Title 17 Title 7 Clean Energy Financing Program Part I

Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

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Number:1910-5134
1910-5134
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Date:February
February28,
28,2026
2026
Original
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Date:May
May16,
19,2023
2023
Embargoed Draft Copy

PART I APPLICATION INSTRUCTIONS | 1

Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

Contents
Part I Application ....................................................................................................... 3
Submission Requirements ........................................................................................ 5
A.

Application Information ...................................................................................... 5

B.

Organization...................................................................................................... 7

C. Project Description ............................................................................................ 7
D. Technical Information ........................................................................................ 9
E.
F.

Legal and Regulatory Information .................................................................... 13
Application Certifications ................................................................................. 15

Attachments............................................................................................................. 18
I.A Lifecycle GHG Emissions Data Requirements................................................. 18
I.B Waiver Request for Foreign Entity Participation............................................. 19
I.C Application Submission Instructions ............................................................... 21

PART I APPLICATION INSTRUCTIONS | 2

Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

This document describes requirements for the Part I Application to the
Department of Energy (DOE) Loan Programs Office (LPO) Title 17
Clean Energy Financing Program. For more information about the
program, please visit LPO’s Title 17 Overview page. To proceed with
the Part I Application, please prepare responses to all items, consistent
with the instructions below.

Part I Application
The intent of the Part I Application is to determine the project’s eligibility and readiness to
proceed through the application process. The Part I Application may be submitted at any
time. LPO strongly recommends that the applicant engage in a pre-application consultation
with LPO staff prior to submission. Applicants must file Part I and Part II submissions via
the DOE Loan Programs Office’s online application portal (“Application Portal”). Specific
instructions regarding the Application Portal can be found in Attachment I.C (Application
Submission Instructions).
Refer to Section VI (Additional Provisions) of the Title 17 Program Guidance f or guidance
on the steps an applicant must take to restrict the use and disclosure of certain data
submitted in the application.
The following table (continued on the
next page) summarizes key items for
attention during a Part I Application,
including those items that are unique
to each Title 17 project category.

Innovative
Energy

Innovative
Supply Chain

SEFI

EIR

Pre-application consultation(s)

✓

✓

✓

✓

Application Information (Section A)

✓

✓

✓

✓

Organization Details (Section B)

✓

✓

✓

✓

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

Innovative
Energy
Project Description (Section C),
including:
• Executive Summary
• Project Category
• Project Sponsors’ Capabilities and
Relevant Experience
•

SEFI Description and Qualifications

•

Details of qualifying Energy
Infrastructure

•

Description of the nexus of
qualifying Energy Infrastructure with
new investment

Technical Information (Section D),
including:
• Description of project design
• Diagrams
• Acquisition Strategies
• Critical Path Agreements Status
• Planning Documents Status
• Pollution Control and Emissions
Information
•

Description of New or Significantly
Improved Technology

•

Front-End Engineering Design
(FEED) study

•

Lifecycle GHG Emissions Data
Worksheet

✓

Innovative
Supply Chain

SEFI

EIR

✓

✓

✓

✓
✓
As
applicable

✓

✓

✓

✓

✓

✓

Encouraged Encouraged Encouraged Encouraged
As
applicable

As
applicable

As
applicable

As
applicable

Legal and Regulatory Information
(Section E), including:
• Status and Timelines for Regulatory
Approval
• Federal Support
• Other Governmental Support

✓

✓

✓

✓

Application Certifications (Section F)

✓

✓

✓

✓

PART I APPLICATION INSTRUCTIONS | 4

Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

Applicants must enter the information requested in Section A.I (Application Information)
directly into the text fields provided in the Application Portal. (A guide to the Application
Portal is available here1). The information requested in the remaining sections can be
provided as a narrative structured according to the outline provided below or through
inclusion of supporting documentation (or both). Applicants should tailor their responses
based on their reasonable judgement of the project. Applications should avoid duplication
of information and excessive detail to allow LPO to conduct an ef ficient evaluation of the
Part I Application. LPO will contact the applicant if there are any questions or if additional
information is required. Additional detail will be requested in the Part II Application .
Sections that are addressed through supporting documentation should include specific
references by document name, section, and page number to facilitate review of the
application. Submissions should be provided in PDF or Excel documents uploaded
through the Application Portal.

