DE-FOA-0003548 — Unleashing Tribal Energy Development (NOFO Part 1)

Department of Energy (DOE)
Office of Indian Energy Policy and Programs

Notice of Funding Opportunity Number: DE-FOA-0003548
Application due: July 24, 2026, 5 PM E.T.

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Before You Begin

Navigating the Notice of Funding Opportunity

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

• The NOFO Part 1 describes the specific DOE programmatic goals and evaluation criteria, eligibility, and other components that are specific to each funding opportunity.
• The NOFO Part 2 includes the fixed DOE requirements that generally do not change from NOFO to NOFO, including standard information for the application phase, expectations for award negotiations, and post-award requirements.

Applicants must review both the NOFO Part 1 and the NOFO Part 2 prior to applying. To facilitate navigation, you will find references throughout this document to additional information found in Part 2.

There are several required one-time actions applicants must take before applying to this NOFO. Some of these actions may take several weeks, so it is vital applicants build in enough time for their completion. Failure to complete these actions could interfere with application or negotiation deadlines or the ability to receive an award if selected. If you have previously completed the necessary registrations, make sure your registration is active and up to date. All registrations are free. Please refer to NOFO Part 2, Get Registered, for additional information.

This announcement is published in conjunction with NOFO Part 2, Unleashing Tribal Energy Development.

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I. Basic Information

A. Key Facts

• Issuing Agency: Department of Energy, Office of Indian Energy Policy and Programs
• Funding Opportunity Title: Unleashing Tribal Energy Development
• Announcement Type: Initial announcement
• Funding Opportunity Number: DE-FOA-0003548
• Funding Instrument: Grants and Cooperative Agreements
• Expected Total Available Funding: $50 million
• Assistance Listing Number and Name: 81.087
• Funding Opportunity Description: DOE’s Office of Indian Energy Policy and Programs is soliciting applications to advance affordable, reliable, and secure energy in Indian Country.
• Program Goals & Objective(s): This NOFO seeks applications to advance affordable, reliable, and secure energy development of Tribal energy resources for the benefit of Tribes and their members. The projects funded under the NOFO will lead to energy projects that are intended to lower or stabilize Tribal energy costs, expand energy access, and advance development of energy projects for Tribal economic development.

Topic Areas

• Topic Area 1: Tribal community energy deployment projects
• Topic Area 2: Tribal community energy project planning, assessment, and feasibility
• Topic Area 3: Large-scale planning, assessment, and feasibility for Tribal energy projects

KEY DATES (All deadlines are 5:00 p.m. ET unless indicated otherwise)

• Notice of Funding Opportunity Issue Date: March 25, 2026
• Informational Webinar: April 9, 2026
• Application Deadline: July 24, 2026
• Anticipated Selection Notification Date: November 20, 2026
• Anticipated Award Date: February 3, 2027
• Estimated Period of Performance: 12–48 months

Eligible Applicants

• Indian Tribes (which include Alaska Native regional corporations and Village corporations),
• Tribal and intertribal Organizations,
• Tribal Energy Development Organizations, and
• Tribal Colleges and Universities

IE-eXCHANGE

• URL and Helpdesk: https://ie-exchange.energy.gov
• ExchangeHelp@hq.doe.gov

NOFO URL and Email

• https://ie-exchange.energy.gov
• TribalGrants@hq.doe.gov

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1. Funding Details

Multiple Topic Areas

• Approximate total available funding including all Topic Areas: $50,000,000

Topic Area 1: Tribal community energy deployment projects

• Dollar amount of individual awards: up to $7,500,000
• Minimum cost share required: 10% of total project costs
• Approximate award project period: 24–48 months

Topic Area 2: Tribal community energy projects planning, assessment, and feasibility

• Dollar amount of individual awards: up to $1,500,000
• Minimum cost share required: 0% of total project costs
• Approximate award project period: 12–48 months

Topic Area 3: Large-scale planning, assessment, and feasibility for Tribal energy projects

• Dollar amount of individual awards: up to $2,500,000
• Minimum cost share required: 0% of total project costs
• Approximate award project period: 12–48 months

2. Period of Performance

DOE anticipates making awards, comprised of single or multiple budget periods. If applicable, project continuation will be contingent upon DOE’s Go/No-Go decision. For a complete list and more information on the Go/No-Go review, see the NOFO Part 2, Award Administration Information. Funding for all budget periods, including the initial budget period, is not guaranteed.

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B. Executive Summary

Tribal Nations possess extensive energy resources and are poised to share in the prosperity of American energy dominance. At the same time, challenges of reliable and affordable energy and electricity access are acutely felt in Indian Country. In January 2025,

Executive Order 14154, Unleashing American Energy1F1, addressed barriers to the development and use of abundant and natural resources in the United States. This NOFO advances the Department of Energy's goal to promote energy addition1F2 and supports Indian Country to unleash its own energy resources to meet its own needs and to capture a greater share of the energy value chain.

This NOFO seeks applications to advance affordable, reliable, and secure energy through development of Tribal energy resources for the benefit of Tribes and their members. The projects funded under the NOFO will lead to energy projects that aim to lower or stabilize Tribal energy costs, expand electric and other energy access, and advance energy projects for Tribal economic development.

Projects funded under this NOFO are expected to advance Tribal sovereignty through Tribal energy development, efficiency, and use.

• Projects under Topic Area 1 are expected to serve the electric loads and support the energy needs of Tribes at the scale of a Tribal community or communities. These projects entail the construction of energy assets and projects.
• Projects under Topic Area 2 are expected to complete all pre-development activities necessary for the deployment of community scale energy projects.
• Projects under Topic Area 3 are expected to complete necessary pre-development activities for large scale commercial development of Tribal energy resources which lead to enhancement and strengthening of Tribal energy and economic infrastructure.

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C. Agency Contact Information

Office of Indian Energy Policy and Programs
U.S. Department of Energy
1000 Independence Ave SW
Washington, D.C. 20585

For questions relating to this specific NOFO, please send emails to TribalGrants@hq.doe,gov.

1 See Executive Order “Unleashing American Energy” (January 20, 2025).
2 See Secretarial Order “Unleash Golden Era of American Energy Dominance” (February 5, 2025).

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II. Eligibility

To be considered for substantive evaluation, an applicant’s submission must meet the criteria set forth below. If the application does not meet these eligibility requirements, it will be considered ineligible and removed from further evaluation and ineligible for any award. DOE will not make eligibility determinations for potential applicants prior to the date on which applications to this NOFO must be submitted. The decision whether to apply in response to this NOFO lies solely with the applicant. The information included here is specific to eligibility requirements for this NOFO. For eligibility requirements applicable to all NOFOs, please consult the NOFO Part 2, Eligibility.

A. Eligible Applicants

To be considered for substantive evaluation, an applicant’s submission must meet the criteria set forth below. If the application does not meet these eligibility requirements, it will be considered ineligible and removed from further evaluation.

1. Restricted Eligibility

In accordance with Energy Policy Act of 2005 (EPAct 2005) authorities, including 25 U.S.C. § 3502(b)(2), and consistent with 2 C.F.R. 910.126, eligibility for this NOFO is restricted to:

• Indian Tribes (including Alaska Native regional corporations and Village corporations);
• Tribal and intertribal Organizations;
• Tribal Energy Development Organizations; and
• Tribal Colleges and Universities.

“Indian Tribe,” for the purposes of this NOFO and as defined in in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. § 5304), means any Indian Tribe, band, nation, or other organized group or community, including any Alaska Native Village or regional or Village corporation as defined in or established pursuant to the Alaska Native Claims Settlement Act (85 Stat. 688) [43 U.S.C. § 1601, et seq.], which is recognized as eligible for the special programs and services provided by the United States (U.S.) to Indians because of their status as Indians. See below for further definition.

For the purposes of this NOFO, an eligible Indian Tribe, band, nation or other organized group or community (including Alaska Native Villages), must be federally recognized as listed in Indian Entities Recognized and Eligible to Receive Services from the United States Bureau of Indian Affairs, published by the Department of Interior’s Bureau of Indian Affairs in the Federal Register on January 31, 2026, 91 F.R. 4102.

“Alaska Native regional corporation” for the purposes of this NOFO, means one of the 13 Alaska Native regional corporations, as defined in and established pursuant to the Alaska Native Claims Settlement Act (43 U.S.C. § 1602(g)).

“Alaska Native Village corporation” or “Village corporation,” for the purposes of this NOFO, means an Alaska Native Village corporation organized under the laws of the State of Alaska as a business for profit or nonprofit corporation to hold, invest, manage and/or distribute lands, property, funds, and other rights and assets for and on behalf of a Native village, as defined in and established pursuant to the Alaska Native Claims Settlement Act (43 U.S.C. § 1602(j)).

Applicants may also submit applications on behalf of Indian Tribe(s) by an authorized “Tribal Organization,” provided the application includes evidence of that authority.

“Tribal Organization” has the meaning given the term in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. § 5304). Specifically, per 25 U.S.C. § 5304, “Tribal Organization” means the recognized governing body of any Indian Tribe; any legally established organization of Indians which is controlled, sanctioned, or chartered by such governing body or which is democratically elected by the adult members of the Indian community to be served by such organization and which includes the maximum participation of Indians in all phases of its activities: Provided that, in any case where a contract or a grant is awarded to an organization to perform services benefiting more than one Indian tribe, the approval of each such Indian Tribe shall be a required before the contract or grant is awarded.

“Intertribal Organization,” as defined for the purposes of this NOFO, means any organization comprising two or more Indian Tribes, established under Congressional, State, or Tribal law to act on behalf of the participating Indian Tribes. “Intertribal Organizations” may include, but are not limited to, intertribal councils, regional tribal organizations or associations, Alaska regional development organizations, and tribal federations.

“Tribal Energy Development Organization,” (TEDO) for the purposes of this NOFO, is defined as either of the following:

• (a) any enterprise, partnership, consortium, corporation, or other type of business organization that is engaged in the development of energy resources and is wholly owned by an Indian tribe (including an organization incorporated pursuant to section 17 of the Act of June 18, 1934 (25 U.S.C. § 5124) (commonly known as the “Indian Reorganization Act”) or section 3 of the Act of June 26, 1936 (49 Stat. 1967, chapter 831, 25 U.S.C. § 5201, et seq.) (commonly known as the ‘Oklahoma Indian Welfare Act’)); or
• (b) any organization of two or more entities, at least one of which is an Indian tribe, that has the written consent of the governing bodies of all Indian tribes participating in the organization to apply for a grant, loan, or other assistance under 2602 of EPAct (25 U.S.C. § 3502) or to enter into a lease or business agreement with, or acquire a right-of-way from, an Indian tribe pursuant to subsection (a)(2)(A)(ii) or (b)(2)(B) of 2604 of EPAct (25 U.S.C. § 3504), where organization means a partnership, joint venture, Limited Liability Company (LLC) or other unincorporated association or entity that is established to develop Indian energy resources.

2. Foreign Entity Participation

In general, foreign entities are not eligible to apply as either a recipient or subrecipient. In limited circumstances, DOE may approve a waiver to allow a foreign entity to participate as a subrecipient.

If the applicant seeks to include a foreign entity as a subrecipient, the applicant must submit a separate explicit written waiver request in the application for each proposed foreign subrecipient. Please see NOFO Part 2, Application Content Requirements for the requirements for submission of a foreign entity waiver request. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

3. Performance of Work in the U.S.

All work for the awards under this NOFO must be performed in the U.S. To request a waiver of this requirement, the applicant must submit an explicit waiver request in the application. Absent an approved waiver, such costs will not be allowable under the award. The NOFO Part 2, Application Content Requirements lists the requirements for submission of a foreign work waiver request.

4. Ineligible Participants

The following entities are ineligible for participation in this NOFO as a recipient, subrecipient, or subcontractor.

• In accordance with 2 C.F.R. 200.214, entities banned from doing business with the U.S. Government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in federal programs.
• Entities identified on the Department of the Treasury Office of Foreign Assets Control Treasury’s Sanctions Program Specially Designated Nationals list are prohibited from doing business with the U.S. Government and are not eligible. See (OFAC — Sanctions List Service [treas.gov]).
• Nonprofit organizations described in Section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995, are not eligible to apply for funding.

Entity of Concern Prohibition
Entities of Concern are prohibited from participating in projects selected under this NOFO (see NOFO Part 2, Eligibility, Other Eligibility Information, Entity of Concern Prohibition section for details and definitions).

B. Limitation on Number of Applications Eligible for Review

An eligible applicant, individually or as part of a consortium, may submit more than one application to this NOFO (including more than one application under a particular Topic Area), provided that each application describes a unique, distinct project. Each application must have a distinct title, unique Control Number as assigned by IE-eXCHANGE during the registration process, and be readily distinguishable. Each application must focus on a single project; unrelated projects cannot be consolidated in a single application. Applications can only be submitted under a single Topic Area.

C. Cost Sharing

Applicants are expected to follow through on estimated cost share commitments proposed in their applications if selected for award negotiations. Please refer to the NOFO Part 2, Eligibility for more information on Cost Sharing.

1. Cost Share Requirements

Cost share requirements differ by Topic Area as shown in the following table:

Topic Area	Minimum Cost Share
1: Tribal community energy deployment projects	10%
2: Tribal community energy project planning, assessment, and feasibility	Not Required
3: Large-scale planning, assessment, and feasibility for Tribal energy projects	Not Required

Applications that do not meet the minimum required cost share will be deemed ineligible during the initial compliance review and will not be further reviewed. The cost share must come from non-federal sources unless otherwise allowed by law.

The cost share percentage is calculated by dividing the cost share by the total allowable project costs for the award where the total allowable project costs include government share (including Federally Funded Research and Development Centers (FFRDC) costs if applicable) and cost share. To help applicants calculate proper cost share amounts, DOE has included a cost share information sheet and sample cost share calculation in the NOFO Part 2, Eligibility—Cost Sharing, Cost Share Calculation Examples.

D. FFRDC Eligibility Criteria

As long as they have no conflict, DOE and non-DOE FFRDCs may be proposed as a subrecipient on another entity’s application subject to the following guidelines:

Authorization for non-DOE FFRDCs

The federal agency sponsoring the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted with the application. The use of a FFRDC must be consistent with its authority under its award.

Authorization for DOE FFRDCs

The cognizant Contracting Officer for the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted prior to any award. The use of a FFRDC must be consistent with the contractor’s authority under its award.

Funding, Cost Share, and Subaward with FFRDCs

The recipient and FFRDC are responsible for entering into an appropriate subaward that will govern, among other things, the funding of the FFRDC portion of the work from the recipient under its DOE award. Such an agreement must be fully executed prior to the FFRDC starting work directly allocable to the FA award. The DOE funding office will provide funding for the DOE FFRDC or non-DOE FFRDC, participating as a sub awardee under the DOE financial assistance award to the recipient.

The applicant should prepare the budgets using rates appropriate for funding the FFRDCs through subawards. The applicant’s cost share requirement will be based on the total cost of the project, including the applicant’s, all subrecipient’s, and all FFRDC’s portions of the project.

Responsibility

The recipient will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to disputes and claims arising out of any agreement between the recipient and the FFRDC.

