated by

Reference”

Any employee under the award convicted for a violation of a criminal drug statute within ten (10) calendar days of occurrence in accordance with 2 CFR 182.225(a).

Standard Terms, “Drug Free

Workplace”

Any violations of the lobbying restrictions in the award upon occurrence.

Standard Terms, “Lobbying”

Any information regarding fraud, waste, abuse, or mismanagement immediately upon occurrence to the Office of the Inspector General.

Standard Terms, “Fraud, Waste and

Abuse”

Significant negative developments such as problems, delays, or adverse conditions identified in accordance with 2 CFR

200.329(e) at least 20 working days prior to occurrence or as known. This notification also includes positive developments such as meeting milestones early, cost savings, etc., and any developments impacting performance of commitments made under 200.318(i).

Special Terms, “Federal

Stewardship”

Insolvency, bankruptcy, receivership, or an audit determination that the company may not proceed as a going concern immediately and no later than 5 days.

Standard Terms, “Insolvency, Bankruptcy or Receivership”

Plans for Tribal interactions in sufficient time to determine the need for DOE participation prior to such interactions.

Standard Terms, “Impacted Indian

Tribes”

Confirmation or belief that an owner of the recipient, owner of a subrecipient, or individual on the project team is participating in a Malign Foreign Talent Recruitment Program within five (5) business days of learning of the participation.

Special Terms, “Malign Foreign

Talent Recruitment Program

Prohibition”

Participation in the project by an Entity of Concern immediately upon occurrence.

Standard Terms, “Entity of Concern

Prohibition”

Export control investigations, indictments, charges, convictions, and violations at the recipient or subrecipient level immediately upon occurrence.

Standard Terms, “Export Control” https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-175/subpart-A/section-175.105 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182/subpart-B/section-182.225 https://www.energy.gov/ig/ig-hotline https://www.energy.gov/ig/ig-hotline https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR36520e4111dce32/section-200.329 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR36520e4111dce32/section-200.329

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Any loss, damage, or theft of equipment that will have an impact on the program at the recipient or subrecipient within fifteen (15) business days of occurrence.

2 CFR 200.313(d)(3)

Any specific conditions as described in 2 CFR 200.208 planned to be placed on a subaward prior to contractual execution.

2 CFR 200.332(d)

Any conditions identified in the Transparency of Foreign

Connections Term within fifteen (15) business days of the planned interactions or learning of a previously undisclosed interaction or equipment covered under this Term.

Standard Terms, “Transparency of

Foreign Connections”

Any improper claims or excess payments arising out of or relating to work under the award immediately upon occurrence.

Standard Terms, “Federal

Payment”

Any violations of the cost share requirements under the award upon occurrence.

Standard Terms, “Cost Share

Compliance”

Inability of the recipient to meet its cost sharing obligations immediately upon occurrence.

Standard Terms, “Cost Share

Compliance”

D. Performance Measurement

In accordance with 2 CFR 200.301, the recipient’s progress in achieving the goals, targets, objectives, outcomes, schedule, and plans included within the full suite of award documents (including attachments) in addition to those delivered in accordance with award

Attachment, Federal Assistance Reporting Checklist, will be assessed during the project period to evaluate achievement of program goals and objectives.

E. Subaward and Contract Requirements

The recipient agrees to apply the terms and conditions of this award, including the Intellectual Property Provisions, to any subrecipients except for DOE National Laboratories, (and contractors, as appropriate) where applicable. Consistent with 2 CFR 200.101(b), 2 CFR

200.327 (Appendix II to Part 200), and 2 CFR 200.332. For the purposes of the subaward(s) to a

DOE National Laboratory, the recipient shall use an agreement consistent with the terms of the

Management and Operating (M&O) Contract of the Laboratory (e.g., Strategic Partnership

Projects or CRADA). Such agreements that are approved by the M&O Contracting Officer, in consultation with the DOE Patent Counsel, shall be considered compliant with the flow down requirements of the terms and conditions of this award. The recipient should consult with the

Grants Officer on the applicability of this flow down requirement to Federally Funded Research and Development Centers (FFRDCs).