Submission Requirements
A. Application Information
The following information should be entered directly into the LPO Application Portal.
Applicants may consult with LPO staff in advance of submission to ensure that information
is written in the appropriate level of detail for entry to the portal.

1. Project Information
a.
b.
c.
d.
e.

Project name (a descriptive, short summary of the project not to exceed 5 words)
1703 Eligible Technologies (from drop-down menu)
EIR Category (from drop-down menu)
Project/generation capacity (in Megawatts, Gallons per Year, Tons per Year, or Other)
Project location: Street address, city, state, zip code for all project locations.

2. Project Sponsor(s)
For each Project Sponsor with equity of five percent (5.0%) or more, indicate entity
name, website address, mailing address, city, state, postal code, contact first name,
contact last name, contact title/position, contact phone, and contact email. Indicate
which sponsor is the lead sponsor (the project must have one lead sponsor).

1

https://www.energy.gov/lpo/title-17-application-portal-guidebook.

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

3. Applicant Information
Applicant entity name, website address, mailing address, city, state, postal code, SAM
number (if available2), NAICS code, primary contact information including first name,
last name, title/position, phone, and email.

4. Preliminary Questions
Answer the following questions. If the answer to any of these questions is “No,” include an
explanation of the circumstances that cause the answer to be “No” in the space provided.
a. Do you confirm you have read and understand the U.S. Department of Energy
Loan Programs Office Title 17 Clean Energy Financing Program Guidance?
b. Is the Applicant legally authorized to enter into loan guarantee transactions and in
good standing with the U.S. Department of Energy and/or any other federal agen cy
loan guarantee program?
c. Is the Applicant current on payment of all amounts owed to the federal government?
d. Will the Project be built and operated entirely within the United States or its territories?
e. Do you confirm that to the best of the Applicant’s knowledge, after making diligent
inquiry, no project participant has been charged with or convicted of a
misdemeanor or felony (other than routine traffic violations) or been involved in any
securities litigation?
f. Do you confirm the Applicant does not have any active or pending lawsuits?

5. Summary of Loan Guarantee Request
Provide the information in the table that appears on the portal:
a.
b.
c.
d.

2

Requested period of guarantee (years)
Total Project Costs
Proposed Loan Programs Office guarantee amount
Debt and equity amounts (the sum of the amount entered for debt and the amount
entered for equity should equal the amount entered for total Project Costs)

If not provided in Part I, SAM number will be required at time of Part II Application.

PART I APPLICATION INSTRUCTIONS | 6

Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

B. Organization
This information should be written in a separate document, for upload to the Application Portal.

1. Key Staff
List the full names (including middle name or initial) of key staff to be involved with the
Project and one paragraph professional bios.

2. Applicant Organizational Chart
Provide a current applicant organizational chart indicating key staff names and functions.

3. Project Organizational Chart
Provide a current or proposed project organizational chart showing the applicant’s
relationship to each Project Sponsor, the project, and to any subsidiaries or affiliates of
any Project Sponsor involved in the project. The organizational chart should also
include information regarding each Person that holds or controls 10% or more of the
voting or economic interests in any Project Sponsor. Include the legal structure (e.g.,
corporation, partnership, or LLC) of each entity listed in the organizational chart.
Include a short narrative description of the chart indicating the status and plans, if any,
to create any entity.

4. Evidence of Authority
Submit evidence that the signatory of the application has authority to bind the applicant
to the commitments and representations made in the application and attests as to the
accuracy of the information provided in the application. Potential examples of authority
include corporate resolutions, bylaws, or entity agreements.

C. Project Description
This information should be written in a separate document, for upload to the Application Portal.

1. Executive Summary
Provide a description of the nature and scope of the project, including the technology
used, a brief overview of the business plan with a focus on the revenue model, and a
brief overview of the financing plan with a focus on sources and uses of funding.
Include plans for and current status of any equity raise and site acquisition or
preparation. Describe any environmental resources affected, project purpose, size,
capacity, design features, key metrics, and key milestones. Include target dates for:

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

a.
b.
c.
d.