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III. Program Description

A. Program Purpose

This NOFO builds on efforts by the Office of Indian Energy and the authorities granted to the Office of Indian Energy under EPAct 2005, to accelerate the deployment of Tribal energy technology. The Office of Indian Energy is directed to:

1. promote Indian Tribal energy development, efficiency, and use;
2. reduce or stabilize energy costs;
3. enhance and strengthen Indian Tribal energy and economic infrastructure relating to natural resource development and electrification; and
4. bring electrical power and service to Indian land and the homes of tribal members located on Indian lands.

See the DOE’s Office of Indian Energy website for a map and summaries of past competitively funded projects.

B. Program Goals and Objectives

The Office of Indian Energy issues this NOFO in accordance with Federal policies promoting Indian self-determination to maximize the deployment of affordable, reliable and secure energy solutions. In support of these objectives, the Office of Indian Energy seeks applications for the planning, assessment, development, and deployment of Tribal energy projects.

This NOFO advances the Department of Energy's goal to promote energy addition and unleash American energy2F3,3F4 by capitalizing on the expansive energy resources of the U.S.; and further enables Tribal economic self-determination in line with longstanding Federal policies and the benefits of Federal recognition.4F5

This NOFO seeks applications to advance affordable, reliable, and secure energy through development of Tribal energy resources for the benefit of Tribes and their members. The projects funded under the NOFO will lead to energy projects that aim to lower or stabilize Tribal energy costs, expand electric and other energy access, and advance energy projects for Tribal economic development.

3 See Secretarial Order “Unleashing the Golden Era of American Energy Dominance” (February 5, 2025).
4 See Executive Order (E.O.) 14154 Unleashing American Energy (January 20, 2025).
5 Referenced as 25 U.S.C. § 450b in Indian Tribal Energy Development and Self Determination Act of 2005 (Energy Policy Act of 2005 (EPAct 2005), Title V, § 502, codified at 42 U.S.C. § 7144e and 25 U.S.C. § 3501, et seq.). Section 450b was editorially reclassified as section 5304. See 25 U.S. Code § 5304.

C. Expected Performance Goals

Projects funded under this NOFO are expected to advance Tribal sovereignty through Tribal energy development, efficiency, and use.

• Projects under Topic Area 1 are expected to serve the electric loads and support the energy needs of Tribes at the scale of a Tribal community or communities. These projects entail the construction of energy assets and projects.
• Projects under Topic Area 2 are expected to complete all pre-development activities necessary for the deployment of community scale energy projects as envisioned for Topic Area 1.
• Projects under Topic Area 3 are expected to complete necessary pre-development activities which lead to enhancement and strengthening of Tribal energy and economic infrastructure through development of Tribal energy resources.

D. Topic Areas

1. Topic Area 1: Tribal community energy deployment projects

Under Topic Area 1, the Office of Indian Energy seeks applications for the development of community-scale Tribal energy resources; deployment of community-scale energy generation, storage and/or delivery assets; energy efficiency measures; equipment to strengthen energy infrastructure and implement resiliency enhancements; improvements to lower or stabilize energy costs; and projects that expand electricity access through the upgrade or addition of energy infrastructure. Proposals can include one or a combination of the listed project types.

Applications under Topic Area 1 are expected to be implementation ready, indicating that all necessary pre-development and planning activities have been previously finalized, and awarded DOE funds will enable the implementation of energy improvements in the Tribal community or communities.

To be eligible under Topic Area 1, applications must:

(1) use commercially proven and warrantied technology;

(2) be based on a comprehensive feasibility study that:

• a. clearly identifies the need;
• b. demonstrates the rationale for selecting the proposed project as opposed to other options;
• c. demonstrates the availability of the resource;
• d. demonstrates the technical and economic viability, including interconnection analyses (if applicable) and financial sustainability, of the proposed project.

Energy efficiency projects should be based on energy audits or industrial energy assessments which demonstrate the feasibility of the project being proposed;

(3) be based on a completed design and engineering (except final design and engineering) that may include, but is not limited to, detailed engineering drawings, interconnection studies and/or agreements (if applicable), detailed materials and equipment list(s), hardware specifications, warranties, and any other design or engineering data to supplement the Technical Volume. These design and engineering documents must be provided as part of the application in the Design and Engineering File;

(4) (for energy generation or energy efficiency projects) include an estimate of the energy generated or saved annually (amount, cost, and percentage) based on the actual energy used and projected savings for energy loads;

(5) (for enhancing energy resiliency projects, such as microgrids) demonstrate the ability of the system to function autonomously (e.g., independent of the traditional centralized electric power grid).

• a. The benefit of the proposed resiliency measures must estimate the number, frequency, and duration of the energy outages that the resiliency measures will mitigate; and

(6) (for projects proposing the upgrade or addition of energy infrastructure) demonstrate how the project will benefit the applicant and/or Tribal members.

• a. These projects can include, but are not limited to, bringing electrical infrastructure to Tribal loads not currently serviced by the centralized grid through islanded systems, or the extension of energy distribution systems to Tribal loads.

Below are hypothetical examples of projects that could be considered under Topic Area 1. This list is not exhaustive and is only provided for illustrative purposes:

• A project to increase the energy efficiency of a Tribal government campus with multiple buildings. The energy efficiency measures range from mechanical upgrades based on specific mechanical modeling studies, to energy efficiency and building weatherization measures found to be feasible through a level 3 ASHRAE (American Society of Heating, Refrigerating and Air-Conditioning Engineers) Audit. The energy savings from the measures will result in a simple payback period of 8 years.
• A project to build a combined heat and power (CHP) system at a Tribal university, casino or other type of facility to offset the electric power from the grid, as well as use the heat for loads at the facility. The project will reduce overall energy costs and add resiliency by enabling the facility to operate as a microgrid during power outages, ensuring no loss of revenue from this key Tribal economic center.
• A project to address reliability of residential electricity access. The project will upgrade outdated electrical panels and/or wiring of residences to be in compliance with existing building codes. The panel and wiring upgrades will provide reliable electric access to Tribal homes, and allow for increased energy usage, and result in less power outages.
• A project to implement a biomass boiler in a Tribal building or facility such as a school. The project will replace the existing oil furnace with biomass furnace, supplied with wood chips and cuttings from the Tribally owned and operated sawmill. The project will have the benefit of disposing of a byproduct of a Tribal business and increase the reliability of the heating source for a critical Tribal building. By controlling the fuel for the Tribal load, the Tribe will save money and no longer deal with fluctuating costs based on the cost of heating oil.
• A project deploying a combination of energy generation (e.g., diesel/gas, geothermal, hydrokinetic, or hybrid systems) and a battery energy storage system (BESS) for a remote Tribal Village that is not connected to the traditional power grid. The production from the generation asset(s) in combination with the BESS will be used to reduce diesel consumption, the maintenance costs on the diesel generators, and the amount of bulk fuel storage required, and ensure a stable and reliable power supply throughout the year. Once implemented, the upgraded microgrid will diversify the energy generation portfolio of the Village, add resiliency, and reduce overall energy costs.

2. Topic Area 2: Tribal community energy planning, assessment, and feasibility

Under Topic Area 2, the Office of Indian Energy seeks applications to conduct pre-development community-scale energy planning activities. This Topic Area allows for all pre-development activities required to identify opportunities and bring projects from concept to implementation ready. Projects under this Topic Area are intended to result in specific outcomes and outputs (measurable results or end products) for the completion of critical milestones in pre-development work that will lead to installed energy hardware, equipment or infrastructure in Tribal communities like the project examples under Topic Area 1 of this NOFO. Applicants who receive an award under Topic Area 2 and successfully complete project planning activities will be well positioned to apply for project deployment/installation under a future NOFO (pending availability of funds).

Eligible planning activities under Topic Area 2 may include, but are not limited to, the following activities for Tribal community energy development:

(1) Tribal community energy planning

• a. Strategic energy planning;
• b. Energy resiliency planning;
• c. Conducting Energy Options Analyses;
• d. Conducting a comprehensive energy feasibility and viability assessment; and,
• e. Design and development of energy projects.

(2) Conducting energy audits to establish baseload energy use and energy efficiency options;

(3) Tribal energy capacity building

• a. Developing an energy organization or office;
• b. Establishing Tribal energy policy, regulations, or codes to reduce energy use or promote energy development; and
• c. Obtaining skills and training related to energy use, development, or management.

The listed planning activities are described in more detail in the following paragraphs. These descriptions are not exclusive and other activities not listed that are necessary for the development of a Tribal community-scale energy project may also be eligible under Topic Area 2.

1. Tribal community energy planning

a. Strategic Energy Plan
A “Strategic Energy Plan,” for purposes of this NOFO, refers to a long-term roadmap to focus and guide efforts and actions toward a defined energy vision. Strategic Energy Plans, customized for the Tribe(s) they support, typically catalog existing energy consumption, sources and users; articulate goals and the strategies and actions to meet those goals; and identify resources needed to ensure effective completion of these strategies.

b. Energy resiliency planning
Energy Resiliency Planning activities enable applicants to assess the impacts of energy disruptions and identify and prioritize resilience gaps and solutions. Such activities may include, but are not limited to:

• Identifying energy resiliency opportunities:
  • Including identification and assessment of opportunities to strengthen, modernize, and protect the electrical grid and energy access. Consider energy sector risk profiles, options to reduce the likelihood of power outages, and security of current energy access.
• Identifying impacts of energy outages on Tribal loads:
  • Including an assessment of outage vulnerabilities to Tribal loads and infrastructure to help prioritize mitigation and adaptation strategies.
• Evaluating critical facilities:
  • To include identifying critical facilities and address energy action planning to prepare those facilities for energy outages.
• Addressing energy issues related to past outage events:
  • Including an assessment of energy-related issues caused by past outage events and the creation of an action plan for increased resilience in the future.

c. Conducting Energy Options Analysis
An “Energy Options Analysis,” for purposes of this NOFO, refers to a systematic assessment and evaluation of possible alternative approaches available for achieving specific energy objectives and determining which of the options are the most effective and provides the best solution to achieve those objectives. This analysis aims to explore technically and economically feasible technology alternatives to meet an established objective, providing an analytically robust evidence basis for decision making among available options.

More specifically, an Energy Options Analysis should:

• Define broad overall energy objectives;
• Establish specific project goals;
• Identify energy resources, needs, and technology options;
• Define an approach to evaluating those energy options;
• Screen energy options;
• Conduct a pre-feasibility analysis; and
• Present energy option(s) that meet criteria established under the evaluation approach, with appropriate considerations and discussion of trade-offs.

The results of an Energy Options Analysis must provide sufficient detail to support a comprehensive feasibility and viability assessment of a preferred option(s).

d. Conducting a comprehensive energy feasibility and viability assessment of a proposed energy project
“Comprehensive energy feasibility and viability assessment,” for purposes of this NOFO, refers to an assessment of the practicality and considerations of a proposed project plan. A Comprehensive Energy Feasibility and Viability Assessment should clearly identify the need, demonstrate the rationale for selecting the proposed energy technology as opposed to other options, demonstrate the availability of the resource, demonstrate the technical and economic viability, including an interconnection analysis (if applicable), financial sustainability of the proposed energy system(s), and/or other relevant analyses.

The proposed Comprehensive Energy Feasibility and Viability assessment should, at a minimum, use as a foundation a completed energy options analysis which:

• (1) identifies and quantifies the need,
• (2) establishes overall energy objectives,
• (3) defines specific project goals,
• (4) identifies and evaluates options,
• (5) screens options, and
• (6) selects a project concept for design and development based on a pre-feasibility assessment.

A comprehensive energy feasibility and viability assessment should result in a report that:

• Clearly identifies the need;
• Demonstrates the rationale for selecting the proposed energy technology as opposed to other options;
• Demonstrates the availability of the resource;
• Demonstrates the technical and economic viability, including interconnection analyses (if applicable) and financial sustainability, of the proposed energy technology project; and
• Defines a business plan, including a project business structure, financing plan and associated business agreements (e.g., power purchase agreements, transmission or interconnection agreements).

More specifically, the comprehensive energy feasibility and viability assessment should result in a comprehensive project plan sufficient for the design and development of an energy project.

The comprehensive assessment may include one or multiple of the following:

• Site-specific energy resource assessment(s);
• Load assessment(s);
• Energy audits or industrial energy assessments, documenting current energy consumption or heating and cooling loads;
• Transmission and interconnection evaluation, including net metering policies and ancillary interconnection infrastructure;
• Technology analysis;
• Economic analysis, including a pro forma income statement, pro forma cash flow analysis and its findings (e.g., Internal Rate of Return, Net Present Value), and payback period calculations;
• Preliminary environmental evaluation (i.e., benefits and impacts), including identifying permits, studies and approvals needed;
• Benefits assessment (e.g., employment, cultural and social);
• Permitting and approvals assessments, including if applicable, lease and rights-of-way agreements;
• Risk assessment, including identifying potential barriers and developing mitigations strategies;
• Training and other Tribal professional development planning;
• Long-term operating and maintenance planning;
• Business planning (i.e., project business structure, financing plan, and associated business agreements (e.g., power purchase agreements, transmission or interconnection agreements)) for implementing an energy project; and
• Other assessments required to make an informed decision on the feasibility of a particular energy project.

e. Design and development of energy projects
Design and development of energy projects for the purposes of this NOFO refer to activities conducted prior to hardware installation. These are the final studies conducted on given energy projects before the final decision to move forward with investing in their construction is made. These activities may include, but are not limited to:

• Design and engineering reports
• Economic analyses
• Environmental evaluations and studies
• Policy and regulatory assessments
• Market and interconnection studies
• Risk analysis and mitigation planning
• Operations and maintenance planning
• Organizational structure and financing planning
• Other project specific studies required

The end goal of completing the design and development projects listed above is for the applicant to have all necessary analysis and documentation to make an informed final investment decision in the energy project. The documents created from these activities can be used to populate the required documents for Topic Area 1 (Tribal Community Energy Development Projects) applications in future NOFOs, pending issuance and availability of funds.

2. Conducting energy audits to establish baseload energy use and energy efficiency options
   Energy audits (otherwise known as energy assessments or energy studies) establish baseline energy use (for buildings/facilities, processes, and/or systems) for setting financial savings and energy efficiency improvement goals as well as providing a comparison point for evaluating future efforts. “Baselining” refers to the act of measuring energy use and energy intensity at a determined level of detail for the purpose of establishing a benchmark for future comparison.

3. Tribal energy capacity building

a. Developing an energy organization or office
Energy organization or office development activities may include, but are not limited to, planning and/or establishment of an energy organization such as a Tribal utility, TEDO, energy office, Energy Service Company (ESCO), Tribal energy committee, Tribal energy commission, or other organizational unit, or the enhancement of an existing organizational unit.

This effort should respond to a specific need or goal of the applicant, serve energy development objectives as its primary function, have specific outcomes and outputs (measurable results or end-products), and have identified sources of funding or revenue to sustain the operation beyond DOE funding.