Recipients that enter into subawards must execute a legally binding written agreement with the subrecipient, regardless of the value of the award. This agreement must incorporate all the applicable terms and conditions of this award, including any applicable Special Award

Conditions, and must include the information at 2 CFR 200.332(b). The recipient must perform all responsibilities required of a pass-through entity, as specified at 2 CFR 200.332, including but not limited to monitoring use of awarded funds and compliance with all terms and conditions;

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#200.313 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#200.208 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR031321e29ac5bbd/section-200.332 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/section-200.301 https://www.ecfr.gov/on/2024-04-22/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR031321e29ac5bbd/section-200.332 https://www.ecfr.gov/on/2024-04-22/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR031321e29ac5bbd/section-200.332

8 Version 2.0 following up on any deficiencies identified as a result of onsite or desk reviews and/or audits;

and reviewing and correcting as necessary all subrecipient performance and financial reporting before including this information on the recipient’s required reports.

Recipients must verify that a proposed subrecipient is not excluded or disqualified from receiving or participating in federal awards prior to making a subaward to the proposed subrecipient by checking SAM.gov and documenting the results of the search. The recipient must evaluate and document each subrecipient’s risk of noncompliance with federal statutes, regulations, and the terms and conditions of the subaward for purposes of determining the appropriate subrecipient monitoring strategy, as described in 2 CFR 200.332(c).

The recipient must monitor the subrecipient’s use of federal funds through reporting, site visits, regular contact, or other means to provide reasonable assurance that the subrecipient is administering the subaward in compliance with award requirements and to ensure that the scope of work is being appropriately carried out and milestones are achieved. The recipient must, if necessary, take appropriate enforcement actions against noncompliant subrecipients.

The recipient must promptly notify DOE of any subrecipient refusal to accept flow down provisions or prior to implementation of any special conditions in subrecipient agreements.

F. Funding Availability

Funding not obligated at the time of award and funding for any future budget periods is subject to availability of funds, program authority, satisfactory performance, the project continuing to support DOE’s programmatic goals, economic viability and compliance with the award terms and conditions.

If the award is a single performance period and the federal share is fully obligated, DOE will have fulfilled its maximum award funding obligation.

G. National Security: Classifiable Results Originating Under an

Award

DOE does not expect that the results of the project will involve classified information.

Under certain circumstances, however, a classification review of information originated under the award may be required. DOE may review work under this award at any time to determine if it requires classification.

Some information concerning scientific, technological, economic matters, or other matters relating to national security or cryptology may arise during the award and require classification. If the recipient originates information during the course of this award that the recipient believes requires classification, the recipient must immediately and no later than 5 days from the identification of the concern:

1. Notify the Federal Project Manager and the Grants Officer; and https://www.ecfr.gov/on/2024-04-22/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR031321e29ac5bbd/section-200.332

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2. Submit the information by registered mail directly to the Director, Office of

Classification and Information, SO-10.2; U.S. Department of Energy; P.O. Box A;

Germantown, MD 28075-0963, for classification review; and

3. Restrict access to the information to the maximum extent possible until the recipient is informed that the information is not classified, but no longer than 60 days after receipt by the Director, Office of Classification and Information Control.

If DOE determines any of the information requires classification, the recipient agrees that the DOE may modify or terminate the award with consent of the recipient in accordance with 2

CFR 200.340(a)(3) or (4). All material deemed to be classified must be forwarded to DOE in a manner specified by DOE. If DOE does not respond within the specified time periods, the recipient is under no further obligation to restrict access to the information.

Any award activities anticipated to involve production or use of special nuclear material

(i.e., plutonium, uranium enriched in the isotope 233 or 235, and any other material so determined under Section 51 of the Atomic Energy Act) or nuclear energy, are unallowable until such time as the Grants Officer provides prior approval. See “Prior Approval” term in the

Special Terms and Conditions.

H. Prohibition Against Re-Assignment

Except as otherwise provided by Federal statute, the recipient must not transfer, pledge, mortgage, assign, encumber or hypothecate this award, or any rights to, interests therein or claims arising thereunder, to any party or parties, including but not limited to banks, trust companies, other financing or financial institutions, or any other public or private organizations or individuals without the express prior written approval of the Grants Officer. See “Prior

Approval” term in the Special Terms and Conditions.