Financial close of the Loan Programs Office Loan Guarantee Agreement;
Commencement of site preparation and construction;
Commercial operation; and
Marketing the output.

2. Project Category
Provide an explanation of how and to what extent the project falls under a category of
Title 17 eligible projects (see Section III of the Program Guidance). Applications may
fall within more than one category.

3. Project Sponsors’ Capabilities and Relevant Experience
Describe each Project Sponsor’s prior experience as it relates to carrying out
undertakings similar to the one being proposed, financial strengths, investment in the
venture to date and as anticipated during the construction and operation phas es of the
venture (i.e., continuing financial support), and proposed equity investment in the
project, as well as the project’s strategic significance to each Project Sponsor.
Applicants that are not able to include examples of successful implementation of
similar project plans for projects of this scale should provide a description of prior and
related experience that they believe is sufficient to demonstrate to DOE that they have
the expertise that would be evidenced in examples of successful implement ation of
similar project plans for projects of this scale.

4. SEFI Description and Qualifications (SEFI projects only)
Submit information to evidence a proposed SEFI’s eligibility under this project
category. This can include details of the proposed SEFI’s formation, its relationship to
the State or State agency, and program purposes. Information provided for this
purpose could include formation and/or organizational documents, legislative history,
legislative or regulatory language, mission statement, bylaws, or other language
regarding the intended purposes of the organization.

5. Details of Energy Infrastructure (EIR projects only)
For projects qualifying under section 1706(a)(1) that “retool, repower, repurpose, or
replace Energy Infrastructure,” provide a description of the Energy Infrastructure that
has ceased operations, including details of its location, historical uses including past
outputs (capacity, energy, MMBtus, gallons, or other), reasons for ceased operations,
current and recent ownership structure, existing permits or other rights, and a
description of its remaining useful assets. Be sure to include a description of the most
recent use of the site and infrastructure.

PART I APPLICATION INSTRUCTIONS | 8

Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

For projects qualifying under section 1706(a)(2) that “enable o perating Energy
Infrastructure to avoid, reduce, utilize, or sequester air pollutants or anthropogenic
emissions of greenhouse gases,” provide a description of the Energy Infrastructure
associated with the proposed project, details of its location, historical uses including
past outputs (capacity, energy, MMBtus, gallons, or other), current and recent
ownership structure, existing permits or other rights, and the manner in which that
infrastructure will be modified (some details can be included by reference to the
Technical Information section). Applications should include engineering plans and
analysis detailing the applicable technologies and their site-specific designs.

6. Description of Project Nexus with Existing or Retired Energy
Infrastructure (EIR projects only)
For EIR projects that involve Energy Infrastructure that has ceased operations, provide
a detailed description of the nexus between the Energy Infrastructure ceasing
operations and new investments associated with the project including how project
costs supported by the LPO loan guarantee will support new uses for, or replace, that
Energy Infrastructure.
As applicable, identify or include integrated system plans and relevant regulatory
approvals that demonstrate ways in which new investments will replace the services no
longer provided by the legacy infrastructure, or will utilize legacy infrastructure for new
uses. Applicants are encouraged to speak with LPO staff to discuss qualifying
documents or plans that can demonstrate the status and, as applicable, closure plans
for infrastructure.

D. Technical Information
This information should be written in a separate document, for upload to the Application Portal.
Necessary technical information varies depending on the nature of the Title 17 project.
Applicants should work with LPO staff to ensure they provide the corre ct details for
their application.

1. Description of Project Design (all projects)
Provide a technical description of the project, including key outputs, inputs , and
processes involved in the project design.