Activities may include, but are not limited to:

• Evaluation of organizational structures as they relate to the applicant’s long-term strategic energy plan and implementation opportunities (i.e., utility, TEDO, energy office, ESCO, Tribal committee, or other organizational unit);
• Establishment of an energy organization or Tribal unit for managing Tribal energy resources or implementing the Tribal strategic energy plan;
• Enhancement of an existing Tribal energy organizational unit or function for managing Tribal energy resources or implementing the Tribal strategic energy plan; or
• Establishment of a regional or national intertribal energy consortium.

b. Establishing Tribal energy policy, regulations, or codes to reduce energy use or promote energy development
Tribal Energy Policy, Regulations or Code Development activities should address energy governance issues that may include, but are not limited to:

• Energy policy development
  Including crafting Tribal energy policy, such as building codes, or energy related by-laws to address energy issues or reach Tribal energy goals.
• Federal, state, and local laws, requirements, and incentives and regulatory assessments
  Including an assessment of federal, state, and local laws, requirements and incentives that impact Tribal energy development.

c. Obtaining skills and training related to energy use, development, or management
This subtopic supports activities that enhance the capabilities, skills, knowledge, or expertise of Tribal leaders, staff, or members in areas of energy use, efficiency, and development. Applications addressing this area should provide a correlation between the proposed activities and the strategic goals or energy activities of the applicant(s). These activities should increase knowledge-based skills (gaining knowledge of specific subjects, procedures, and information necessary to perform particular tasks) of Tribal leaders, staff, or members and be relative to energy use and development.

This effort should respond to a specific need or goal of the applicant and be of limited duration with specific outcomes (measurable results or end products). Applications should demonstrate how the training goals and objectives align with the applicant's existing energy--focused programs or strategic plans. Referenced strategic energy planning documents should be submitted under the Studies and Analyses File. Where possible, applicants are encouraged to integrate training with existing workforce and training programs.

Skills and training activities may include, but are not limited to:

• Apprenticeship or mentorship (learning a job or skill by working for a fixed period of time for someone who is very good at that job or skill);
• Internships (student or trainee who works in an organization, in order to gain work experience);
• Training in trade professions necessary for a wide variety of energy-related projects (e.g., electricians, welding, Occupational Safety and Health Administration (OSHA) certification);
• Workshops (short-term interactive training);
• Seminars (short-term lecture-oriented training); and
• Certification programs (e.g., energy auditor, energy efficiency practitioner, utility operator).

Skills and training activities proposed may include attending conferences to obtain general energy awareness, provided that attendance is justified and directly applicable to the stated goals of the applicant. Programs solely supporting the pursuit of academic degrees (e.g., high school diploma, GED, bachelor's, master's, or doctorate) through scholarships or other means are not eligible. However, applications that complement existing educational programs are welcome.

Below are hypothetical examples of projects that could be considered under Topic Area 2. This list is not exhaustive and is only provided for illustrative purposes:

• A specific area sees an increase in the number of blackouts and an inability to connect distributed generation assets due to incorrectly sized substation and distribution lines serving Tribal loads. A proposed study may identify system bottlenecks in the distribution system and help design an upgrade to the system that would minimize blackouts while allowing for future Tribal energy development in the affected area. An economic study may quantify the value of more reliable and secure energy access for the Tribe.
• A project where a Tribe studies the feasibility of developing a hydroelectric power plant on local rivers or streams. The Tribe will study the resource potential through monitoring the flow of the rivers and streams and evaluate the different development methods (i.e., run-of-river vs. impoundment). They will also model the electric generation potential and the potential economic benefits of the project. The study will allow the Tribe to decide if it is technologically and economically feasible to pursue a hydroelectric project.
• A Tribe would like to expand electrical power to Tribal homes not currently connected to a traditional centralized grid. The Tribe proposes a study to assess energy generation and storage resources necessary to bring reliable, consistent power to the homes. Included in the study may be the cost and comparison of bringing electric distribution to each home, the operation and maintenance of a stand-alone system, and a resource assessment to determine the best resource for their area. This project could act as the first step to extending electric service, critical for powering modern life, to currently unserved Tribal members.
• A Tribe would like to expand natural gas distribution infrastructure to serve Tribal energy heating loads that are currently using electricity, wood, or propane. A study could examine the feasibility of the expansion as well as the benefits of the projects. Benefits may include more reliable heating during harsh winter conditions and cost savings to Tribal end users when compared to current heating methods.
• A Tribal Consortium has identified energy inefficient homes as a major issue for member Tribes and Tribal Organizations. The Consortium has a plan to retrofit and modernize Tribal housing stock but has identified gaps in skilled Tribal Members able to perform the work in accordance with the appropriate technical standards, work protocols and best practices. The project proposes training 40 Tribal Members from across the membership in energy auditing as well as energy efficiency retrofitting. This training will align with an ongoing Tribal initiative and allow for informed energy investments in the future.

3. Topic Area 3: Large-scale planning, assessment, and feasibility for Tribal energy projects

Under Topic Area 3, the Office of Indian Energy seeks applications to conduct pre-development large-scale energy project planning, assessment, and feasibility activities. These projects should allow for pre-development feasibility activities required to identify opportunities to de-risk and advance project development beyond concept toward being investment ready.

Projects under this Topic Area should result in specific outcomes and outputs (measurable results or end-products). The projects under this Topic Area center around commercial development of Tribal energy resources, with the primary benefit of revenue generation and economic development or commercial development of Tribal energy resources.

Eligible planning, feasibility, and assessment activities under Topic Area 3 may include, but are not limited to, similar subtopics as under Topic Area 2, however they do differ.

While Topic Technical Assistance: Separate to funding under this Topic Area, the Office of Indian Energy offers free technical assistance, which is designed to support Tribes and other eligible applicants evaluate and advance energy projects during early-stage project development. Some early-stage project activities deemed eligible activities under this NOFO may be completed through technical assistance.

Area 2 supports community-scale projects and activities, Topic Area 3 supports large-scale (e.g., of regional scope or significance) and commercial activities.

Examples of potential deliverables under Topic Area 3 include, but are not limited to, the following:

• A Resource Assessment prepared by an independent consultant / engineer / geologist that identifies, quantifies, and evaluates the energy resource under observation. The Resource Assessment serves as a key first step for energy development to determine if the energy resource exists in reasonable quality and quantity to justify further studies and analyses.
• Offtake Agreements / Power Purchase Agreements (PPAs) serve as a critical component of large-scale energy development to ensure a market exists for the energy resource. Researching and negotiating Offtake Agreements / PPAs helps assess the viability of large-scale energy development by providing more predictable future potential cash flows.
• An Owner's Engineer Report prepared by an independent engineering firm, which ensures the owner’s interests are protected throughout the project lifecycle. It provides a comprehensive and objective assessment of the proposed energy project and addresses areas such as technical due diligence, cost and schedule review, risk assessment, and contract review. The Owner’s Engineer Report addresses all technical aspects of the project, ensuring project viability.
• A Market Analysis prepared by an independent consultant for the proposed energy project, which provides a detailed assessment of the commercial viability and strategic positioning of the project within its market context and addresses supply and demand dynamics, profitability, offtake opportunities, regulatory and policy framework, competitive landscape, pricing analysis, risk identification and mitigation.
• A Quantitative Financial Model and Analysis (e.g., constructed in spreadsheet format) of the proposed energy project to simulate the project’s financial cash flows, evaluate the project’s economic viability and financial performance, and provide a framework for decision-making, fundraising or financing, and financial risk assessment.

Below are hypothetical examples of projects that could be considered under Topic Area 3. This list is not exhaustive and is only provided for illustrative purposes:

• An energy-focused project that strengthens American leadership in AI by supporting the development of data centers. The project could include pre-feasibility studies for siting a data center, including considerations such as land, power availability, and water rights, or for developing power and/or transmission and distribution infrastructure to address increased power needs related to data centers.
• A project where an Alaska Native regional corporation studies their mineral estate for the feasibility of extracting critical minerals and materials. The study includes regional geological mapping, on-the-ground mapping and sampling, core sampling of selected sites, analysis of collected cores, and an economic viability assessment of discovered deposits. The study plans on allowing the corporation to develop, jointly develop, or lease the resources discovered for the economic benefit of Tribal shareholders.
• A project that studies the feasibility of large-scale geothermal energy generation on Tribal Lands. The Tribe proposes detailed geological modeling, geophysical surveys, and geochemical sampling and testing. The exploration effort will also include the drilling of a well to collect cores, temperature gradient information, water samples, and conduct a flow test for reservoir modeling. The project will involve multiple Go/No-Go decision points throughout, only proceeding to more extensive and expensive exploration if the prior phase justifies the need.
• A project that seeks to advance the understanding and deployment of Small Modular Reactors (SMRs) on Tribal lands. Key project objectives include developing a comprehensive feasibility study addressing siting considerations such as land availability, power demand, water rights, and regulatory frameworks; infrastructure analysis and planning for seamless integration of SMR-generated power; and an economic viability assessment to quantify the project benefits like job creation and revenue for the Tribal community.

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E. Applications Specifically Not of Interest

The following types of applications will be deemed non-responsive and will not be reviewed or considered (Please also refer to the Responsiveness Review section below):

• Applications that fall outside the Topic Areas section above.
• Applications that propose research and development.
• Applications for proposed technologies that are not based on sound scientific principles (e.g., violates the laws of thermodynamics).
• Project concepts or approaches not based on established scientific principles.
• Applications proposing the evaluation of product marketing opportunities, assessment of manufacturing opportunities, research, product development, or the construction of manufacturing facilities or buildings.
• Applications proposing the construction of a building(s) or structure(s) such as carports. Only the incremental costs associated with the installation of energy generating system(s), energy storage system(s), integrated energy system(s), or energy efficiency measures will be considered allocable to the proposed DOE funded project and not the cost of constructing the building(s) or structure(s), unless those structures are integral to the proposed project.
• Applications proposing the use of materials, supplies, or equipment which are not commercially-proven and warrantied except for Small Module Reactors as identified under Topic Area 3.

F. Statement of Substantial Involvement

DOE anticipates awarding grants and cooperative agreements under this NOFO. Cooperative Agreements include a statement of DOE’s “substantial involvement” in the work performed under the resulting awards. For cooperative agreements, DOE does not limit its involvement to the administrative requirements of the award. Instead, DOE has substantial involvement in the direction and redirection of the technical aspects of the project. DOE’s substantial involvement in resulting awards may include the following:

• DOE shares responsibility with the recipient for the management, control, direction, and performance of the project.
• DOE may intervene in the conduct or performance of work under this award for programmatic reasons. Intervention includes the interruption or modification of the conduct or performance of project activities.
• DOE may redirect or discontinue funding the project based on the outcome of DOE’s evaluation of the project at the Go/No-Go decision point(s).
• DOE participates in major project decision-making processes.

G. Coordination with other DOE Activities

The following applies to applications under Topic Area 3 that are conducting studies associated with energy project development that may need financing in later project phases.

DOE Office of Energy Dominance Financing (EDF): Tribal Energy Financing Program (TEFP) Direct Loans and Loan Guarantees

Projects awarded under this NOFO’s Topic Area 3 may be interested in pursuing DOE’s Tribal Energy Financing Program. EDF supports Tribal investment in energy-related projects by providing direct loans or partial loan guarantees to Federally Recognized Tribes, including Alaska Native Villages or regional or Village corporations; or a TEDOs. DOE can support a broad range of projects and activities for the development of energy resources, products, and services both on and off Tribal land that use commercial technology through direct loans or loan guarantees.

Potential applicants to the DOE Tribal Energy Financing Program are encouraged to engage directly with DOE's EDF for no-fee, no-commitment consultations to discuss their proposed project and learn about EDF's application process before formally applying to EDF. During the consultations, EDF will work with potential applicants to determine whether the project is eligible for a loan or loan guarantee. For more information, reach out to TEFP@hq.doe.gov.

Funding for Topic 3, specifically for 1) Owner Engineer’s Report; 2) Market Analysis; and 3) Financial Model and Analysis, may reduce the burden of EDF’s requirements on Tribes applying to the TEFP. The documents produced through this NOFO may aid potential TEFP applicants in achieving the requirements for the NOFO Part 1 and NOFO Part 2 Application submittal. The requirements of NOFO Part 2 allow EDF to determine the viability and the “reasonable prospect of repayment” and the level of due diligence required for a given proposed project.

The following applies to applications under Topic Area 3 that are conducting studies associated with critical minerals.

Critical Minerals Collaborative

To help ensure a secure domestic supply of critical minerals and materials (CMM), the DOE aims to accelerate production of CMMs from a diverse set of sources (e.g., secondary, unconventional, conventional), and collaborates with other government and private agencies as part of a government-wide CM strategy.

As part of this strategy, the DOE has established a Critical Materials Collaborative (CMC)—a centralized entity for multidisciplinary, collaborative, critical materials applied research, development, and demonstration (RD&D). The Collaborative will coordinate CMM innovation across the DOE, other government agencies, industry, and academia, as well as provide enabling technologies to reduce commercialization time and risk.

Applicable selected projects from this NOFO are invited to participate as a member of the CMC—a coalition of DOE offices, federal agencies, and federally funded Research and Development (R&D) programs to

• align the DOE research portfolio to achieve goals and crosscutting S&T (science and technology) objectives;
• advance crosscutting applied RD&D related to critical minerals and materials;
• accelerate the adoption and deployment of innovation;
• nurture and expand the innovation ecosystem; and
• facilitate scientific and technical exchange and discussion.

The Recipient’s principal investigators or a member of their research team is invited to participate in coordination efforts including, but not limited to, an in-person annual symposium, virtual coordination meetings, and periodic presentations on research progress. Participating in CMC efforts does not require any membership fees.

Applicants to this NOFO should take into consideration possible collaboration with the programs supported by other DOE program offices. Projects funded as a result of this NOFO will be encouraged to explore opportunities to coordinate with projects funded by other DOE offices and federal agencies through the CMC in order to maximize the scientific and technological impact.

Recipients are invited to participate in the CMC through the course of their project and up to one year after grant closeout.

H. Statutory Authority

The programmatic authorizing statute is the Indian Tribal Energy Development and Self Determination Act of 2005, Title V of EPAct 2005, §§ 502 and 503, codified at 42 U.S.C. § 7144e and 25 U.S.C. § 3501, et seq.)

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

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IV. Application Content and Form

This section includes application information specific to this NOFO. The NOFO Part 2, Application Content and Form for standard information that applies to all DOE NOFOs such as formatting and content requirements, and funding restrictions.

A. Use and Disclosure of Application Information

Applicants should not include trade secrets or business-sensitive, proprietary, or otherwise confidential information in their application unless such information is necessary to convey an understanding of the proposed project or to comply with a requirement in the NOFO. Applicants are advised not to include any critically sensitive proprietary detail.

If an application includes trade secrets or business-sensitive, proprietary, or otherwise confidential information, it is furnished to the federal government in confidence with the understanding that the information shall 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.

Applications and other submissions containing trade secrets or business-sensitive, proprietary, or otherwise confidential information must be marked as described below. Failure to comply with these marking requirements may result in the disclosure of the unmarked information under the Freedom of Information Act or otherwise. The federal government is not liable for the disclosure or use of unmarked information and may use or disclose such information for any purpose as authorized by law.

Notice of Restriction on Disclosure and Use 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 shall be used or disclosed only for evaluation purposes with the restriction that the information be retained in confidence and not be further disclosed, or in accordance with a financial assistance agreement between the submitter and the government. The government may use or disclose any information that is not appropriately marked or otherwise restricted, regardless of source. [End of Notice]

In addition, (1) the header and footer of every page that contains trade secrets or business-sensitive, proprietary, or otherwise confidential information must be marked as follows:
“CONTAINS TRADE SECRETS, BUSINESS-SENSITIVE, PROPRIETARY, OR OTHERWISE CONFIDENTIAL INFORMATION EXEMPT FROM PUBLIC DISCLOSURE,”
and (2) every line or paragraph containing such information must be clearly marked with double brackets or highlighting.