I. Compliance with Federal, Tribal, State, and Local Laws

The recipient must comply with all applicable Federal, Tribal, State, and Local Laws and regulations for all activities performed under this award.

The recipient must notify DOE of any impending or actual violations of any Federal, Tribal, State, or Local Laws or the award terms and conditions (to include all award attachments).

Any apparent inconsistency between federal statutes and regulations and the Terms and

Conditions contained in this award must be referred to the Specialist and Federal Project

Manager as identified in the Assistance Agreement for this award for guidance.

J. Permits and Approvals

The recipient is required to obtain and maintain all applicable Federal, Tribal, State, and

Local permits, licenses, authorizations, and approvals for activities under this award.

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#200.340 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#200.340 https://www.govinfo.gov/content/pkg/COMPS-1630/pdf/COMPS-1630.pdf

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The recipient must immediately notify DOE of noncompliance with any approved

Federal, Tribal, State, and Local permits, licenses, authorizations, and approvals issued for activities under the award.

K. Corporate Felony Conviction and Federal Tax Liability

Assurances

In accordance with Sections 744 and 745 of Division E of the Consolidated and Further

Continuing Appropriations Act of 2015 (Pub. L. No. 113-235), recipients organized as corporations are prohibited from receiving a DOE financial assistance award if the organization has an unpaid federal tax liability or has been convicted of a felony criminal violation under federal law in the 24 months preceding the award date.

A corporation includes any entity that has filed articles of incorporation in any of the 50 states, the District of Columbia, or the various territories of the United States, but not foreign corporations. It includes both for-profit and non-profit organizations.

By entering into this award, the recipient attests that its corporation has not been convicted of a felony criminal violation under federal law in the 24 months preceding the date of signature and further attests that its corporation does not have any unpaid federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability.

L. Nondisclosure and Confidentiality Agreements Assurances

The following attestation is required for compliance with Section 747 of Division E of the Consolidated and Further Continuing Appropriations Act of 2015 (Pub. L. No. 113-235).

By entering into this agreement, the recipient attests that it does not and will not require its employees or contractors to sign internal nondisclosure or confidentiality agreements or statements prohibiting or otherwise restricting its employees or contractors from lawfully reporting waste, fraud, or abuse to a designated investigative or law enforcement representative of a federal department or agency authorized to receive such information.

The recipient further attests that it does not and will not use any federal funds to implement or enforce any nondisclosure and/or confidentiality policy, form, or agreement it uses unless it contains the following provisions:

1. These provisions are consistent with and do not supersede, conflict with, or otherwise alter the employee obligations, rights, or liabilities created by existing statute or Executive

Order relating to (1) classified information, (2) communications to Congress, (3) the reporting to an Inspector General of a violation of any law, rule, or regulation, or mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific danger to public health or safety, or (4) any other whistleblower protection. The definitions, requirements, obligations, rights, sanctions, and liabilities created by https://www.congress.gov/113/statute/STATUTE-128/STATUTE-128-Pg2130.pdf https://www.congress.gov/113/statute/STATUTE-128/STATUTE-128-Pg2130.pdf https://www.congress.gov/113/statute/STATUTE-128/STATUTE-128-Pg2130.pdf#page=263 https://www.congress.gov/113/statute/STATUTE-128/STATUTE-128-Pg2130.pdf#page=263

11 Version 2.0 controlling Executive Orders and statutory provisions are incorporated into this agreement and are controlling.

2. The limitation above shall not contravene requirements applicable to Standard Form 312

- Classified Information Nondisclosure Agreement, Standard Form 4414 – (U) Sensitive

Compartmented Information Nondisclosure Agreement, or any other form issued by a federal department or agency governing the nondisclosure of classified information.

3. Notwithstanding the provision listed in paragraph (a), a nondisclosure or confidentiality policy form or agreement that is to be executed by a person connected with the conduct of an intelligence or intelligence-related activity, other than an employee or officer of the

United States Government, may contain provisions appropriate to the particular activity for which such document is to be used. Such form or agreement shall, at a minimum, require that the person will not disclose any classified information received in the course of such activity unless specifically authorized to do so by the United States Government.