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

2. Description of New or Significantly Improved Technology
(Innovative Energy and Innovative Supply Chain projects only)
Provide a description of the New or Significantly Improved Technology to be used in the
project and a description of how and why the technology is new or significantly improved
compared to technology already in general use in the commercial marketplace ( i.e., the
business-as-usual case) in the United States (see definition of New or Significantly
Improved Technology in Section III of the Title 17 Program Guidance). Describe the
commercial feasibility of the technology(ies) and how the project intends to employ such
technology(ies). Describe how the applicant assures, to the extent possible, that success
of the project will lead to further commercial availability of the technology(ies) in the
United States (i.e., replicability). For applications for an Innovative Supply Chain project,
identify whether the innovation or improvement is applicable to (1) the manufacturing
process of the qualifying product or (2) to the resulting product itself, and describe how
that improvement meets New or Significantly Improved Technology requirements
described in the Program Guidance.
If the project has more than one location, include a description of how the project
qualifies as a single, integrated project with a common or related output. Expanded
detail for the integrated and comprehensive business plan is required in the Part II
Application; this Part I detail provides initial qualifying details for LPO’s consideration of
project eligibility.

3. Diagrams (all projects)
Provide conceptual level diagrams with descriptions outlining general plant layout,
process and materials flows, and operating parameters and throughputs for key
processes. Include any supporting photos, maps, or drawings.

4. Front-End Engineering Design (FEED) study (encouraged for
all projects)
A Front-End Engineering Design (FEED) study is particularly useful as it serves to
convey that the technical requirements as well as rough investment cost for the projec t
have been thoughtfully considered. A FEED study can also support LPO’s review to
confirm commercial readiness of the project.

5. Acquisition Strategies (all projects)
Provide a description of key raw material, equipment, and component supply chain
acquisition strategies as well as any deployment-related services such as construction,
installation, sales, and/or service infrastructure required for startup or commissioning
the project.

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

6. Critical Path Agreements Status (all projects)
Provide a status for each critical path contract and agreement, such as a front-end
engineering design study, technology licensing and teaming agreements, Engineering,
Procurement, and Construction (EPC) contracts, long-lead contracts, feedstock
agreements, and plant off -take or sales contracts. Use the table below and expand or
modify as needed.
Agreement

Status

Comment

Front-End Engineering
Design (FEED) (if applicable)
Technology Licensing
Teaming Agreement
Operating Agreement
Engineering, Procurement,
and Construction Contract
Long-Lead Equipment
Contracts
IP and Licensing Agreements
Feedstock Agreements
Off-Take or Sales Contracts
Status: 1. Not started, 2. Initiated, 3. Completed, 4. N/A (for items marked 1 or 2,
please identify the estimated completion date in the “Comments” column).

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

7. Planning Documents Status (all projects)
Provide a status of the construction plan (including site acquisition and equipment
deployment, as applicable), operation and maintenance plan, waste disposal plan, and
preliminary risk management plan. Use the table below and expand or modify
as needed.
Document

Status

Comment

Construction Plan
Operation and Maintenance
Plan
Waste Disposal Plan
Risk Management Plan
Status: 1. Not started, 2. Initiated, 3. Completed, 4. N/A (for items marked 1 or 2,
please identify the estimated completion date in the “Comments” column).

8. Pollution Control and Emissions Information (all projects)
Provide an explanation of how and to what extent the project avoids, reduces, utilizes, or
sequesters air pollutants or anthropogenic emissions of greenhouse gases. Include a
description of the project design and technologies that will be employed to conduct this
pollution and emissions abatement. Technical descriptions and engineering repor ts can
be included; a more complete technical description will be required as part of the Part II
Application to support LPO’s review of the project’s technical readiness. Identify and
describe any assumptions made in an applicant’s assessment of emissions reductions,
including a comparison to the baseline or business-as-usual case.

9. Greenhouse Gas (GHG) Emissions Data Worksheet (as applicable)
LPO conducts a comprehensive lifecycle GHG emissions analysis of proposed
projects. Applicants should provide a Summary Lifecycle GHG Emissions Data
Worksheet, described in Attachment I.A, to account for all system inputs and outputs to
be used by LPO in this analysis, and so a comparison to the “business-as-usual” case
can be performed to quantify the emissions impact of the project. Attachment I.A must
be completed by applicants for projects that provide product-based outputs (including
but not limited to electricity, chemicals, fuels, and manufacturing projects), industrial
process projects, or other projects that result in air emissions to function. LPO will use
these reports at its discretion and to the degree that they conform to LPO’s accepted
standards for GHG emissions analysis.