Use of Application Information with Artificial Intelligence Technology
Notwithstanding the above, DOE may use, review and evaluate application information, including Proprietary Information, using artificial intelligence (“AI”) technology, including for training and developing AI tools. By submitting an application, the Applicant is providing express consent to DOE’s use of application information with AI tools. DOE is not liable for the use and disclosure of unmarked application information and may use or disclose such information for any purpose.

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. The above markings are essential to assist DOE in identifying such information that is exempt from public disclosure. However, the existence of the above or other protective markings is not dispositive on whether information is exempt under FOIA, only DOE’s designated FOIA Officer may determine if the information qualifies for a FOIA exemption. See 10 C.F.R. Part 1004 for more information on how DOE processes FOIA requests.

Notwithstanding the above, for compliance with IMPLEMENTATION OF PRESIDENTIAL MEMORANDUM SIMPLIFYING THE FUNDING OF ENERGY INFRASTRUCTURE AND CRITICAL MINERAL AND MATERIAL PROJECTS, the Department of Energy may share and use within the Government any application information provided by or on behalf of the applicant. Accordingly, in accordance with applicable law and notwithstanding any other provisions herein, by submitting an application or agreeing to a financial assistance arrangement with the Department of Energy under this NOFO, the applicant is providing consent for any properly marked trade secret, confidential, proprietary, privileged or otherwise sensitive application information provided by or on behalf of the applicant to be disclosed to the Executive Office of the President and relevant Agencies offering loans, grants, equity, guarantees or other federal funding, for the purposes of the Presidential Memorandum on Simplifying the Funding of Energy Infrastructure and Critical Mineral and Material Project.

B. Summary

The application process includes a single submission application phase.

C. Application Content Requirements

Each application must focus on a single concept. Applications must conform to the following requirements and must not exceed the stated page limits. This section includes a complete list of application requirements under this NOFO. Detailed guidance on the content and form of NOFO-specific requirements is provided following the Summary of Application Requirements table below.

1. Covered Individual Definition, Designation, and Responsibility

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

For the purposes of this NOFO, a Covered Individual means an individual who (a) contributes in a substantive, meaningful way to the development or execution of the scope of work of a project proposed for funding by DOE, and (b) is designated as a Covered Individual by DOE.

Often, these individuals have doctoral or other professional degrees, although individuals at the master’s or PhD-candidate level may be considered Covered Individuals if their involvement meets this definition. Consultants, graduate students, and those with a postdoctoral role also may be considered Covered Individuals if they meet this definition.

DOE designates as Covered Individuals any principal investigator (PI); project director (PD); co-principal investigator (Co-PI); co-project director (Co-PD); project manager; and any individual regardless of title that is functionally performing as a PI, PD, Co-PI, Co-PD, or project manager.

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

The applicant’s submission of a biosketch for a particular person serves as an acknowledgement that DOE designates that person as a Covered Individual.

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

If selected, throughout the life of the award, the recipient has an ongoing responsibility to submit:

1. biosketches for any new Covered Individuals, and
2. updated biosketches previously submitted to DOE.

2. Summary of Application Requirements

Component File	Format	Page Limit	File Name
Application for Federal Assistance (SF-424)	PDF	n/a	ControlNumber_LeadOrganization_424
Technical Volume*	PDF	15	ControlNumber_LeadOrganization_TechnicalVolume
Workplan*	MS Word	5, see below	ControlNumber_LeadOrganization_Workplan
Biosketch (for each Covered Individual)*	PDF	n/a	ControlNumber_LeadOrganization_Biosketch
Site and Resources Maps and Graphics*	PDF	n/a	ControlNumber_LeadOrganization_MapsResources
Design and Engineering File*	PDF	n/a	ControlNumber_LeadOrganization_Engineering
Economics Files*	PDF	n/a	ControlNumber_LeadOrganization_Eonomics
Budget Justification Workbook	MS Excel	n/a	ControlNumber_LeadOrganization_Budget_Justification
Subrecipient Budget Justification Workbook	MS Excel	n/a	ControlNumber_LeadOrganization_Subrecipient_Budget_Justification
Eligibility Statements and Evidence File	PDF	n/a	ControlNumber_LeadOrganization_Eligibility
Applicants Tribal Council Resolution or Declaration of Commitment and Cost Sharing File	PDF	n/a	ControlNumber_LeadOrganization_Resolution_Declaration
Additional Impacted Indian Tribes Documentation	PDF	n/a	ControlNumber_LeadOrganization_ImpactedTribes
Participant Letters of Commitment and Cost Sharing File*	PDF	n/a	ControlNumber_LeadOrganization_Commitment_Letters
Studies and Analysis File*	PDF	n/a	ControlNumber_LeadOrganization_Studies_Analyses
Potentially Duplicative Funding Notice	PDF	n/a	ControlNumber_LeadOrganization_PDFN
Transparency of Foreign Connections	PDF	n/a	BusinessSensitive_ControlNumber_LeadOrganization_TFC
Disclosure of Lobbying Activities, if applicable (SF-LLL)	PDF	n/a	ControlNumber_LeadOrganization_SF-LLL
Certification Regarding Lobbying (OMB 4040-0013)	PDF	n/a	ControlNumber_LeadOrganization_Cert Lobbying
Waiver for Foreign Entity Participation	PDF	n/a	ControlNumber_LeadOrganization_FEW
Performance of Work in the U.S. (Foreign Work Waiver)	PDF	n/a	ControlNumber_LeadOrganization_FWW

*Documents that are used for the merit review process

3. Application Requirements by Topic Area

Component	Topic Area 1	Topic Area 2	Topic Area 3
Application for Federal Assistance (SF-424)	Required	Required	Required
Technical Volume *	Required	Required	Required
Workplan*	Required	Required	Required
Biosketch (for each Covered Individual)*	Required	Required	Required
Site and Resources Maps and Graphics*	Required	Optional	Optional
Design and Engineering File*	Required	Optional	Optional
Economics File*	Required	Optional	Optional
Budget Justification Workbook	Required	Required	Required
Subrecipient Budget Justification	If Applicable	If Applicable	If Applicable
Eligibility Statements and Evidence File	Required	Required	Required
Applicant Tribal Council Resolution or Declaration of Commitment and Cost Sharing File	Required	Required	Required
Additional Impacted Indian Tribes Documentation	If Applicable	If Applicable	If Applicable
Participant Letters of Commitment and Cost Sharing File*	If Applicable	If Applicable	If Applicable
Studies and Analyses File*	Required	Optional	Optional
Potentially Duplicative Funding Notice	If Applicable	If Applicable	If Applicable
Transparency of Foreign Connections	If Applicable	If Applicable	If Applicable
Disclosure of Lobbying Activities, if applicable (SF-LLL)	If Applicable	If Applicable	If Applicable
Certification Regarding Lobbying (OMB 4040-0013)	If Applicable	If Applicable	If Applicable
Waiver for Foreign Entity Participation	If Applicable	If Applicable	If Applicable
Performance of Work in the U.S. (Foreign Work Waiver)	If Applicable	If Applicable	If Applicable

*Documents that are used for the merit review process

4. Application for Federal Assistance (SF-424)

Applicants must complete the SF-424: Application for Federal Assistance, which is available in IE-eXCHANGE and on Financial Assistance Forms and Information For Applicants and Recipients. The list of certifications and assurances can also be found on the site noted above. Complete all required fields in accordance with the instructions on the form.

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

5. Technical Volume

The Technical Volume cannot exceed 15 pages. If the Technical Volume exceeds the maximum number of pages specified above, DOE will review only the authorized number of pages and disregard any additional pages.

The Technical Volume template is available under ‘Application Forms and Templates’ for this NOFO on IE-eXCHANGE at https://ie-exchange.energy.gov/. The use of the template is not required; however, the information included within the template is required. The Technical Volume must address the Technical Review Criteria included in NOFO Part 1, Application Review Information–Review Criteria. Applicants should consider the weight of each of the evaluation criteria when preparing the Technical Volume.

6. Workplan

The Workplan must not exceed 5 pages, excluding the milestone table. If the Workplan exceeds the maximum number of pages specified above, DOE will review only the authorized number of pages and disregard any additional pages.

The Workplan template is available under ‘Application Forms and Templates’ for this NOFO on IE-eXCHANGE at https://ie-exchange.energy.gov/. The use of the template is not required; however, the information included within the template is required. The Workplan must address the Technical Review Criteria included in NOFO Part 1, Application Review Information–Review Criteria. Applicants should consider the weight of each of the evaluation criteria when preparing the Workplan.

7. Biographical Sketch

As part of the application, each Covered Individual at the applicant and subrecipient level must submit a biographical sketch (“Biosketch”). Use SciENcv (Science Experts Network Curriculum Vitae) to produce a DOE compliant PDF version of the Biosketch. Note that there is no page limitation for the Biosketch, though some fields in SciENcv have character limitations for consistency.

Please note the following:

• With the exception of “Covered Individual”, which is defined in the NOFO Part 1, Application Content and Form—Application Content Requirements, Covered Individual Definition, Designation and Responsibility, all other definitions of terms used in the Biosketch are available at: NSPM–33 Definitions.
• If there is any conflict between NSPM–33 Implementation Guidance Pre– and Post–award Disclosures Relating to the Biographical Sketch and Current and Pending (Other) Support and the DOE NOFO-Specific Biosketch Instructions below, follow the DOE NOFO-Specific Biosketch Instructions.

DOE/NNSA NOFO-Specific Biosketch Instructions

Persistent Identifier (PID) of the Covered Individual
The PID field is required for all NOFOs and Awards that encompass R&D activities, or technical assistance to support R&D activities.
For NOFOs and Awards that do not meet the criteria above, the PID field is optional.

Professional Preparation
In addition to the professional preparation listed on the Biosketch Common Form, Covered Individuals may use this section to list other types of training or programs, for example, a certification or credential from a Registered Apprenticeship or Labor Management Partnership.

Appointments and Positions Reporting Timeframe
Identify all domestic and foreign professional appointments and positions, both inside and outside the primary organization. Do not include any lapses in time over the past 10 years or since age 18, whichever period is shorter.

Products: Limitation on number provided
List up to 10 products or activities most closely related to the proposed project. Products may also include professional and scholarly activities related to the proposed effort (e.g., conference, committee participation, etc.).

8. Site and Resources Maps and Graphics

Include any graphics to supplement the Technical Volume including maps, photographs, or other visuals of the project location or building(s) affected by the proposed project. Any other relevant background or supplemental data may be included here, except studies and analyses, design and engineering, and economic analyses information.

9. Design and Engineering File

The Design and Engineering File consists of completed design and engineering (except final design and engineering) documents that may include, but are not limited to, detailed engineering drawings, interconnection studies and/or agreements (if applicable), detailed materials and equipment lists, hardware specifications, warranties, and any other design or engineering data to supplement the Technical Volume.

10. Economics Files

The Economics File should include, as a minimum, a (1) pro forma income statement, (2) pro forma cash flow analysis and its findings (e.g., Internal Rate of Return, Net Present Value), and (3) payback period calculations, in years, against both where benefits can be monetized (a) the total project investment (DOE share and recipient cost share) and (b) solely against the recipient cost share. Each input and all assumptions must be identified.

11. Budget Justification Workbook

Please refer to the Budget Justification Workbook template in IE-eXCHANGE. Applicants are strongly encouraged to use the suggested template. If applicants choose not to use the suggested template, an SF-424A Budget Information form (available on grants.gov) must also be submitted and include a breakdown of all costs by Budget Category as outlined in the SF-424A and the Budget Justification suggested template, including all work to be performed by the recipient and its subrecipients and contractors. Save SF-424A budget justification form as a PDF file using the following convention for the title, “Control Number_LeadOrganization_424A.”

In addition to project-specific costs, applicants should include costs associated with the following activities, as applicable:

• Oversight;
• Required annual audits and incurred cost proposals (such costs may be reimbursed as a direct or indirect cost);
• Implementing award-specific requirements such as Buy America requirements; and
• Reporting.

The “Instructions and Summary” and “SF-424A” tabs included with the Budget Justification Workbook will auto-populate as the applicant enters information into the Workbook. Applicants must carefully read the “Instructions and Summary” tab provided within the Budget Justification Workbook.

12. Subrecipient Budget Justification Workbook

Applicants 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.

13. Eligibility Statements and Evidence File

All Applicants are required to submit eligibility statements that document and provide evidence of the Applicant’s eligibility to support DOE’s eligibility determination. The template is available under ‘Application Forms and Templates’ for this NOFO on IE-eXCHANGE at https://ie-exchange.energy.gov. The use of the template is not required; however, the information included within the template is required.

The form must be signed by an authorized representative, either digitally or manually in ink and scanned. Typed signatures do not constitute a digital signature.

Save the completed Eligibility Statements and Evidence form and save any additional evidentiary information as a single or multiple PDF files (no more than 3 files including the form) and submit as part of your application.

14. Applicant Tribal Council Resolution or Declaration of Commitments and Cost Sharing File

All applicants are required to submit an executed Applicant Tribal Council Resolution or Declaration of Commitment and Cost Sharing File to include a statement of commitment and cost sharing by the applicant.

For Indian Tribes, the statement of commitment and cost sharing must be in the form of an executed Tribal Council Resolution, unless an Indian Tribe provides a commitment in another format along with evidence of the statutory or other legal authority authorizing that form of commitment. Such evidence must establish that the commitment submitted carries the same level of Tribal leadership commitment as a Tribal Council Resolution.

For Alaska Native regional corporations or Village corporations, Tribal and intertribal Organizations, Tribal Energy Development Organizations, and Tribal Colleges and Universities the statement of commitment and cost sharing may be in the form of a declaration or resolution signed by an authorized representative able to commit the entity.

All Tribal Council Resolution(s), declarations, or resolutions must:

1. Be executed;
2. Be specific to this NOFO (Title and Number as shown on the cover page);
3. Authorize the submittal of the application;
4. Commit to the proposed project;
5. Identify a representative of the applicant as the Business Contact and authorize that person to act on behalf of the applicant;
6. Identify a representative of the applicant as the Project Manager. It is strongly recommended that the Project Manager be a representative of the applicant; however, if the Project Manager is not a representative of the applicant, authorization must be provided that delegates that authority to the proposed Project Manager; such a non-applicant designee will be considered a Subrecipient and all the terms and conditions of the agreement, if an award is made, will flow to that designee and that designee will not be able to receive fee or profit for services rendered;
7. Commit to the total amount of cost share (specific dollar amount or up to a maximum amount and percentage of total proposed project costs), regardless of the source of that cost share as the applicant is ultimately and legally responsible for providing the entire amount of cost share required, if an award is made, even if the cost share is being provided by a Subrecipient(s);
8. Identify the type of cost share being committed (donated time, equipment use, unrecovered fringe benefit costs or unrecoverable indirect costs, and cash or in-kind provided by a third party);
9. Affirm that the project is under Tribal control; and
10. (If the project location is not owned or controlled by the applicant), submit a letter of commitment from the land or building holder as part of the application under the Participant Letter of Commitment and Cost Sharing File.

15. Additional Impacted Indian Tribes Documentation

For any application that potentially impacts Indian Tribes, other than the applicant, or is on Tribal land not under jurisdiction of the applicant, applicants are required to submit additional documentation demonstrating that an authorized representative of each potentially impacted Indian Tribe is, at a minimum, aware of the nature of the application and its potential impacts to the relevant Indian Tribes. The notified authorized representative must hold their position while the NOFO accepts applications, and documentation must demonstrate affirmative awareness of the application (e.g., a delivery record from certified mail, a reply by the authorized representative).