Such nondisclosure or confidentiality forms shall also make it clear that they do not bar disclosures to Congress, or to an authorized official of an executive agency or the

Department of Justice, that are essential to reporting a substantial violation of law.

M. Pre-Award Information

Prior to award, the recipient was required to provide certain information, disclosures, representations, and certifications. Certification of the information was required by the recipient’s authorized representative on behalf of the recipient, via the pre-award information sheet. If there are any changes to the provided information, disclosures, representations, and/or certifications throughout the life of the award, the recipient must notify the Grants Officer, in writing, within fifteen (15) business days of the changes, unless a different notification period is specified in an applicable law or controlling term, in which case the specific period controls.

N. Termination

In accordance with 2 CFR 200.340 the award may be terminated in part or its entirety as follows:

(1) By the Federal Agency or pass-through entity if the recipient or subrecipient fails to comply with the terms and conditions of the Federal award;

(2) By the Federal Agency or pass-through entity with the consent of the recipient or subrecipient, in which case the two parties must agree upon the termination conditions.

These conditions include the effective date and, in the case of partial termination, the portion to be terminated;

(3) By the recipient or subrecipient upon sending the Federal Agency or pass-through entity a written notification of the reasons for such termination, the effective date, and, in the case of partial termination, the portion to be terminated. However, if the Federal Agency or pass-through entity determines that the remaining portion of the Federal award will not accomplish the purposes for which the Federal award was made, the Federal Agency or pass-through entity may terminate the Federal award in its entirety; or https://www.gsa.gov/system/files/2024-06/SF312-23.pdf https://www.gsa.gov/system/files/2024-06/SF312-23.pdf https://www.dni.gov/files/NCSC/documents/Regulations/FORM%204414_Rev_12-2013_fillable.pdf https://www.dni.gov/files/NCSC/documents/Regulations/FORM%204414_Rev_12-2013_fillable.pdf

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(4) By the Federal Agency or pass-through entity pursuant to the terms and conditions of the

Federal award, including, to the extent authorized by law, if an award no longer effectuates the program goals or agency priorities. The program goals and agency priorities include, but are not limited to, the objectives specified in the Notice of Funding Opportunity under which the project was selected (if applicable).

O. Noncompliance

If the recipient fails to comply with Federal statutes, regulations or the Standard or

Special terms and conditions of the award, the Grants Officer may take appropriate action in accordance with 2 CFR 200.339 including, but not limited to, withholding payments, disallowing costs, suspending or terminating the award, or initiating suspension and debarment proceedings.

The Grants Officer will notify the recipient of DOE’s determination that an instance of noncompliance has occurred, provide details regarding the instance of noncompliance, and indicate a proposed remedy. The recipient will have up to 30 calendar days to respond and provide information and documentation contesting the determination or suggesting an alternative remedy. The Grants Officer will consider any and all information provided by the recipient and issue a final determination in writing, which will state DOE’s findings regarding noncompliance and the remedy to be imposed.

P. Prohibition on the Use of Funds for Activities Related to Federal

Acquisition Security Council (FASC)-Prohibited Unmanned

Aircraft Systems

Pursuant to the prohibition in section 1825 of the American Security Drone Act of 2023

(Public Law 118-31), on or after December 22, 2025, the following prohibition applies to the use of funds provided through this award:

(1) Definition - The terms "FASC-prohibited unmanned aircraft system" and "unmanned aircraft system" have the definitions provided in 48 CFR 40.201, or successor regulation.

(2) Prohibition – No Federal funds awarded through this award may be used by a recipient or subrecipient:

(i) To procure a FASC-prohibited unmanned aircraft system; or

(ii) In connection with the operation of a FASC-prohibited unmanned aircraft system.

Q. Computer Network Restrictions

The recipient shall not expend any Federal funds to maintain or establish a computer network unless such network blocks the viewing, downloading, and exchanging of pornography.

This prohibition does not apply when carrying out criminal investigations, prosecution, or adjudication activities.

https://www.ecfr.gov/current/title-2/section-200.339 https://www.congress.gov/118/plaws/publ31/PLAW-118publ31.pdf https://www.ecfr.gov/current/title-48/section-40.201

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II. National Policy Terms A. Terms and Conditions Incorporated by Reference

In accordance with the requirements below, the following are incorporated into the award to the extent identified with the same force and effect as though fully set forth herein.