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

Applicants do not need to complete the Summary Lifecycle GHG Emissions Data
Worksheet in Attachment I.A for the following types of projects applying under the
Innovative Energy, SEFI, and EIR project categories (applications for all other types of
projects must include the worksheet, unless otherwise directed by LPO):
•

•

•

Clean Energy (including Renewables and Nuclear) Generation – for such projects,
LPO will calculate the emissions avoided using the Environmental Protection
Agency’s Emissions & Generation Resource Integrated Database (eGRID).
Energy Storage Deployment – for such projects, LPO will perform a qualitative
analysis that takes into consideration the means by which the project
contributes to more efficient operation of the grid and/or facilitates the greater
penetration and utilization of variable renewable energy resources. Applicants
are encouraged to specifically address this aspect in the Part I Application.
End Use Efficiency Technologies – Applicants deploying End Use Efficiency
technology should provide sufficient information regarding the proposed energy
efficiency solution and/or system (such as hardware, software, artificial
intelligence, or cloud computing), and clearly identify the innovative features
employed that achieve said energy efficiency savings. Quantitative
assessments are encouraged.

LPO recognizes there is a wide range of clean energy solutions eligible for financing,
and that there will be projects that do not fit squarely into the above scenarios. As
such, applicants are encouraged to address the specific emissions information
required during a pre-application consultation with LPO.

E. Legal and Regulatory Information
This information should be written in a separate document, for upload to the Application Portal.

1. Status and Timelines for Regulatory Approval
Provide as a table the status and timelines for all required federal, State, and local
permits, approvals, or reviews, including any relating to environmental matters. The table
should include the date on which each approval was or is anticipated to be app lied for,
and the date on which each approval was or is anticipated to be completed or received.

2. Litigation
Disclose any current, threatened (in writing), or pending litigation involving the
Applicant, a Project Sponsor, or, to the Applicant’s knowledge, any other relevant
party, related to permitting, public involvement, environmental issues, construction
defects, fraud, securities fraud, conflict of interest, failure to perform under a local,
State, or federal contract, or other charges which may reflect on the Applicant’s, or any
Project Sponsor’s, reputation, financial position, or ability to complete the Project.

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

3. Federal Support
If the project is expected to benefit directly or indirectly from certain other forms of
federal support, provide a description of each such federal support. Examples of
federal support include: federal grants; other loan guarantees from federal agencies or
entities, including DOE; agreements for federal agencies or entities to serve as a
customer or off -taker of the project’s products or services; or other federal contracts
that support the project such as acquisitions, leases, and other arrangements. The
applicant should separately identify any previous federal support that the project or
related technologies have received.
The applicant should also indicate any federal income tax benefits the applicant is
anticipating and methods for achieving enhanced tax benefits through prevailing wage
and apprenticeship requirements, domestic content, energy communities, low-income
communities, or public housing.

4. Other Governmental Support
If the project is or anticipates receiving non-federal governmental (including State and
local) incentives or other assistance to support the financing, construction , and
operation of the project, provide a list of all non-federal governmental support with a
description of each such non-federal governmental support. Examples of non-federal
governmental incentives or assistance may include grants, tax credits, incentives,
guaranteed offtake agreements, and other loan guarantees. Provide detailed
information on what commitments and obligations (such as community engagement,
minimum wages, jobs created) were made for each such non-federal governmental
support. Identify any reporting or application obligations associated with the non federal governmental support, including future reporting and copies of any rep orting
made to date (or provide reference to where included elsewhere in this Part I
Application). Indicate whether any such incentives or assistance are subject to
clawback and the circumstances under which a clawback could occur. The Applicant
should separately identify any previous other governmental support that the project or
related technologies have received.
A SEFI-supported project application should specifically include (or cross-reference
where included elsewhere in this Part I Application):
a. Evidence or rationale substantiating that the SEFI-provided financial support or
credit enhancements to the project are meaningful;
b. Information regarding the status and certainty of receiving each expected form
of support;
c. The timeline and milestones relevant to each expected form of support;
d. Any relevant documents describing the SEFI support, including description of
program (if applicable), intent, history, or other relevant details.