For any project intended to be sited on Tribal land(s) or intersecting with Tribal subsurface rights not under the jurisdiction of the applicant, applicants are required to submit documentation demonstrating support from the relevant Indian Tribes at the time of application.

16. Participant Letters of Commitments and Cost Sharing File

Submit letters of commitment from all subrecipients. In addition, submit letters of commitment from all third-party cost share providers. If applicable, the letter must state that the third party has committed to provide a specific minimum dollar amount or value of in-kind contributions allocated to cost sharing. Letters of support or endorsement for the project from entities that do not have a substantive role in the project will not be accepted. The following information for each third party contributing to cost sharing should be identified:

Letters of Commitment Content

• Organization Name
• Phone, email, and address
• 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.

17. Studies and Analysis File

The Studies and Analyses File is required for Topic Area 1, and optional for Topic Areas 2 and 3. When appropriate, applicants should submit a (1) comprehensive feasibility study and/or (2) energy audit(s) or industrial assessment(s), as specifically required. These submissions should consist of energy audit(s), energy assessment(s), and comprehensive feasibility study or studies. Other supporting studies or analyses should also be included as part of this file. Any other relevant background data may be included under the Site and Resource Map and Graphics File.

The Studies and Analyses File supplements the Technical Volume in addressing the Technical Review Criteria.

18. Potentially Duplicative Funding Notice

If the applicant or project team member has other active awards of federal funds, the applicant must determine whether the activities of those awards potentially overlap with the activities set forth in its application to this NOFO. If there is potential overlap, the applicant must notify DOE in writing of the potential overlap and state how it will ensure any project funds (i.e., recipient cost share and federal funds) will not be used for identical cost items under multiple awards.

19. Transparency of Foreign Connections

Applicants must provide a Transparency of Foreign Connections disclosure and certification as it relates to the proposed recipient and subrecipient(s). 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, the entity is not required to use this specific format. If another format is used, the signatory must include the same substantive information, a signature, 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 respond to the Transparency of Foreign Connections disclosure.
• Institutions of higher education are only required to respond to items with an asterisk symbol (*).
• The applicability of disclosure requirements is determined by the entity type. Regardless of whether the applicant is exempt, the subrecipient(s) 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.

20. Disclosure of Lobbying Connections

Recipients and subrecipients may not use any federal funds to influence or attempt to influence, directly or indirectly, congressional action on any legislative or appropriation matters. The following forms are not required for any eligible applicant but are applicable to subrecipients.

• Proposed subrecipients that are not eligible applicants who 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 ensure that non-federal funds have not been paid and will not be paid to any person for influencing or attempting to influence any of the following in connection with the application:
    1. An officer or employee of any federal agency;
    2. A Member of Congress;
    3. An officer or employee of Congress; or
    4. An employee of a Member of Congress.

• Subrecipients that have no lobbying activities to disclose:

  • Complete and submit, Certification Regarding Lobbying form (OMB 4040-0013) available at: https://apply07.grants.gov/apply/forms/sample/GG_LobbyingForm–V1.1.pdf

21. Waiver for Foreign Entity Participation

To qualify as a domestic entity, the entity must be legally formed in the United States and have a physical location for business operations in the United States. If the prime applicant and/or subrecipient do not meet the qualifications for a domestic entity, then the applicant must submit an explicit waiver request in the application.

Waiver Criteria
Foreign entities seeking to participate in a project funded under this NOFO must demonstrate to the satisfaction of DOE that:

1. Its participation is in the best interest of the United States industry and United States economic development;
2. The project team has appropriate measures in place to control sensitive information and protect against unauthorized transfer of scientific and technical information;
3. 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;
4. 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); and
5. The foreign entity will satisfy other conditions that DOE may deem necessary to protect U.S. Government interests.

Content for Waiver Request
A Foreign Entity waiver request must include all the following:

1. Information about the entity(ies) involved in the proposed work to be conducted outside the United States (i.e., the entity seeking a waiver and the entity(ies) that will conduct the work): name, point of contact, and proposed type of involvement in the project;
2. Country of incorporation, the extent of the ownership/level control by foreign entities, whether the entity is state owned or controlled, a summary of the ownership breakdown of the foreign entity, and the percentage of ownership/control by foreign entities, foreign shareholders, foreign state, or foreign individuals;
3. The rationale for proposing a foreign entity participant (must address criteria above);
4. A description of the project’s anticipated contributions to the United States economy;
   • a. 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;
   • b. How the project will promote domestic American manufacturing of products and/or services;
5. A description of how the foreign entity’s participation is essential to the project;
6. A description of the likelihood of IP being created from the work and the treatment of any such IP; and
7. Countries where the work will be performed. (Note: If any work is proposed to be conducted outside the United States, the applicant must also complete a separate request foreign work waiver.)

DOE may also require:

1. A risk assessment with respect to IP and data protection protocols that includes the export control risk based on the data protection protocols, the technology being developed, and the foreign entity and country. These submissions could be prepared by the project lead (if not the recipient), but the recipient must make a representation to DOE as to whether it believes the data protection protocols are adequate and make a representation of the risk assessment – high, medium, or low risk of data leakage to a foreign entity.
2. Additional language may be added to any agreement or subagreement to protect IP, mitigate risk, or other related purposes.

DOE may require additional information before considering the waiver request. DOE’s decision concerning a waiver request is not appealable.

22. Performance of Work in the U.S. (Foreign Work Waiver)

Requirement:
All work for the projects selected under this NOFO must be performed in the United States, absent a written waiver approved by DOE and prior approval by the Grants Officer. To request a waiver of this requirement, the applicant must submit an explicit waiver request in the application. A separate waiver request must be submitted 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, and is otherwise in the best interest of the DOE programmatic 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) and is otherwise in the best interest of DOE program goals and agency priorities.

A request for a foreign work waiver must include the following:

1. The rationale for performing the work outside the United States (“foreign work”);

2. A description of the work proposed to be performed outside the United States;

3. An explanation as to how the foreign work is essential to the project;

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

5. The associated benefits to be realized and the contribution to the project from the foreign work;

6. 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;

7. How the foreign work will promote manufacturing of products and/or services in the United States;

8. A description of the likelihood of Intellectual Property (IP) being created from the foreign work and the treatment of any such IP;

9. The total estimated cost (DOE and recipient cost share) of the proposed foreign work;

10. The countries in which the foreign work is proposed to be performed; and

11. The name of the entity that would perform the foreign work.

DOE may require additional information before considering the waiver request. DOE’s decision concerning a waiver request is not appealable.

D. Funding Restrictions

Program-specific funding restrictions applicable to awards funded under this NOFO are identified below. Standard funding restrictions are described in the NOFO Part 2, Funding Restrictions section.

Applicable Funding Restrictions

Title	Location	Additional Information
Buy America Preference for Infrastructure Projects	NOFO Part 1 Applicable to awards made under this NOFO	Allowable Costs NOFO Part 2
Pre-Award Costs	NOFO Part 2 Applicable to awards made under this NOFO
Performance of Work in the U.S. (Foreign Work Waiver Requirement)	NOFO Part 2	Applicable to awards made under this NOFO
Foreign Travel	NOFO Part 2	Foreign Travel is not allowed for awards made under this NOFO
Lobbying	NOFO Part 2	Applicable to awards made under this NOFO
Equipment and Supplies	NOFO Part 2	Purchasing American-made equipment and supplies is applicable to this award.

1. Buy America Preference for Infrastructure Projects

Awards funded through this NOFO that are for, or contain, construction, alteration, maintenance, or repair of public infrastructure in the U.S. undertaken by applicable recipient types, require that:

• All iron, steel, and manufactured products used in the infrastructure project are produced in the U.S.; and
• All construction materials used in the infrastructure project are manufactured in the U.S.

Please refer to the DOE’s Standard Terms and Conditions and 2 C.F.R. Part 184 to determine whether the Buy America Preference applies and if they should consider the application of the Buy America Preference in the proposed project’s budget and/or schedule. (Note that the Buy America Preference does not apply to prime recipients that are for-profit entities.)

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V. Submission Requirements and Deadlines

There are several one-time actions applicants must take before applying to this NOFO. Some of these may take several weeks, so it is vital applicants build in enough time to complete them. Failure to complete these actions could interfere with application or negotiation deadlines or the ability to receive an award if selected. These requirements are outlined in detail in the NOFO Part 2, Get Registered.

A. Required Registrations

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

You must have an active account with SAM.gov. This includes having a Unique Entity Identifier (UEI). SAM.gov registration can take several weeks. To register, go to SAM.gov Entity Registration and click Get Started. From the same page, you can also click on the Entity Registration Checklist for the information you will need to register.

Each applicant must:

1. Be registered in SAM.gov before submitting an application;
2. Provide a valid Unique Entity Identifier in the application; and
3. Continue to maintain an active registration in SAM.gov with current information at all times during which you have an active federal award or an application or plan under consideration by a federal agency.

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

2. IE-eXCHANGE

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

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

3. Grants.gov Registration

You must have an active Grants.gov registration to receive automatic updates when modifications to this NOFO are posted. Doing so requires a Login.gov registration as well. Step-by step instructions for applicants at How to Apply for Grants website.

B. Application Package

1. IE-eXCHANGE

The Application Content and Form section above outlines the application package requirements. Several templates for application requirements are included in IE-eXCHANGE. To access these materials, select the appropriate NOFO on the Funding Opportunity page of IE-eXCHANGE.

Note: The IE-eXCHANGE site allows users to upload files up to is 50MB in size. The site will not accept files larger than 50MB and hence these large files will not be reviewed. If a single file is larger than 50MB but still complies with the maximum page limit specified in the NOFO, it must be broken into parts and denoted to that effect. For example:

• TechnicalVolume_Part_1
• TechnicalVolume_Part_2

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

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

C. Submission Date and Times

All required submissions must be submitted to the IE-eXCHANGE site identified in the Key Facts section of NOFO Part 1 no later than 5 p.m. ET on the dates provided on Key Facts section. There may be more than one deadline, depending on whether a letter of intent and a concept paper is required.

Applicants are strongly encouraged to submit all required application documents at least 48 hours in advance of the submission deadline. Under normal conditions (i.e., at least 48 hours before the submission deadline), applicants should allow at least one hour to submit application documents. Once the application documents are submitted in the IE-eXCHANGE site identified in the NOFO Part 1, applicants may revise or update that submission until the expiration of the applicable deadline. If changes are made to any of these documents, the applicant must resubmit them before the applicable deadline. DOE will not extend the submission deadline for applicants that fail to submit required information by the applicable deadline due to server/connection congestion.

D. Intergovernmental Review

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

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VI. Application Review Information

A. Standards for Application Evaluation

Applications that are determined to be eligible will be evaluated in accordance with this and the guidance provided in the “DOE Merit Review Guide for Financial Assistance,” effective October 1, 2020, which is available at:
Department of Energy Merit Review Guide For Financial Assistance.

B. Responsiveness Review

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

• Project concepts or approaches identified specifically as NOT of interest (see the Applications Specifically Not of Interest section above).
• Applicant/Applications that do NOT meet the Eligibility Criteria in NOFO Parts 1 and 2.

C. Review Criteria

1. Compliance Criteria

All applicant submissions for applications must:

• Comply with the applicable content and form requirements listed in Application Content Requirements and Submission Requirements and Deadlines of the NOFO Part 1 and 2;
• Include all required documents;
• Be uploaded successfully in IE-eXCHANGE site indicated in the Key Facts section above including clicking the “Submit” button; and
• Comply with the submission deadline stated in Key Facts no later than 5 p.m. ET (see Submission Dates and Times).

DOE will not review or consider submissions submitted through means other than the IE-eXCHANGE site indicated in Key Facts, submissions submitted after the applicable due date and time, or incomplete submissions.

2. Technical Review Criteria

Applications
Applications will be evaluated against the technical review criteria shown below. All sub-criteria are of equal weight.

Review Criterion Overview	Criterion Weight
Needs, Goals, and Objectives	20%
Viability, Impacts, and Outcomes	50%
Roles, Responsibilities, Capabilities, and Commitment	20%
Workplan	10%

Criterion 1: Needs, Goals, and Objectives (20%)
This criterion involves consideration of the following factors:

• The extent to which the project directly addresses the identified energy needs of the applicant(s), is consistent with the applicant's stated energy goals, and enhances the applicant's capacity for self-determination and control over its energy resources.
• Strength of the discussion for why DOE funding is essential for the project to proceed and achieve its intended outcomes, including a clear articulation of the ramifications if not funded.

Criterion 2: Viability, Impacts and Outcomes (50%)
This criterion involves consideration of the following factors:

• The extent to which the project can contribute to increasing affordable, reliable, and secure energy.
• The extent to which potential project is technically viable, the barriers and risks (technical, financial, logistical, regulatory, other) are comprehensively identified and discussed, and the soundness of the proposed mitigation strategies and contingency plans to ensure project success.
• Strength and comprehensiveness of the discussion, in both quantitative and qualitative terms, of the proposed project’s anticipated results.
• The ability of the proposed project to effectively deliver significant benefits to the applicant(s).

Criterion 3: Roles, Responsibilities, Capabilities, and Commitment (20%)
This criterion involves consideration of the following factors:

• The capabilities of the applicant team with appropriate expertise and experience assigned to each role, as evidenced by the resumes, to comprehensively address all aspects of the proposed project, including the reasonableness of any plan to obtain qualified vendors or contractors.
• The demonstrated level of commitment of the applicant and each participating organization as evidenced by Letters of Commitment.

Criterion 4: Workplan (10%)
This criterion involves consideration of the following factors:

• The extent to which the project tasks are clearly defined, complete, and presented through a logical task structure, and interdependencies between tasks and phases are clearly articulated.
• The extent to which the proposed timeline for project completion is realistic given the scope, resources, and potential complexities.
• The extent to which specific milestones are identified at appropriate intervals, key dates are clearly indicated, and tasks are associated with easily understandable deliverables.
• The extent to which the necessary human, financial, and material resources are identified and allocated effectively to support the proposed workplan.

D. Other Selection Factors

In addition to the above criteria, the Selection Official may consider the following program policy factors to determine which applications to select for award negotiations:

1. The degree to which the proposed project will support the supply of firm, reliable power;
2. The degree to which the proposed project, or group of projects, represent a desired geographic distribution;
3. The degree to which the proposed project, or group of projects, represent a desired technology diversity;
4. The degree to which the proposed project optimizes the use of available DOE funding to achieve programmatic objectives;
5. The degree to which the proposed project serves Tribal communities with high energy costs;
6. The degree to which the proposed project serves an Indian Tribe(s) with inadequate electric service;
7. Applicants who have not previously received financial assistance from the Office of Indian Energy; and
8. The degree to which the applicant contributes to a broad range of recipients likely to produce immediately demonstrable results and recipients with the potential for potentially longer-term, breakthrough results, consistent with the objectives of the NOFO.

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VII. Selection and Award Notices

Please see the NOFO Part 2, Selection and Award Notices for information on Applications, Award Negotiations, and Post-Selection Information Requests.