Regulation Requirement

2 CFR 25.220

System for Award Management (SAM.gov) and

Universal Identifier Requirements

2 CFR 170.220 Reporting Subaward and Executive Compensation

2 CFR 175.200 Trafficking in Persons

Appendix XII to 2 CFR

200, Section I(a)(1) Reporting of Matters Related to Recipient Integrity and

Performance

The recipient must immediately notify DOE of information alleging a violation of a prohibition identified in 2 CFR 175.105(a) and any employee under the award convicted of a criminal drug statute violation in accordance with 2 CFR 182.225(a).

B. National Environmental Policy Act

DOE must comply with the National Environmental Policy Act (“NEPA”), 42 USC 4321 et seq. and NEPA implementing procedures at 10 CFR 1021 prior to authorizing the expenditure of Federal funds. Specifically, DOE is required to assess the impact of the activities authorized under this award on the human environment prior to authorizing project activities and associated project costs. The recipient is required to provide any information, documents, site access, or other assistance requested by DOE to complete the NEPA review.

Any project activity that has not received a written National Environmental Policy Act

(NEPA) determination authorizing tasks, activities, or associated costs are unallowable until such time as the Grants Officer provides approval.

The recipient must immediately notify DOE of any adverse environmental event that significantly impacts social, cultural, economic, and natural resources (i.e., any significant environmental permit violation, incident which causes a significant process or hazard control system failure, environmental contamination or the need for environmental cleanup) immediately

C. Historic Preservation Act

State Energy Program and Weatherization Assistance Program awards should refer to the

Historic Preservation Act Term in the Special Terms and Conditions of their award.

DOE must comply with the National Historic Preservation Act ("NHPA"), 54 USC §

306108 et seq., which requires federal agencies to consider the effects of undertaking (federally funded or assisted projects and activities) on historic properties that are listed in or eligible for https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-25/subpart-B/section-25.220 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-25/appendix-Appendix%20A%20to%20Part%2025 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-25/appendix-Appendix%20A%20to%20Part%2025 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-170/subpart-B/section-170.220 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-170/appendix-Appendix%20A%20to%20Part%20170 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-175/subpart-B/section-175.200 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-175/appendix-Appendix%20A%20to%20Part%20175 https://www.ecfr.gov/on/2024-10-18/title-2/subtitle-A/chapter-II/part-200/appendix-Appendix%20XII%20to%20Part%20200#:~:text=Reporting%20of%20Matters,be%20publicly%20available https://www.ecfr.gov/on/2024-10-18/title-2/subtitle-A/chapter-II/part-200/appendix-Appendix%20XII%20to%20Part%20200#:~:text=Reporting%20of%20Matters,be%20publicly%20available https://www.ecfr.gov/on/2024-10-18/title-2/subtitle-A/chapter-II/part-200/appendix-Appendix%20XII%20to%20Part%20200 https://www.ecfr.gov/on/2024-10-18/title-2/subtitle-A/chapter-II/part-200/appendix-Appendix%20XII%20to%20Part%20200 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-175/subpart-A/section-175.105 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182/subpart-B/section-182.225 https://www.govinfo.gov/content/pkg/USCODE-2023-title42/pdf/USCODE-2023-title42-chap55-sec4321.pdf https://www.govinfo.gov/content/pkg/USCODE-2023-title42/pdf/USCODE-2023-title42-chap55-sec4321.pdf https://www.ecfr.gov/current/title-10/chapter-X/part-1021 https://uscode.house.gov/statviewer.htm?volume=128&page=3227 https://uscode.house.gov/statviewer.htm?volume=128&page=3227

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106 of the NHPA. The recipient may not alter any structure or site, including any groundbreaking for any purpose, prior to the resolution of the NHPA process. The requirements of this part are applicable to activities funded under the award and shall be coordinated in conjunction with DOE and, as appropriate, other federal agencies, the State Historic Preservation

Officer or Tribal Historic Preservation Officer, Tribal representatives, and consulting parties.