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

F. Application Certifications
Separate documents for upload to the Application Portal.

1. Lobbying, Debarment, and Related Certifications and Assurances
In submitting an Application for a loan guarantee under Title 17, Applicants must
provide certain certifications and assurances contained in the form entitled
“Certifications for Use with Applications for Department of Energy Loan Guarantees
under Title XVII of the Energy Policy Act of 2005.”

2. Letter of Commitment
For an Application to be considered under this Guidance, Part I must include a letter of
commitment signed by an authorized representative of the Applicant in the form
provided on page 17 under “Sample Letter of Commitment.”

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

3. Penalty of Perjury Statement
The following certification must be included with each Application:
The undersigned certifies that the data and information submitted and the
representations made in this Application and any attachments to this
Application are true and correct to the best of the Applicant’s knowledge
and belief after due diligence, and the Applicant has not omitted any
material facts. The undersigned further certifies that [s]he has full au thority
to bind the Applicant.
______________________________
Applicant (Organization Name)
______________________________
Name of Applicant’s Authorized Officer
(will fulfill on-line certification)
______________________________
Signature of Authorized Officer
(for paper copy only)
______________________________
Title of Authorized Officer
Applicant (Organization Name)
______________________________
Date

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

SAMPLE LETTER OF COMMITMENT

[DATE]
Director
U.S. Department of Energy, Loan Programs Office
1000 Independence Avenue, SW
Washington, DC 20585
Dear Director:
This letter confirms our intent to seek a loan guarantee under the Title 17 Clean Energy
Financing Program.
We have met all requirements as specified in the Title 17 Clean Energy Financing
Guidance Document most recently updated on ____, 20__ (the “Guidance Document”),
including all attachments to the Guidance Document.
We are committed to diligently implementing the project as described in our Application,
including initiating and completing the project in a timely manner with a view to closing the
financing on or about xx/xx/20__.
If we decide to withdraw from consideration for a loan guarantee at any time, we will notify
DOE in writing of that decision as soon as possible.
Sincerely,
______________________________
Signature of Authorized Officer
[Name]

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

Attachments
I.A Lifecycle GHG Emissions
Data Requirements
As required for applicable projects (see Section D, Part 9 in the Part I Application for
exemptions), the linked Lifecycle GHG Emissions Data Worksheet is to be filled out and
provided as part of the Part I Application. The applicant may also provide reports, including
those done by an independent company or government agency, to allow LPO to assess the
GHG emissions from the proposed project. LPO will use these at its discretion and to the
degree that they conform to its accepted standards for GHG emissions analysis.
Applicants should err on the side of providing more information to explain a situation rather
than the minimum amount needed to comply with the data request. Where data is absent
or of low quality, LPO will request additional information from applicants or will make
reasonable estimates to fill data gaps.
For projects that will use hydrogen as an input, applicants should include in the data
worksheet information on the planned production method and emissions-intensity of the
hydrogen used.
In addition, applicants are encouraged (but not required) to submit the following information:
•
•
•

Define the scope: State the systems included in the scope of the project, and
specifically state the systems not included in the scope of the project;
Define the functional unit: Describe the outputs of the project and how they will be
utilized downstream of the project;
Include a process flow diagram: Indicate on the diagram that data is provided in the
data collection template for all processes show in the diagram, or clearly show in
the diagram for which processes the applicant has provided data and for which
processes data is absent.

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

I.B Waiver Request for Foreign
Entity Participation
All borrowers receiving a loan guarantee under Title 17 must be incorporated (or otherwise
formed) under the laws of a state or territory of the United States and have a physical
location for business operations in the United States. To request a waiver of this
requirement, an applicant must submit an explicit waiver request in the Part I Application.

A. Waiver Criteria
Foreign entities seeking to participate in a project funded under Title 17 must demonstrate
to the satisfaction of DOE that:
a. Its participation is in the best interest of the United States industry and United
States economic development;
b. The project team has appropriate measures in place to control sensitive information
and protect against unauthorized transfer of scientific and technical information;
c. 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;
d. 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 (as discussed under Foreign Collaboration
Considerations in Section V.D in the Program Guidance); and
e. The foreign entity will satisfy other conditions that may be deemed necessary by
DOE to protect United States government interests.