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VIII. Award Administration Information

A. Post-Award Requirements and Administration

DOE requires all award recipients to follow and accept requirements governed by laws and policies — both federal government-wide and DOE or program specific. These post-award requirements include all National and Administrative Policy Requirements; financial assistance general Certifications and Representations; Build America, Buy America requirements; Infrastructure Investment and Jobs Act-Specific Requirements; Fraud, Waste and Abuse requirements; Safety, Security, and Regulatory requirements; and Environmental Review in Accordance with National Environmental Policy Act requirements.

Post-Award requirements and administration applicable to awards funded under this NOFO are identified below. Detailed descriptions of standard funding restrictions are provided in the NOFO Part 2, Post-Award Requirements and Administration section. Detailed descriptions of program specific funding restrictions are provided below the table.

Applicable Post-Award Requirements and Administration

Title	Location
Real Property and Equipment	NOFO Part 1
Go/No-Go Review	NOFO Part 1
Rights in Technical Data	NOFO Part 1
Invoice Review and Approval	NOFO Part 1
Cost Share Payment	NOFO Part 1
U.S. Manufacturing Commitments	NOFO Part 2

1. Real Property and Equipment

Real property and equipment purchased with project funds (federal share and recipient cost share) are subject to the requirements at 2 C.F.R. 200.310, 200.311, 200.313, and 200.316 (non-federal entities, except for-profit entities) and 2 C.F.R. 910.360 (for-profit entities).

For resulting awards under this NOFO, the recipients may (1) take disposition action on the real property and equipment; or (2) continue to use the real property and equipment after the conclusion of the award period of performance with Grants Officer approval. The recipient’s written request for Continued Use must identify the property and include:

• a summary of how the property will be used (must align with the authorized project purposes);
• a proposed use period, (e.g., perpetuity, until fully depreciated, or a calendar date when the recipient expects to submit disposition instructions);
• acknowledgement that the recipient shall not sell or encumber the property or permit any encumbrance without prior written DOE approval;
• current fair market value of the property; and
• an estimated useful life or depreciation schedule for equipment.

When the property is no longer needed for authorized project purposes, the recipient must request disposition instructions from DOE. For-profit entity disposition requirements are set forth in 2 C.F.R. 910.360. Property disposition requirements for other non-federal entities are set forth in 2 C.F.R. 200.310 – 200.316. In addition, pursuant to the FY23 Consolidated Appropriations Act (Pub. L. No. 117–328), Division D, Title III, Section 309, at the end of the award period the Secretary or a designee of the Secretary, at their discretion, may vest unconditional title or other property interests acquired under this project regardless of the fair market value of the property.

2. Go/No-Go Review

If selected, projects may be subject to a periodic project evaluation referred to as a Go/No-Go Review.

A Go/No-Go Review serves as a risk management tool and a project management best practice to ensure that, for the current phase or period of performance, technical success is definitively achieved and potential for success in future phases or periods of performance is evaluated, prior to beginning the execution of future phases. At the Go/No-Go decision points, DOE will evaluate project performance, project schedule adherence, the extent milestone objectives are met, compliance with reporting requirements, and overall contribution to the program goals and objectives. Federal funding beyond the Go/No-Go decision point (continuation funding) is contingent upon:

1. availability of federal funds appropriated by Congress for the purpose of this program;
2. the availability of future-year budget authority;
3. recipient’s technical progress compared to the Milestone Summary Table stated in Attachment 1 of the award;
4. recipient’s submittal of required reports;
5. recipient’s compliance with the terms and conditions of the award;
6. DOE’s assessment of potential research, technology, and economic security (RTES) risks;
7. DOE’s Go/No-Go decision;
8. the recipient’s submission of a continuation application5F6; and
9. written approval of the continuation application by the Grants Officer.

As a result of the Go/No-Go Review, DOE may, at its discretion, authorize the following actions:

1. continue to fund the project, contingent upon the availability of funds appropriated by Congress for the purpose of this program and the availability of future-year budget authority;
2. recommend redirection of work under the project;
3. place a hold on federal funding for the project, pending further supporting data or funding; or
4. discontinue funding the project because of insufficient progress, change in strategic direction, or lack of funding.

The Go/No-Go decision is distinct from a non-compliance determination. In the event a recipient fails to comply with the requirements of an award, DOE may take appropriate action, including but not limited to, redirecting, suspending, or terminating the award.

3. Rights in Technical Data

Data rights differ based on whether data is first produced under an award or instead was developed at private expense outside the award.

“Limited Rights Data”: The U.S. Government will not normally require delivery of confidential or trade-secret-type technical data developed solely at private expense prior to issuance of an award, except as necessary to monitor technical progress and evaluate the potential of proposed technologies to reach specific technical and cost metrics.

Government Rights in Technical Data Produced Under Awards: The U.S. Government retains unlimited rights in technical data produced under government financial assistance awards, including the right to distribute to the public. One exception to the foregoing is that invention disclosures may be protected from public disclosure for a reasonable time to allow for filing a patent application.

4. Invoice Review and Approval

DOE employs a risk-based approach to determine the level of supporting documentation required for approving invoice payments. Recipients may be required to provide some or all of the following items with their requests for reimbursement:

• Summary of costs by cost categories;
• Timesheets or personnel hours report;
• If applicable, proof of compliance with the Davis-Bacon Act and electronic submittals of certified payroll reports;
• Invoices/receipts for all travel, equipment, supplies, contractual, and other costs;
• UCC filing proof for equipment acquired with project funds by for-profit recipients and subrecipients;
• Explanation of cost share for invoicing period;
• Analogous information for some subrecipients; and
• Other items as required by DOE.

5. Cost Share Payment

DOE requires recipients to contribute the cost share amount incrementally over the life of the award. The terms and conditions of the award will specify the recipient’s cost share interval, such as by invoice period or on a budget period basis. The recipient’s cost share for each interval must always reflect the overall cost share ratio negotiated by the parties (e.g., the total amount of cost sharing on each invoice when considered cumulatively with previous invoices must reflect, at a minimum, the cost sharing percentage negotiated).

When FFRDC funding is provided directly to the FFRDC(s) by DOE, recipients will be required to provide project cost share at a percentage commensurate with the FFRDC costs, on a budget period basis, resulting in a higher interim invoicing cost share ratio than the total award ratio.

In limited circumstances, and where it is in the government’s interest, the DOE Grants Officer may approve a request by the recipient to meet its cost share requirements on a less frequent basis than required by the terms and conditions of the award. Regardless of the interval requested, the recipient must be up to date on cost share at each interval. Such requests must be sent to the Grants Officer during award negotiations and include the following information:

1. a detailed justification for the request;
2. a proposed schedule of payments, including amounts and dates;
3. a written commitment to meet that schedule; and
4. such evidence as necessary to demonstrate that the recipient has complied with its cost share obligations to date.

The Grants Officer must approve all such requests before they go into effect.

B. Questions and Support

1. Questions

Upon the issuance of a NOFO, DOE personnel are prohibited from communicating (in writing or otherwise) with applicants regarding the NOFO except through the established question and answer process described below. Questions regarding this NOFO must be submitted to TribalGrants@hq.doe.gov no later than three (3) business days prior to the application due date and time. Please note, feedback on individual concepts will not be provided through Q&A.

All questions and answers related to this NOFO will be posted on the IE-eXCHANGE site listed in the Key Facts section above. You must first select the NOFO Number to view the questions and answers specific to this NOFO. DOE will attempt to respond to a question within three (3) business days unless a similar question and answer has already been posted on the website.

Questions related to the registration process and use of the IE-eXCHANGE site listed in the Key Facts should be submitted to ExchangeHelp@hq.doe.gov.

2. Support

Grants.gov
Grants.gov provides 24/7 support. You can call 1-800-518-4726 or email support@grants.gov. Retain your ticket number.

SAM.gov
If you need help, you can call 866-606-8220 or live chat with the Federal Service Desk.

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IX. Other Information

A. Acronyms

Acronym	Spelled Out	Acronym	Spelled Out
ASHRAE	American Society of Heating, Refrigerating and Air-Conditioning Engineers	OMB	Office of Management and Budget
BESS	Battery Energy Storage System	OSHA	Occupational Safety and Health Administration
C.F.R	Code of Federal Regulations	PD	Project Director
CHP	Combined Heat and Power	PI	Principal Investigator
CMC	Critical Materials Collaborative	PPA	Power Purchase Agreement
DOE	U.S. Department of Energy	R&D	Research and Development
EDF	Energy Dominance Financing	RD&D	Research, Development, and Demonstration
ESCO	Energy Service Company	S&T	Science and Technology
FFRDC	Federally Funded Research and Development Centers	SAM	System for Award Management
FOIA	Freedom of Information Act	SMR	Small Modular Reactor
LLC	Limited Liability Company	TEDO	Tribal Energy Development Organization
NOFO	Notice of Funding Opportunity	TEFP	Tribal Energy Financing Program
NSPM	National Security Policy Memorandum	TEFP	Tribal Energy Financing Program
NOFO	Notice of Funding Opportunity	TEFP	Tribal Energy Financing Program
UEI	Unique Entity Identifier

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DE-FOA-0003548 — Unleashing Tribal Energy Development (NOFO Part 2)

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.

Version 4.0.

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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

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.

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 = $250,000
• Formula: nonfederal share ($) 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
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)

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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 (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.

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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.

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 reqirement 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 processes FOIA requests at 10 C.F.R. Part 1004.

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).
  • You can use a symbol font to insert Greek letters or special characters, but the font size requirement still applies.
• 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 example: "TechnicalVolume_Part_1" and "TechnicalVolume_Part_2".
• 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
• 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 subrecipients and contractors. The SF-424A budget justification form must be saved as a PDF file labeled, “Control Number_LeadOrganization_424A.”

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):
  • Name
  • Point of contact
  • 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
  • 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
  • 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
• 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 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 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

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
• Major Participant Names
• Lead Project Manager/Principal Investigators
• Project Title
• Project Locations
• Project Objectives
• Project Description
• Publicly Releasable (Unlimited Rights)
• Page Limit Clarification

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
• Applicant
• Project Locations
• PI/LPM and Key Personnel Information
• Requested DOE Funds

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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.

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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.

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 complete the NEPA review.

We do not guarantee or assume any obligation to reimburse pre-award costs you incur before receiving written authorization from the Grants Officer. If you elect to engage in activities that DOE determines may have an adverse effect on the environment or limit the choice of reasonable alternatives before receiving authorization, you do so at risk of not receiving Federal funding for your project and such costs may not be recognized as allowable cost share.

Nothing in the pre-award cost reimbursement regulations or any pre-award costs approval letter from the Grants Officer overrides the requirement to obtain the written authorization from the Grants Officer before taking any action that may have an adverse effect on the environment or limit the choice of reasonable alternatives.

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

Requirement
All work performed under awards issued under this NOFO must be performed in the United States, unless you have a written waiver from DOE and prior approval by the Grants Office. The recipient must flow down this requirement to its subrecipients.

Failure to Comply
If you fail to comply with the Performance of Work in the United States requirement, we may deny reimbursement for the work conducted outside the United States and such costs may not be recognized as allowable recipient cost share. You are responsible if any work under this award be performed outside the United States, absent a waiver, regardless of whether the work is performed by the recipient, subrecipients, contractors, or other project partners.

Foreign Work Waiver
To request a foreign work waiver, you must submit a written waiver request to DOE. The Performance of Work in the United States (Foreign Work Waiver) lists the information you must include in these requests.

4. Foreign Travel

Refer to NOFO Part 1, Application Content and Form—Additional Requirements, to see if foreign travel is allowable under this NOFO.

If allowable and if international travel is proposed for your project, foreign travel costs are allowable only with the prior written approval of the Grants Officer. If your proposal is selected for negotiations, you must inform the DOE project team of any planned international travel that may occur. All planned international travel must be essential to the successful completion of a task outlined in your proposal.

In addition to the Grant Officer’s approval, a foreign work waiver is also required when:

• Travel to any country in connection with the scope of the project where the travel is not a conference, scholarly workshop, or symposium
• Travel to a foreign country of concern, even if the travel is to a conference, scholarly workshop, or symposium
  • Includes:
    • People’s Republic of China
    • The Democratic People’s Republic of Korea
    • The Russian Federation
    • The Islamic Republic of Iran
    • Countries of concern designated by the Secretary of State per section 10638(2) of P.L. 117-167
    • Countries of risk designated by the Department of Energy

The Performance of Work in the United States (Foreign Work Waiver) section provides additional details.

The law and regulations require air transport supported under this award of people or property to, from, between, or within a country other than the United States to be performed by or under a cost-sharing arrangement with a United States flag carrier, if service is available. All international travel must comply with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118), commonly referred to as the “Fly America Act,” and implementing regulations at 41 C.F.R. §§ 301-10.131 through 301-10.143.

5. Equipment and Supplies

All equipment and products purchased with funds made available under this NOFO should be American made to the greatest extent practicable. This requirement does not apply to used or leased equipment. This requirement does not supersede any other statutory requirement in the NOFO.

6. Davis-Bacon Act Requirements

Refer to NOFO Part 1, Application Content and Form—Additional Requirements, to determine if the Davis-Bacon Act requirements apply. If “Davis-Bacon Act Requirements” is not listed in the Additional Requirements table, they are not required.

For projects awarded under NOFOs funded under Division D of the Infrastructure Investment and Jobs Act (IIJA), per section 41101 of that law, all laborers and mechanics employed by the recipient, subrecipients, contractors, or subcontractors for construction, alteration, or repair work funded in whole or in part under the NOFO Part 1 must be paid wages at least equal to the prevailing wage for similar projects in the locality, as determined by the Secretary of Labor in accordance with Subchapter IV of Chapter 31 of Title 40, United States Code, commonly referred to as the Davis-Bacon Act (DBA).

You must provide written assurance acknowledging the DBA requirements above and confirming that the laborers and mechanics performing construction, alteration, or repair work on this project will be paid according to the DBA.

You acknowledge you will comply with all DBA requirements, including but not limited to:

• Ensuring that wage determinations and appropriate DBA clauses and requirements flowed down to and incorporated into any applicable subrecipient and contract awards
• Ensuring that if wage determinations and appropriate DBA clauses and requirements are improperly omitted from subrecipient or contract awards, the appropriate wages and clauses are applied retroactively to the start of performance
• Being responsible for all subrecipient or contractor compliance with DBA labor standards
• Receiving and reviewing certified weekly payrolls submitted by all subrecipients or contractors for accuracy and identifying potential compliance issues
• Maintaining original certified weekly payrolls for three years after project completion and making those payrolls available to DOE or the U.S. Department of Labor (DOL) on request, as required by 29 C.F.R. § 5.6(a)(2)
• Conducting payroll and job-site reviews for construction work, including interviews with employees, as frequently as necessary to ensure subrecipients’ or contractors’ compliance, and as requested or directed by DOE
• Cooperating with any authorized representative of DOL in its inspection of records, interviews with employees, and other actions undertaken as part of a DOL investigation
• Posting in a prominent and accessible place the wage determinations and DOL Publication: WH-1321, Notice to Employees Working on Federal or Federally Assisted Construction Projects
• Notifying the Grants Officer of all labor standards issues, including:
  • All complaints about incorrect payment of prevailing wages or fringe benefits received from you, a subrecipient, contractor, or subcontractor employees
  • Significant labor standards violations, as defined in 29 C.F.R. § 5.7
  • Disputes about labor standards under 29 C.F.R. Parts 4, 6, and 8 and as defined in FAR 52.222-14
  • Disputed labor standards determinations
  • DOL investigations
  • Legal or judicial proceedings related to the labor standards under this award, subrecipient award, contract, or subcontract
• Preparing and submitting the Office of Management and Budget Control Number 1910-5165, Davis-Bacon Semi-Annual Labor Compliance Report, to the Grants Officer by April 21 and October 21 of each year.