The recipient may not alter any structure or site, including any groundbreaking for any purpose, prior to the resolution of the NHPA process. The tasks and costs are unallowable until such time as the Grants Officer provides prior approval. See “Prior Approval” term in the

Special Terms and Conditions.

D. Drug Free Workplace

In compliance with 2 CFR 182.20, the DOE has adopted the OMB guidance in 2 CFR

182 Subparts A through F, as the Department’s policies and procedures for the drug-free workplace requirements. Recipients must comply with 2 CFR 182 Subpart B and 2 CFR 182

Subpart C regarding requirements for a drug free workplace.

E. Nonprocurement Debarment and Suspension

In compliance with 2 CFR 180.20, the DOE has adopted the OMB guidance in 2 CFR

Part 180 Subpart A (and as supplemented by 2 CFR Part 601) as the DOE’s policies and procedures for non-procurement debarment and suspension. Recipients must comply with 2

CFR 180 Subpart C regarding transactions when doing business with other participants.

F. Implementation of Executive Order 13798, Promoting Free

Speech and Religious Liberty

In accordance with Executive Order 13798, states, local governments, or other public entities may not condition subawards in a manner that would discriminate or disadvantage subrecipients based on their religious character.

G. Lobbying

By accepting funds under this award, the recipient agrees that none of the funds obligated on the award shall be expended, directly or indirectly, to influence congressional action on any legislation or appropriation matters pending before Congress, other than to communicate to

Members of Congress as described in 18 U.S.C. § 1913. This restriction is in addition to those prescribed elsewhere in statute and regulation. See also 2 CFR 200.450.

The recipient must immediately notify DOE of any violations of the lobbying restrictions https://www.nps.gov/subjects/nationalregister/database-research.htm https://www.ecfr.gov/current/title-36/chapter-VIII/part-800 https://www.ecfr.gov/current/title-36/chapter-VIII/part-800 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182/section-182.20 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182/section-182.20 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182#subpart-B https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182#subpart-B https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182#subpart-C https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182#subpart-C https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-182#subpart-C https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-180#180.20 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-180#subpart-A https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-180#subpart-A https://www.ecfr.gov/current/title-2/subtitle-B/chapter-VI/part-601 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-180/subpart-C https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-180/subpart-C https://www.federalregister.gov/documents/2017/05/09/2017-09574/promoting-free-speech-and-religious-liberty https://uscode.house.gov/view.xhtml?req=granuleid:USC-1999-title18-section1913&num=0&edition=1999 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#200.450

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H. Fraud, Waste and Abuse

The mission of the DOE Office of Inspector General (OIG) is to strengthen the integrity, economy and efficiency of DOE’s programs and operations including deterring and detecting fraud, waste, abuse, and mismanagement. The OIG accomplishes this mission primarily through investigations, audits, and inspections of Department of Energy activities to include grants, cooperative agreements, loans, and contracts. The OIG maintains a Hotline for reporting allegations of fraud, waste, abuse, or mismanagement. To report such allegations, please visit the OIG Hotline.

Additionally, the recipient must be cognizant of the requirements of 2 CFR 200.113

Mandatory Disclosures, which states:

An applicant, recipient, or subrecipient of a federal award must promptly disclose whenever, in connection with the federal award (including any activities or subawards thereunder), it has credible evidence of the commission of a violation of federal criminal law involving fraud, conflict of interest, bribery, or gratuity violations found in Title 18 of the United States

Code or a violation of the civil False Claims Act (31 U.S.C. 3729–3733). The disclosure must be made in writing to the Federal Agency, the agency’s Office of Inspector General, and pass-through entity (if applicable). Recipients and subrecipients are also required to report matters related to recipient integrity and performance in accordance with Appendix

XII of this part. Failure to make required disclosures can result in any of the remedies described in 200.339. (See also 2 CFR part 180, 31 U.S.C. 3321, and 41 U.S.C. 2313.)

I. Human Subjects Research

Award activities involving human subjects, biospecimens, or identifiable private information research are subject to the requirements of 45 CFR 46, Protection of Human

Subjects (subpart A which is referred to as the “Common Rule”), 10 CFR 745, Protection of

Human Subjects, and DOE Order 443.1C, Protection of Human Research Subjects.

