02_FY24 Research NOFO Amendment 01.pdf

31310024K0001

Part I - Overview Information

Nuclear Regulatory Commission (http://www.nrc.gov)

Title:

U.S. Nuclear Regulatory Commission Notice of Funding Opportunity (NOFO), the University Nuclear Leadership Program (formerly the Integrated University Program), Research and Development Grant, Fiscal Year (FY) 2024.

Announcement Type:

New

Announcement of Opportunity Number:

Required Federal Citations:

Program Authority: Section 31a and 141b of the Atomic Energy Act of 1954, as amended.

Catalog of Federal Domestic Assistance Number:

CFDA #: 77.008

Key Dates:

Release/Posted Date: 02/16/2024 Application Due Date: 04/01/2024 Earliest Anticipated Start Date: 09/30/2024

The recipient must submit applications in response to this NOFO for Federal assistance electronically through Grants.gov (http://www.grants.gov) using the SF-424 forms and the Application Guide included with this announcement in Grants.gov/Apply for Grants (hereafter called Grants.gov/Apply).

The recipient’s application must be successfully received by Grants.gov no later than 5:00 p.m., ET on 04/01/2024. If the recipient needs information on alternate means of submitting its application, see Section IV.3.

Additional Overview Content

Executive Summary:

The U.S. Nuclear Regulatory Commission (NRC) is an independent agency, established by the Atomic Energy Act of 1954, as amended, tasked with licensing, and regulating the Nation’s civilian use of byproduct, source, and special nuclear material to ensure adequate protection of public health and safety, to promote the common defense and security, and to protect the environment.

http://www.nrc.gov/ http://www.grants.gov/ http://www.grants.gov/applicants/apply_for_grants.jsp

Type of Award:

It is anticipated that this NOFO will result in the award of multiple grants.

Funds Available and Anticipated Number or Awards:

Award of these grants is contingent upon the availability of funds. The estimated budget for this program is $9,000,000.00 – $10,000,000.00. The NRC anticipates that there may be up to twenty (20) grants awarded as a result of this NOFO. The number of awards depends on the number, quality, duration, and costs of the applications received.

Budget and Project Period:

This is a three (3)-year program. Research and development funds may be requested up to $500,000.00 total costs (direct costs and facilities and administrative costs) for the project period.

Number of Applications:

An applicant/institution may submit no more than two (2) applications in response to this announcement.

Hearing Impaired:

Telecommunications for the hearing impaired are available at: TDD 240-428-3217.

Table of Contents

Part I - Overview Information

Part II - Full Text of Announcement

Section I. Funding Opportunity Description

Section II. Award Information

Section III. Eligibility Information

Section IV. Application and Submission Information

Section V. Application Review Information

Section VI. Award Administration Information

Section VII. Agency Contacts

Section VIII. Other Information

Part II - Full Text of Announcement

Section I. Funding Opportunity Description

1. Program Objectives

The program provides funding to support research and development (R&D) for nuclear science, engineering, technology, and related disciplines to develop a workforce capable of supporting the design, construction, operation, and regulation of nuclear facilities and the safe handling of nuclear materials. University R&D activities provide an opportunity to complement current, ongoing NRC-led research.

More specifically, the program shall be used to provide financial assistance for R&D projects relevant to the programmatic mission of the NRC referenced above, with an emphasis on providing federal financial assistance with respect to research, development, demonstration, and commercial application of new and advanced nuclear technologies. Social science research will be considered under this announcement (for example, projects that would foster the development of innovative community engagement strategies, including incorporation of principles of equity and environmental justice).

The NRC invites R&D projects that complement its current research portfolio and that help the NRC prepare for upcoming challenges. A summary of NRC planned research activities can be found at https://www.nrc.gov/about-nrc/regulatory/research.html in the FY22-24 Research Prospectus. The NRC seeks projects that provide a variety of direct and indirect, near- and longer-term benefits. These benefits include:

• Identification and closure of potentially important technical gaps ahead of regulatory needs,

• Heightened awareness and knowledge of key advanced technology developments being pursued outside of NRC, and

• Improved foundational knowledge on key topics of future regulatory interest.