You will also be required to undergo DBA compliance training and maintain competency in DBA compliance. The Grants Officer will notify you of any DOE-sponsored DBA compliance training. DOL offers free Prevailing Wage Seminars several times a year that meet this requirement at https://www.dol.gov/agencies/whd/government-contracts/construction/seminars/events.

You can find additional guidance on how to comply with DBA provisions and clauses at:

• https://www.dol.gov/agencies/whd/government-contracts/construction
• https://www.dol.gov/agencies/whd/government-contracts/protections-for-workers-in-construction

You must submit weekly certified payrolls on time as part of your compliance with the DBA.

DOE has contracted with LCPtracker, a third-party DBA electronic payroll compliance software application. You are required to use LCPtracker unless you have a DOE-approved waiver. We may grant a waiver from using LCPtracker if you are unable to or limited in your ability to use or access the system. LCPtracker allows certified payroll reports and workforce data to be uploaded electronically at any time and partners with several commercially available payroll systems. If you use a different payroll system, LCPtracker provides a free spreadsheet template to map out your payroll file, which allows you to upload employee and payroll data into the system.

The LCPtracker validation system checks payrolls for Federal DBA wage requirements by flagging mathematical errors or omission discrepancies for you to review. Examples include base hourly rate, total hourly rate, overtime, double time, apprentice approval, and fringe benefit contributions.

In addition, LCPtracker uses industry standard eSignature technology, which allows you to electronically sign payroll reports. Individual program offices will coordinate with recipients on access and training.

For more information, visit Davis-Bacon Act Requirements for Recipients of Infrastructure Investment and Jobs Act Funding.

7. Prohibition on Using Funds for Activities Related to Federal Acquisition Security Council (FASC)-Prohibited Unmanned Aircraft Systems

Both the recipient and subrecipients are prohibited from using Federal funds provided through this award, on or after December 22, 2025, to purchase or operate a FASC-prohibited unmanned aircraft system (section 1825 of the American Security Drone Act of 2023 [Public Law 118-31]). The terms "FASC-prohibited unmanned aircraft system" and "unmanned aircraft system" are defined in 48 C.F.R. § 40.201 or successor regulation.

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V. Submission Requirements and Deadlines

A. Required Registrations

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

You must have an active account with SAM.gov which includes having a Unique Entity Identifier (UEI). SAM.gov registration can take several weeks. The Entity Registration Checklist provides all the information you need to register.

Every applicant for an award must:

• Be registered in SAM.gov before submitting an application
• Provide a valid Unique Entity Identifier in the NOFO application
• Maintain an active, up-to-date registration in SAM.gov while you have an active federal award or an application or plan under consideration by a Federal agency

DOE cannot award Federal funding to you until you comply with all applicable UEI and SAM requirements. If you have not fully complied by the time we are ready to make a Federal award, you will be disqualified to receive a Federal award, and we will select another applicant.

2. eXCHANGE

Register and create an account in DOE’s eXCHANGE site identified in the Key Facts section of this NOFO. You can use this account to apply to open NOFOs offered by this DOE office. You may need to register in more than one eXCHANGE site to view opportunities and submit applications for opportunities managed by other DOE offices.

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

3. Grants.gov Registration

You must have an active Grants.gov registration to receive automatic updates when modifications to this NOFO are posted. You must have a Login.gov registration to register for Grants.gov. Step-by step instructions are available at How to Apply for Grants.

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VI. Application Review Information

Refer to NOFO Part 1, Application Review Information—Review Criteria, for specific compliance and technical criteria. The following describes the DOE evaluation and selection process for all NOFOs.

A. Standard Evaluation and Selection Processes

1. Overview

The evaluation process is several phases; each phase includes an initial eligibility review and a thorough technical review. Subject matter experts conduct rigorous technical reviews of eligible submissions. Ultimately, the Selection Official considers the reviewers’ recommendations, along with other considerations, such as program policy factors and risk reviews, to determine which applications to select.

2. Pre-Selection Interviews

As part of the evaluation and selection process, we may invite one or more applicants to participate in pre-selection interviews. Pre-selection interviews are distinct from and more formal than the pre-selection clarifications described below. Invited applicants meet with DOE representatives to clarify the content of their applications and to give DOE an opportunity to ask questions about the proposed project. The information you provide in pre-selection interviews contributes to our selection decisions.

We will arrange to meet with you in person at DOE’s offices or a mutually agreed location. If we can’t meet in person, we may invite you to participate in a one-on-one conference with us via webinar, videoconference, or conference call. We may also arrange site visits.

We do not reimburse applicants for travel and other expenses relating to pre-selection interviews, nor will these costs be eligible for reimbursement as pre-award costs.

Participation in pre-selection interviews with DOE does not mean you have been selected for award negotiations.

3. Pre-Selection Clarification

We may determine that we need pre-selection clarifications from one or more applicants. Pre-selection clarifications are distinct from and less formal than pre-selection interviews. Pre-selection clarifications are solely for clarifying the application. The pre-selection clarifications may occur before, during, or after the merit review evaluation process. We will not review or consider any information you provide not directly related to the pre-selection clarification question. Typically, we conduct a pre-selection clarification in writing or by video or conference calls.

The information you provide to DOE through pre-selection clarifications becomes part of your application and contributes to the merit review evaluation and our selection decisions. If we contact you for pre-selection clarification, it does not mean that you have been selected for award negotiation or that you are among the top-ranked applications.

We do not reimburse applicants for expenses relating to the pre-selection clarifications, nor will these costs be eligible for reimbursement as pre-award costs.

4. Recipient Responsibility and Qualifications

Before making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold, DOE is required to review and consider any responsibility and qualification information about the applicant in the entity information domain in SAM.gov (see 41 U.S.C. § 2313).

You have the option to review information in the entity information domain in SAM.gov and comment on any of current your information that a Federal awarding agency entered.

We will consider your written comments, in addition to the other information in the entity information domain in SAM.gov, when we consider your integrity, business ethics, and record of performance under Federal awards. These considerations are part of the Review of Risk Posed by Applicants, as described in 2 C.F.R. § 200.206.

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

All applications submitted to DOE are subject to a due diligence review. As DOE invests in critical infrastructure and in critical and emerging technology areas, DOE considers possible threats to United States research, technology, and economic security from undue foreign government influence when evaluating risk. As part of the Research, Technology, and Economic Security (RTES) risk review, we may contact you or the proposed project team members for additional information. This risk review is separate from the technical merit review.

All project participants are subject to RTES due diligence reviews. The due diligence review of covered individuals includes, but is not limited to, reviewing resumes and biosketches, disclosures, and certifications. DOE reserves the right to require resumes or biosketches, disclosures, and certifications for project participants not defined as covered individuals. You do not need to submit any additional information on non-covered individuals unless we request it. The volume and type of information we collect depends on various factors associated with the award.

This review is separate and distinct from DOE Order 142.3B “Unclassified Foreign National Access Program.”

If we identify an RTES risk, we may require risk mitigation measures, including but not limited to requiring that an individual or entity not participate in the award. If we identify significant risks that cannot be sufficiently mitigated, we may decide not to fund the project.

We may share information about the risks identified as part of the RTES due diligence review process or monitoring with other Federal agencies (section 4(e) of the Presidential Memorandum on United States Government-Supported Research and Development National Security Policy-33 [NSPM-33]).

You cannot appeal DOE’s decision on a due diligence review.

6. Evaluation and Administration by Non-Federal Personnel

In evaluating applications and subsequent awards, the Government may ask the advice of qualified nonfederal personnel as reviewers. The Government may also use nonfederal personnel, including DOE contractors, to conduct routine, nondiscretionary administrative activities. By submitting your application, you consent to nonfederal reviewers or administrators. Nonfederal reviewers must sign conflict of interest (COI) and non-disclosure acknowledgements (NDA) prior to reviewing an application. Nonfederal personnel conducting administrative activities must also sign an NDA.

7. Selection

The Selection Official may consider the technical merit, the merit reviewer’s recommendations, program policy factors, risk reviews, and the amount of funds available in arriving at selections for this NOFO.

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VII. Selection and Award Notices

We anticipate notifying applicants selected for award negotiation by the dates provided on the NOFO Part 1, Basic Information—Key Dates.

A. Selection Notices

1. Ineligible Submissions

Ineligible concept papers or applications will not be further reviewed or considered for award. The Grants Officer will email a notification letter to the technical and administrative points of contact you designated in eXCHANGE. The notification letter will state why the concept paper or the application is ineligible.

2. Concept Paper Notifications

Refer to NOFO Part 1, Application Content and Form, to determine if concept papers are required.

If concept papers are required, we will either encourage or discourage you to submit an application. We post these notifications to eXCHANGE. We may include general comments from reviewers in the encourage/discourage notifications.

You can submit an application even if we discourage you from doing so. When we discourage an application, we are conveying our lack of programmatic interest in the proposed project. These assessments do not necessarily reflect judgments on the merits of the proposed project. The concept paper can save applicants the considerable time and expense of preparing an application that we are unlikely to select for award negotiations.

Encouraging you to submit an application does not authorize you to begin performance of the project.

3. Application Notifications

We will email a notification letter to the technical and administrative points of contact you designated in eXCHANGE. The notification letter will inform you if we selected your application or not for award negotiations. We may also notify you that we delayed our selection, subject to the availability of funds or other factors.

4. Applicants Selected for Award Negotiations

We may stagger our selection determinations. So, some applicants may receive a notification letter before others. If you are selected for award negotiations, your written notification will include estimated award negotiation dates.

A notification letter selecting an application for award negotiations does not authorize you to begin performance of the project. A selection for award negotiations is not a commitment by DOE to issue an award, nor is it a guarantee of Federal Government funding. You will not receive an award until award negotiations are complete and the Grants Officer executes the financial assistance award, which the recipient can access in FedConnect.

The award negotiation process takes at least 60 days, and may be longer, depending on the complexity of the project and your responsiveness, among other factors. You must designate a primary and a backup point-of-contact in eXCHANGE that will communicate with DOE about award negotiations.

You must be responsive during award negotiations by responding timely to requests for documentation, including post-selection documentation, and meeting negotiation deadlines. If you fails to do so or if award negotiations are otherwise unsuccessful, we will cancel the award negotiations and rescind the selection. DOE reserves the right to terminate award negotiations at any time for any reason.

You can find guidance on pre-award costs in the Pre-Award Costs section.

5. Alternate Selections

In some cases, DOE will select alternates. As an alternate, DOE may consider the application for Federal funding in the future. A notification letter stating you are an alternate does not authorize you to begin performance of the project. We may ultimately determine to select or not select the application for award negotiations.

6. Applicants Not Selected for Award Negotiations

DOE must promptly notify in writing each applicant who was not selected for award negotiation or whose application cannot be funded because appropriated funds are not available.

B. Post-Selection Information Requests

To reduce burden in the application process, DOE instituted Post-Selection Information Requests and Submissions procedures. These procedures allow you to submit certain elements of an application once the application is under consideration for funding.

We will notify you (primarily by email) if we need post-selection information. This notification is not a Notice of Award. You should only submit this information when requested. We will explain what documents and materials to submit, the format required, and where and when to submit.

1. Example Information Requests

Some examples of information we may require to complete award negotiations include:

• Participants and collaborating organizations
• Current and pending support
• Other budget information
• Indirect cost information
• Letters of commitment from subrecipients and third parties contributing to cost share
• Name and phone number of the Designated Responsible Employee for complying with national policies prohibiting discrimination (See 10 C.F.R. § 1040.5)
• Information for the DOE Office of Civil Rights for assurance reviews under 10 C.F.R. § 1040
• Environmental Questionnaire
• Representation of Limited Rights Data and Restricted Software
• Cybersecurity Plan (specific to certain IIJA-funded projects)
• For construction projects: information related to Davis-Bacon Act requirements, Construction Workforce Continuity Plan, and Operations Workforce Continuity Plan

2. Entity Risk Assessment

In addition to the other reviews outlined in the NOFO, we may also conduct a review of the risk posed by applications, according to 2 C.F.R. § 200.206. This risk assessment may consider:

• Financial stability
• Quality of management systems and ability to meet the management standards in 2 C.F.R. Part 200 as adopted and supplemented by 2 C.F.R. Part 910
• History of performance
• Audit reports and findings
• Your ability to effectively implement statutory, regulatory, or other requirements imposed on recipients or subrecipients

We may use other publicly available information and the history of your performance under DOE or other Federal agency awards. Depending on the severity of the findings and whether the findings were resolved, we may elect not to fund you.

In addition to this review, DOE must comply with provisions that restrict Federal awards, subawards, and contracts with certain parties that are debarred, suspended, or otherwise excluded from or ineligible for participation in Federal programs or activities (2 C.F.R. Part 180). These restrictions apply to both recipients and subrecipients.

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

Our decision on if and how to distribute Federal funds under this NOFO is subject to NEPA (42 U.S.C. § 4321, et seq.). NEPA requires Federal agencies to integrate environmental values into their decision-making processes by considering the potential environmental impacts of their proposed actions. You can find additional background on NEPA at https://www.energy.gov/nepa.

Although NEPA compliance is a Federal agency responsibility and the ultimate decisions remain with the Federal agency, all applicants selected for award negotiations and recipients of an award must assist in the timely and effective completion of the NEPA process. If we determine certain documents must be prepared to complete the NEPA review process, you may be required to prepare the documents, and the costs to prepare the necessary documents may be included as part of the project costs. We will independently evaluate the environmental document and will take responsibility for the contents, including ensuring the professional integrity of the discussion and analysis, as required by NEPA.

National Historic Preservation Act (NHPA)
DOE must comply with the requirements of section 106 of the National Historic Preservation Act (NHPA) before deciding if or how to distribute Federal funds. Section 106 requires DOE to identify and consider adverse effects to historic properties listed in or eligible for listing in the National Register of Historic Places. We may perform an NHPA review under the umbrella of our NEPA review and will require you to assist in this review and consider impacts to historic, Tribal, and cultural resources.

4. Trafficking in Persons

Awards under this NOFO are subject to the requirements at 2 C.F.R. Part 175, Award Term for Trafficking in Persons, including the compliance plan and certification requirements if the estimated value of services required to be performed under the grant or cooperative agreement outside the United States exceeds $500,000.

5. Construction Workforce Continuity Plan

You must submit a Construction Workforce Continuity Plan within 30 days of your notification for award that includes any construction project with total construction costs greater than $35M and where DOE is contributing 10% or more of the project amount, or as otherwise selected by DOE. We encourage you to use our Workforce Continuity Plan template to help reduce the administrative burden by using common formats.

6. Operations Workforce Continuity Plan

You must submit an Operations Workforce Continuity Plan within 30 days of your award notification for projects that will have more than 100 employees in operation, including contract workers who are not W2 employees, and where DOE is contributing 10% or more of the total project cost, or as otherwise selected by DOE. We encourage you to use our Workforce Continuity Plan template to help reduce the administrative burden by using common formats.