The Federal regulation and the DOE Order require review by an Institutional Review

Board (IRB) of all proposed human subjects research projects. The IRB is an interdisciplinary ethics board responsible for ensuring that the proposed research is sound and justifies the use of human subjects or their data; the potential risks to human subjects have been minimized;

participation is voluntary; and clear and accurate information about the study, the benefits and risks of participating, and how individuals’ data/specimens will be protected/used, is provided to potential participants for their use in determining whether or not to participate.

Any project activities that involve tasks such as interactions with humans in some way

(e.g., through surveys); analysis of their identifiable data (e.g., demographic data and energy use over time); asking individuals to test devices, products, or materials developed through research;

and/or testing of commercially available devices in buildings/homes in which humans will be present, etc. (Human Subject Research) are unallowable until such time as the Grants Officer provides prior approval. See “Prior Approval” term in the Special Terms and Conditions.

https://www.energy.gov/ig/ig-hotline https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-B/section-200.113 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-B/section-200.113 https://www.govinfo.gov/content/pkg/USCODE-2023-title31/pdf/USCODE-2023-title31-subtitleIII-chap37-subchapIII-sec3729.pdf https://www.ecfr.gov/on/2024-10-18/title-2/subtitle-A/chapter-II/part-200/subpart-D/subject-group-ECFR86b76dde0e1e9dc/section-200.339 https://www.ecfr.gov/on/2024-10-18/title-2/subtitle-A/chapter-I/part-180 https://www.govinfo.gov/content/pkg/USCODE-2018-title31/html/USCODE-2018-title31-subtitleIII-chap33-subchapII-sec3321.htm https://www.govinfo.gov/content/pkg/USCODE-2011-title41/html/USCODE-2011-title41-subtitleI-divsnB-chap23-sec2313.htm https://www.ecfr.gov/current/title-45/subtitle-A/subchapter-A/part-46#subpart-A https://www.ecfr.gov/current/title-45/subtitle-A/subchapter-A/part-46#subpart-A https://www.ecfr.gov/current/title-10/chapter-III/part-745 https://www.ecfr.gov/current/title-10/chapter-III/part-745 https://www.directives.doe.gov/directives-documents/400-series/0443.1-border-c-chg1-ltdchg/@@images/file

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The prior approval request must include:

1) A registration and a Federalwide Assurance of compliance accepted by the Office of

Human Research Protection (OHRP) in the Department of Health and Human Services;

and

2) Certification that the research has been reviewed and approved by an Institutional Review

Board (IRB) provided for in the assurance. IRB review may be accomplished by the awardee’s institutional IRB; by the Central DOE IRB; or if collaborating with one of the

DOE national laboratories, by the DOE national laboratory IRB.

The recipient is responsible for ensuring all subrecipients comply and for reporting information on the project annually to DOE Human Subjects Research Database (HSRD). Note:

If a DOE IRB is used, no end of year reporting will be needed.

Additional information on the DOE Human Subjects Protection Program.

J. Laboratory Animal Welfare Act

Any project activities involving research on vertebrate animals must comply with the

Laboratory Animal Welfare Act of 1966, as amended (7 U.S.C. 2131 et. seq.) and the regulations promulgated thereunder by the Secretary of Agriculture (9 CFR Subchapter A, Parts

1, 2, 3, and 4 (Animal Welfare)) pertaining to the care, handling, and treatment of vertebrate animals held or used for research, teaching, or other activities supported by federal awards. The recipient must ensure that the guidelines described in the Department of Health and Human

Services (DHHS) Publication No. (NIH) 86-23, Guide for the Care and Use of Laboratory

Animals, (or succeeding revised editions) are followed and comply with the 'U.S. Government

Principles for the Utilization and Care of Vertebrate Animals Used in Testing, Research, and

Training' (included as an Appendix to the NIH Guide).

Project activities involving research on vertebrate animals are unallowable until such time as the Grants Officer provides prior approval. See “Prior Approval” term in the Special

Terms and Conditions. The prior approval request must include the following.

Research Location Deliverable

Domestic Entities

Performing Tasks Inside and Outside the United

States as well as Foreign

Entities Performing…