B. Content for Waiver Request
A Foreign Entity waiver request must include the following:
a. Information about the entity: name, website, point of contact, and proposed type of
involvement in the project;
b. 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;
c. The rationale for proposing a foreign entity participate (must address criteria above);
d. A description of the project’s anticipated contributions to the United States economy;
i.
How the project will benefit United States research, development and
manufacturing, including contributions to employment in the United States
and growth in new markets and jobs in the United States;
ii.
How the project will promote domestic American manufacturing of products
and/or services;

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

e. A description of how the foreign entity’s participation is essential to the project;
f. A description of the likelihood of Intellectual Property (IP) being created from the
work and the treatment of any such IP; and
g. 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 for a foreign work waiver).
DOE may also require:
a. 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 prime borrower), but the prime borrower
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.
b. Additional language be added to any agreement or sub agreement 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.

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Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

I.C Application Submission Instructions
Applicants must file Part I and Part II submissions via the DOE Loan Programs Office’s
online Application Portal (“Application Portal”). Supporting documents for applications will
be accepted only in the following formats: Microsoft Excel or Adobe PDF. Do not encrypt,
compress, or zip any files.

A. Application Portal Submission Process
LPO offers pre-application consultations to prepare prospective applicants for the application
process. Please visit Request Pre-Application Consultation | Department of Energy to
request a no-cost pre-application consultation. If you have already had pre-application
consultations with LPO, please email or call your LPO staff contact for instructions on how to
access the Application Portal.
The Application Portal provides a process for making corrections to an application if
substantive changes or additions are required after it has been submitted.

B. Portal Registration
When submitting a Part I application via the Application Portal, applicants are encouraged
to include the following:
1. A North American Industry Classification System (NAICS) code; and
2. A registration number from the federal System for Award Management (SAM).
A SAM number will be required for the Part II Application.

C. Formatting Instructions
Applicants should provide all requested information in the following format:
1. Documents supporting and forming any part of an application should:
a. Be typed in 11 point or greater font;
b. Conform to the outlines given in the Part I and Part II Application
Instructions;
c. Adhere to a format consisting of standard 8.5” x 11” paper; and
d. Have at least 1” margins (top, bottom, left, and right) with exceptions for
charts, graphics, and similar materials.
2. Applicants should provide a “short name” or other identifier that will allow for easy
identification of the project.
3. The file naming standard that DOE will use for uploaded files is specified in the table
below. Certain documents uploaded through the Application Portal will be renamed
automatically to conform to this convention, as shown in the example that follows.

PART I APPLICATION INSTRUCTIONS | 21

Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

Order #

File Name Identifier Identifier Specified as

Followed by

1

Project Name

Project Name

Period

2

Part I or Part II
Submission Indicator

Roman numeral

Period

3

Category Character
Reference

Capital letter identifier for the section
in the Application Instructions
specifying the document category

Period

4

Category name

Name of the section in the Application
Instructions specifying the document
category

Period

5

Sub-category
Number(s)

Number identifier for the sub-section in
the Application Instructions specifying
the document sub-category.

Period

If multiple sub-categories apply, list the
sub-categories as a comma-separated
list in ascending numeric order.
6

Version Number

Capital ‘V’ followed by the next
consecutive version number in the
system. The first version of any
document is specified as 1.

Period

7

File Extension

File extension representing the file type

NONE

Example:

PART I APPLICATION INSTRUCTIONS | 22

Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

D. Status Updates
In connection with an invitation to Part II of the application process, the applicant will be
provided a primary point of contact for any questions that the applicant may have
regarding the application. Additionally, if DOE does not make a final decision on an
application by the date that is 180 days after receipt of a complete Part II Application, the
applicant may request, not more than once every 60 days thereafter, the current status of
the application, a summary of any factors that are delaying a final decision on the
application, a list of what items are required in order to reach a final decision, citation to
authorities stating the reasons such items are required, a list of actions the applicant can
take to expedite the process, and an estimate of when a final decision on the application
will be made.

PART I APPLICATION INSTRUCTIONS | 23

Part I Application Instructions for Title 17 Clean Energy Financing Program
Original Issue Date: May 19, 2023

PART I APPLICATION INSTRUCTIONS | 24