7. Interim Conflict of Interest Policy for Financial Assistance

The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy) applies to:

• All recipients or subrecipients applying for or that receive DOE funding as a financial assistance award (e.g., a grant or cooperative agreement)
• Each Investigator who is planning to participate in or is participating in the project funded wholly or in part under the DOE financial assistance award.
  • Investigator includes means the PI and any other person, regardless of title or position, who is responsible for the purpose, design, conduct, or reporting of a project funded by DOE or proposed for funding by DOE
  • Recipients must flow down the requirements of the interim COI Policy to any subrecipient

For DOE funded projects, you must include all financial conflicts of interest (FCOI) (i.e., managed and unmanaged/unmanageable) in its initial and ongoing FCOI reports.

We understand that recipients or subrecipients receiving DOE financial assistance awards will need time to fully comply with DOE’s interim COI Policy. To provide some flexibility, we have a staggered implementation. Specifically, before the award, applicants selected for award negotiations must:

• Ensure all Investigators complete their significant financial disclosures
• Review the disclosures
• Determine whether a FCOI exists
• Develop and implement a management plan for FCOIs
• Provide DOE with an initial FCOI report that includes all FCOIs (i.e., managed and unmanaged/unmanageable)

You will have 180 days from the date of the award to fully comply with the other requirements in DOE’s interim COI Policy. Before the award, you must certify that you are, or will be within 180 days of the award, compliant with all requirements in the COI Policy.

2 You can find DOE’s interim COI Policy at https://www.energy.gov/management/department-energy-interim-conflict-interest-policy-requirements-financial-assistance.

8. Participants and Collaborating Organizations

If selected for award negotiations, before the award, you must submit a list of personnel who are proposed to work on the project, both recipients and subrecipients, and a list of proposed collaborating organizations. You have an ongoing responsibility to notify us of changes to personnel and collaborating organizations and to submit updated information during the life of the award.

9. Current and Pending Support

If selected for award negotiations, you must submit, if applicable:

• Current and pending support disclosure statements and resumes for new covered individuals
• Updated disclosures if anything changed in the Current and Pending Support you submitted.

You can find more information in the Current and Pending Support section in NOFO Part 1, Application Content and Form—Application Content Requirements.

10. Transparency of Foreign Connections

If selected for award negotiations, you must provide updates, if applicable, to a Transparency of Foreign Connections disclosure and certification as it relates to the proposed recipient and subrecipients. You can find more information in the Transparency of Foreign Connections information in the Application Contents Requirements section above.

11. Prohibition Related to Malign Foreign Talent Recruitment Programs

Prohibition
Individuals participating in a Malign Foreign Talent Recruitment Program are prohibited from participating in projects selected for Federal funding under this NOFO.

Should an award result from this NOFO, you must exercise ongoing due diligence to reasonably ensure that no individuals participating on the DOE-funded project are participating in a Malign Foreign Talent Recruitment Program. Consequences for violating this prohibition will be determined according to applicable law, regulations, and policy.

Further, you must notify DOE within 5 business days upon learning that an individual on the project team is or is believed to be participating in a Malign Foreign Talent Recruitment Program. DOE may modify and add requirements related to this prohibition to the extent required by law.

Required Certifications

• Each covered individual must certify that they are not party to a Malign Foreign Talent Recruitment Program.
• The applicant and the subrecipients must certify that the covered individuals in their respective employment have been made aware of the Malign Foreign Talent Recruitment Program prohibition and have complied with the certification responsibilities stated above.

Non-Discrimination
We will ensure the Malign Foreign Talent Recruitment Program Prohibition does not target, stigmatize, or discriminate against individuals on the basis of race, ethnicity, or national origin, consistent with title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.).

Definitions
Malign Foreign Talent Recruitment Program. as defined in P.L. 117-167, section 10638(4):
A. any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual— (i) engaging in the unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a United States entity or developed with a federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country regardless of whether that government or entity provided support for the development of the intellectual property, materials, or data products;
(ii) being required to recruit trainees or researchers to enroll in such program, position, or activity;
(iii) establishing a laboratory or company, accepting a faculty position, or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a federal research and development award;
(iv) being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
(v) through funding or effort related to the foreign talent recruitment program, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a federal research and development award;
(vi) being required to apply for and successfully receive funding from the sponsoring foreign government's funding agencies with the sponsoring foreign organization as the recipient;
(vii) being required to omit acknowledgment of the recipient institution with which the individual is affiliated, or the federal research agency sponsoring the research and development award, contrary to the institutional policies or standard terms and conditions of the federal research and development award;
(viii) being required to not disclose to the federal research agency or employing institution the participation of such individual in such program, position, or activity; or
(ix) having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of a federal research and development award; and

B. a program that is sponsored by— (i) a foreign country of concern or an entity based in a foreign country of concern, whether or not directly sponsored by the foreign country of concern;
(ii) an academic institution on the list developed under section 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115–232); or
(iii) a foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; Public Law 115–232).

Consistent with applicable law (42 U.S.C. 19232), this provision does not prohibit, unless such activities are funded, organized, or managed by an academic institution or a foreign talent recruitment program on the lists developed under paragraphs (8) and (9) of section 1286(c) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001 note; Public Law 115–232)— A. making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law;
B. participation in international conferences or other international exchanges, research projects or programs that involve open and reciprocal exchange of scientific information, and which are aimed at advancing international scientific understanding and not otherwise controlled under current law;
C. advising a foreign student enrolled at an institution of higher education or writing a recommendation for such student, at such student's request; and
D. other international activities determined appropriate by the federal research agency head or designee.

12. Foreign Collaboration Considerations For new collaborations with foreign entities, organizations, and governments, you must provide DOE with advanced written notification of any potential collaboration with foreign entities, organizations, or governments in connection with your DOE-funded award scope. You must wait for further guidance from DOE before contacting the proposed foreign entity, organization, or government about the potential collaboration or negotiating the terms of any potential agreement.

For existing collaborations with foreign entities, organizations, and governments, you must provide DOE with a written list of all existing foreign collaborations you have entered into in connection with your DOE-funded award scope.

Description of collaborations you must report:

• A thing of value provided to or from the recipient
  • A thing of value includes, but not limited to, all resources made available to or from the recipient in support of or related to the DOE award, regardless of monetary value.
• In-kind contributions (e.g., office or laboratory space, data, equipment, supplies, employees, or students)
• In-kind contributions not intended for direct use on the DOE award but result in providing a thing of value from or to the DOE award

Collaborations do not include:

• Routine workshops or conferences
• Foreign investors using the recipient’s services and facilities resulting from its standard published process for evaluating requests for access
• Routine use of foreign facilities by awardee staff under the recipient’s standard policies and procedures

13. Data Management and Sharing Plan A Data Management and Sharing Plan (DMSP) is required for all R&D projects following DOE and DOE-sponsoring-office guidelines. NOFO Part 1, Application Content and Form—Application Content Requirements, and NOFO Part 1, Applicable Post-Award Requirements and Administration, tables explain if and when a DMSP is required.

The DMSP must provide a plan consistent with the DOE Requirements and Guidance for Digital Research Data Management located at https://www.energy.gov/datamanagement/doe-requirements-and-guidance-digital-research-data-management.

The purpose of the DMSP is different from the Intellectual Property Provisions included in the award. The IP Provisions govern rights provided to the Government regarding IP, such as the Government-purpose license, march-in rights, and certain U.S. manufacturing requirements that may be implemented.

C. Award Notices

Once award negotiations are successfully completed, the Grants Officer will approve the financial assistance award, and you will receive notification of the award in the FedConnect system. You must be registered in FedConnect to receive the final award package.

1. Register with FedConnect FedConnect® is how recipients receive their legally executed award package. To create a company account, you must be a designated point of contact in SAM.gov, and you must have a SAM Unique Entity Identifier Number (UEI).

Before you get started, review the FedConnect Ready, Set, Go! Guide. The registration process can take up to three days to complete. If you have questions on completing your registration, you can contact FedConnect Support.

Electronic Authorization of Applications and Award Documents
When you submit an application and supplemental information under the NOFO Part 1 through electronic systems used by DOE, including eXCHANGE and FedConnect, it constitutes the authorized representative’s approval and electronic signature.

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VIII. Award Administration Information

A. Post-Award Requirements and Administration

DOE requires all award recipients to follow and accept requirements governed by laws and policies—both Federal Government-wide and DOE or program specific. These post-award requirements include:

• All national and administrative policy requirements
• Financial assistance general certifications and representations
• Build America, Buy America requirements
• Davis-Bacon Act requirements
• Risk-Based Review of Project Participants
• Performance of Work in the United States
• Infrastructure Investment and Jobs Act-specific requirements
• Fraud, waste, and abuse requirements
• Safety, security, and regulatory requirements
• Environmental review under National Environmental Policy Act requirements

Recipients of an award made under DOE NOFOs must comply with all applicable:

• Federal, state, and local laws and regulations
• DOE policy and guidance
• Instructions in Part 1 and Part 2 of this NOFO
• The award terms and conditions

You must require your subrecipients to comply with all applicable requirements. Reporting requirements are identified on the Federal Assistance Reporting Checklist attached to the award agreement.

Please review the Standard Award Terms and Conditions, the sample Federal Assistance Reporting Checklist, and standard Intellectual Property (IP) Provisions to better understand post-award requirements and administration.

1. Real Property and Equipment Continued Use
   Real property and equipment purchased with project funds (federal share and recipient cost share) are subject to the requirements at 2 CFR 200.310, 2 CFR 200.311, 2 CFR 200.313, and 2 CFR 200.316 (non-federal entities, except for-profit entities) and 2 CFR 910.360 (for-profit entities). Consult the table in NOFO Part 1, Post-Award Requirements and Administration, to determine if this provision is applicable to awards made under this NOFO.

[The remaining content of Part 2 continues in the source text beyond this point; however, the provided excerpt ends here.]

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IX. Other Information

A. Government Right to Reject or Negotiate

DOE reserves the right, without qualification, to reject any or all applications received in response to this NOFO and to select any application, in whole or in part, as a basis for negotiation or award.

B. Commitment of Public Funds

The Grants Officer is the only individual who can make awards or commit the Government to the expenditure of public funds. A commitment by anyone other than the Grants Officer, either expressed or implied, is invalid.

C. Notice of Right to Conduct a Review of Financial Capability

DOE reserves the right to conduct an independent third-party review of financial capability for applicants that are selected for award negotiation (including personal credit information of principals of a small business if we do not have enough information to determine the financial capability of the organization).

D. Requirement for Full and Complete Disclosure

You must fully and completely disclose all information requested. If you fail to do so, we may:

• Cancel award negotiations
• Modify, suspend, or cancel the funding agreement
• Initiate debarment proceedings or debarment
• Declare you ineligible to receive federal contracts, subcontracts, or financial assistance and benefits
• Apply civil or criminal penalties

E. Retention of Submissions

DOE retains copies of all applications and other submissions. By applying to DOE for funding, you consent to DOE retaining your submissions.

F. Intellectual Property (IP) Provisions

The standard DOE financial assistance intellectual property provisions that apply to the various recipient types discussed in the Title to Subject Inventions section below are located at: http://energy.gov/gc/standard-intellectual-property-ip-provisions-financial-assistance-awards.

G. Title to Subject Inventions

A subject invention is any invention conceived or first actually reduced to practice in performance of work under a Federal award. An invention is any invention or discovery that is or may be patentable.

Ownership of subject inventions is governed according to the authorities listed below:

• Domestic Small Businesses, Educational Institutions, and Nonprofits: Under the Bayh-Dole Act (35 U.S.C. § 200 et seq.), domestic small businesses, educational institutions, and nonprofit organizations may elect to retain title to their subject inventions and will be subject to certain IP provisions.
• Domestic Large Businesses: DOE has issued a class patent waiver that applies to this NOFO. Under this class patent waiver, domestic large businesses may elect title to their subject inventions similar to the right provided to the domestic small businesses, educational institutions, and nonprofits. To be eligible for the class patent waiver, a domestic large business must agree to class patent waiver IP provisions, including that any products embodying or produced through the use of a subject invention will be substantially manufactured in the United States (See the U.S. Manufacturing Commitments section).
• All other parties: The U.S. Government obtains title to subject inventions unless a patent waiver is granted. Applicants not covered under domestic small businesses/educational institutions/nonprofits or domestic large businesses may request in advance a patent waiver either before or within 30 days after the effective date of the award that will cover subject inventions made under the award (Federal Non-Nuclear Energy Act of 1974, 42 U.S.C. § 5908). Even if you do not request an advance waiver or the request is denied, you will have a continuing right under the award to request a patent waiver for identified inventions, i.e., individual subject inventions disclosed to DOE within the timeframes set forth in the award’s intellectual property terms and conditions. Any patent waiver that may be granted is subject to certain IP provisions.

H. Government Rights in Subject Inventions

Where recipients, subrecipients, and contractors retain title to subject inventions, the U.S. Government retains certain rights, including:

• Government Use License: The U.S. Government retains a nonexclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the United States any subject invention throughout the world. This license extends to Government contractors.
• March-In Rights: The U.S. Government retains march-in rights with respect to all subject inventions. Through “march-in rights,” the Government may require a recipient or subrecipient who has elected to retain title to a subject invention (or their assignees or exclusive licensees) to grant a license to use the invention to a third party in certain circumstances. In addition, the Government may grant licenses to use the subject invention when a recipient, subrecipient, or their assignees and exclusive licensees refuse to do so.
• To date, DOE has never exercised its march-in rights.

I. U.S. Manufacturing Commitments

Refer to NOFO Part 1, Award Administration Information—Post-Award Requirements, to determine if U.S. Manufacturing Commitments apply. If “U.S. Manufacturing Commitments” is not listed in the Applicable Post-Award Requirements and Administration table, it is not required.

[Remaining content of Part 2 is present in the source text provided by the user, but not fully rendered here due to excerpt length.]

N. Acronyms

Acronym Spelled Out Acronym Spelled Out
AI Artificial Intelligence NEPA National Environmental Policy Act
ANC Alaska Native Corporation NETL National Energy Technology Laboratory
BABA Build America, Buy America Act NHPA National Historic Preservation Act
CESER Office of Cybersecurity, Energy Security, and Emergency Response NOFO Notice of Funding Opportunity
C.F.R Code of Federal Regulations NSF National Science Foundation
COI Conflict of Interest NSPM National Security Policy Memorandum
CRADA Cooperative Research and Development Agreement OFCCP Office of Federal Contractor Compliance Programs
DBA Davis-Bacon Act OIG Office of Inspector General
DEC Determination of Exceptional Circumstances OMB Office of Management and Budget
DMSP Data Management and Sharing Plan OTA Other Transactions Authority
DOE U.S. Department of Energy PII Personally Identifiable Information
DOI Digital Object Identifier PID Digital Persistent Identifier
DOL United States Department of Labor PDF Portable Document Format
EIV Environmental Impact Volume PII Personally Identifiable Information
EDF Energy Dominance Financing R&D Research and Development
EDX Energy Data eXchange RTES Research, Technology, and Economic Security
ESCO Energy Service Company S&T Science and Technology
FFRDC Federally Funded Research and Development Centers SAM System for Award Management
FFATA Federal Funding and Transparency Act of 2006 SMR Small Modular Reactor
FOIA Freedom of Information Act TEDO Tribal Energy Development Organization
FCOI Financial Conflicts of Interest TEFP Tribal Energy Financing Program
IP Intellectual Property UEI Unique Entity Identifier