A. AREAS OF INTEREST

Areas of interest include, but are not limited to:

• Application of wireless communications, drones, robotics for the purpose of remote monitoring, and autonomous/remote control in operations and maintenance activities;

• Digital instrumentation/controls, data analytics, and advanced sensors/instrumentation, at nuclear facilities;

• Cybersecurity associated with digital instrumentation and controls, remote monitoring/control, wireless communications at high-consequence facilities;

• Evaluation of methods, approaches and major uncertainties in assessing risk for operating, new and advanced reactors and other type of licensed nuclear facilities or medical applications (e.g., modeling of complex dependencies, advanced calculation techniques, multi-unit and multi-moule risk, application of risk techniques to radiological consequence analysis, development of improved risk metrics);

• Human and organizational factors and human reliability analysis for advanced nuclear applications, (e.g., improved models for dependency, consideration of organizational factors, dynamic methods, human-system integration and risk analysis).

• Characterization of fire hazards in new reactor designs (e.g., sodium, Molten salt https://www.nrc.gov/about-nrc/regulatory/research.html reactors (MSRs), High-temperature gas-cooled reactors (HTGRs), Lead-cooled fast reactor (LFR)) and post-fire safe shutdown capability;

• Characterization of natural hazards including but not limited to flooding, high winds, hurricanes, wildfires, climate change;

• Analysis models and methods for fuel and cladding performance;

• Advanced technology approaches (e.g., data and text analytics, data visualization techniques, and artificial intelligence) and applications (e.g., data mining, autonomous control) in nuclear power-related applications; Evaluation of the radiological releases and offsite consequences for fusion reactor accidents;

• Application of innovative and advanced technologies for space nuclear launches;

• Application of innovative and advanced technologies for decommissioning and remediation of radiologically contaminated sites;

• Evaluation of the technical gaps and uncertainties in licensing new veterinary and medical uses of byproduct materials;

• Analytical approaches that combine probabilistic risk assessment (PRA) risk quantification methods with reactor systems sensitivity or uncertainty analysis methods to quantify the risk significance of safety analysis errors or uncertainties;

Performance-based technology-neutral safety assurance;

• Evaluation of technical gaps and major uncertainties in assessing risk for decommissioning and waste management;

• Comparative analysis, consistencies, and harmonization in application of dosimetry and dose coefficients by the NRC and national and international regulatory agencies.

• Activities in the areas of neutronics, thermal hydraulics, and severe accident analysis will help validate the NRC’s scientific computer codes;

• Additive (advanced) manufacturing for nuclear technologies.

Your application must emphasize the technical area(s) proposed if listed above.

See Section VIII, Other Information, for policies related to this announcement.

Section II. Award Information

1. Cost Sharing or Matching

Cost sharing or matching funds is not required. However, institutions are encouraged to cost share or match NRC funding (non-Federal funds) to enhance the benefits of the NRC grant.

For purposes of this announcement, cost sharing or matching means additional contributions (either financial or in-kind) that enhance the overall goals of the research grant program. Cost sharing or matching may be used to build infrastructure in nuclear and related disciplines and may include a variety of areas ranging from support of students to facility improvements or expansion. A written agreement or letter, within the last twelve (12) months, with a cost sharing or matching commitment is required at the time the application is submitted. See 2 CFR 200.306 for additional information.

If providing cost sharing or matching funds, institutions must include the type and value of support and describe how the contribution will enhance the program.

Cost sharing or matching funds is NOT a scored review criterion.

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See Section III.2.B, for citizenship requirements.

See Section VIII., Other Information, for policies related to this announcement.

Section III. Eligibility Information

1. Eligible Institutions

The NRC is fully committed to broadening the inclusion and contribution of communities that have been historically underserved. Eligible minority serving institutions, or institutions located in overburdened and underserved communities are highly encouraged to apply to this NOFO.

Institutional representatives may submit an application(s) if the institution is a regionally accredited U.S. public or private institution of higher education, as defined in Section 1001 of the Higher Education Act of 1965 (20 U.S.C. § 1001). Below is the list of the institution classifications eligible for this announcement:

• Public/State Controlled Institutions of Higher Education,

• Private Institutions of Higher Education,

• Hispanic-Serving Institutions (HSIs),

• Historically Black Colleges and Universities (HBCUs),

• Tribal Controlled Colleges and Universities (TCCUs),

• Alaska Native and Native Hawaiian Serving Institutions (ANNHIs),

• Native American-Serving Non-Tribal Institutions (NASNTI),

• Predominately Black Institutions (PBIs), and

• Asian American and Native American Pacific Islander Serving Institutions (AANAPISIs).

In the context of this document, the term “institution” is used synonymously with the term “recipient”;

however, in the case of a teaming arrangement or consortium, only the lead university is the recipient.

Affiliates that manage externally funded programs for Institutions of Higher Education are eligible to submit applications for this NOFO on behalf of the institution; however, award funds are only provided to the institution’s project.

No funds under this announcement are reserved or otherwise set-aside for any specific institutions.

Non-domestic (non-U.S.) Entities (Foreign Institutions) are not eligible to apply or receive federal financial assistance under this announcement.

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2. Eligibility Requirements

2.A. Eligible Principal Investigators

Any individual(s) with the skills, knowledge, and resources necessary to carry out the proposed research as the PI is invited to work with their organization to develop an application for support.

The application may also include Co-Principal Investigators (Co-PIs), individuals with the skills, knowledge, and resources necessary to make a significant contribution to the project. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are always encouraged to apply for NRC support.

More than one PI (i.e., multiple PIs), may be designated on the application for projects that require a “team science” approach and therefore clearly do not fit the single-PI model.

The decision of whether to apply for a grant with a single PI or multiple PIs is the responsibility of the investigators and applicant organizations and should be determined by the scientific goals of the project. Applications for grants with multiple PIs will require additional information, as outlined in the instructions below. When considering the multiple PI option, please be aware that the structure and governance of the PI leadership team as well as the knowledge, skills and experience of the individual PIs will be factored into the assessment of the overall scientific merit of the application. Multiple PIs on a project share the authority and responsibility for leading and directing the project, intellectually and logistically. Each PI is responsible and accountable to the grantee organization, as appropriate to a collaborating organization, for the proper conduct of the project or program, including the submission of required reports and documents.

If a proposed PI or Co-PI has a professional relationship with a non-educational entity (e.g., a national lab, an NRC licensee, or a corporation), then the PI/Co-PI must clearly state this relationship on their resume. (Refer to Section IV.2.J. Organizational Conflict of Interest (OCOI) for additional details.)

Although the PIs write the grant application and are responsible for conducting and supervising the research, the actual applicant is the educational institution PIs may submit only one application in response to this announcement. A PI may not be a Co-PI on another application in response to this announcement.

An application in response to this announcement may include more than one Co-PI. However, an individual can only be proposed as a Co-PI within one (1) application in response to this announcement.

2.B. Citizenship Requirement

For the duration of the grant period, all graduate students, faculty, PIs, Co-PIs, and other participants supported under or participating in the grant must meet the following citizenship requirements:

(1) Be a United States citizen, or

(2) Be a noncitizen national of the United States,* or

(3) Have been lawfully admitted to the United States for permanent residence (i.e., in possession of a currently valid permanent residence Green Card). Individuals on temporary visas, as well as refugees and asylees, are not eligible.

*Noncitizen nationals are persons born in outlying possessions of the United States (i.e., American Samoa and Swains Island).

2.C. Eligible Partnership Arrangements

Applicants may partner for subaward solely with other U.S. institutions of higher education. The NRC encourages the diversification of its grants by offering an incentive to those U.S. educational institutions that include in their application an effective cooperative or partnership arrangements with U.S. institutions that are designated as Minority Serving Institutions (MSI). Applications must describe any proposed partnerships in detail.

2.D. Eligible Participants in the Grant

Non-U.S. institutions may not participate in the grant, including foreign institutions offering to do so at no charge. Peer-to-peer academic exchanges are permissible.

Optional Participation by Domestic (U.S.) Entities that Are Not Institutions of Higher Education.

Participation or collaboration (e.g., collaborative discussions or experiments) by Federal laboratories is permissible subject to an organizational conflict of interest review by the NRC. (See Section IV.2.J.) Proposed collaborative discussions, exchange/use of materials, equipment, and facilities during the grant research with any other organization(s) are subject to an organizational conflict of interest review by the NRC. (See Section IV.2.J.) Peer-to-peer academic exchanges are permissible.

Section IV. Application and Submission Information

1. Application Forms and Content

The institution may download an SF424 Grant Application Package and instructions for this announcement by going to Grants.gov and following the directions provided on that Web site. Institutions must complete a one-time registration at Grants.gov (http://www.grants.gov/web/grants/applicants/organization-registration.html).

If the institution has questions regarding Grants.gov registration, refer to:

Grants.gov

• Contact Center Phone: 800-518-4726

Hours of Operation: 24 hours a day, 7 days a week. Closed on Federal holidays (see Office of Personnel Management Federal Holidays).

• Email Support: Support@grants.gov

The institution prepares its application using the SF-424 application form. Both the https://www.grants.gov/web/grants/applicants/apply-for-grants.html http://www.grants.gov/web/grants/applicants/organization-registration.html http://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ mailto:Support@grants.gov application form and instructions for completing it can be downloaded from http://www.grants.gov/web/grants/applicants/apply-for-grants.html.

The SF-424 application has several components. An institution’s application is complete only if it includes the following components:

Required Components:

SF-424: Application for Federal Assistance - CFDA Number: 77.008 SF-424A: Budget Information - complete Sections A, B1, C, D, E and F Certificate Regarding Lobbying Form SF-LLL: Disclosure of Lobbying Activities, if applicable

Grants.gov will acknowledge receipt of applications. The submitting Authorized Organizational Representative receives the Grants.gov acknowledgments. Applicants can track the recipients’ applications at:

http://www.grants.gov/web/grants/applicants/track-my-application.html.

2. Application Content Applications that are incomplete, non-compliant and/or nonresponsive will not be reviewed.

Required Elements for Applications

• Executive Summary

• Project Description

• References

• Approval documentation of the MSI Partnership and implementation plan (if applicable)

• Budget and Budget Narrative

• Current and Pending Support

• Curriculum Vitae

• Past NRC Funding and Summary of Results from Past NRC Funding, if applicable. If not applicable, a statement to that effect is required.

• Audit Report or working hyperlink

• Organizational Conflict of Interest Assessment or a statement that one is not applicable

(Refer to section IV.2.J “Organizational Conflict of Interest (OCOI)”.)

• Other required forms

A. Format:

Font Size, Style, and Color

• 11 point, Arial, black color (A Symbol font may be used to insert Greek letters or special characters.) This is a requirement for all pages included in the document, i.e., table of contents, references, etc.

Page Size and Margins

• Use standard paper size (8 ½" x 11”).

• Use one-inch margins (top, bottom, left, and right).

• The NRC requires all text attachments to the SF424 application forms to be submitted as PDF files. Adobe PDF format is preferred.

1 Applicants shall provide the budget breakdown required in Section B - Budget Categories by Year.

http://www.grants.gov/web/grants/applicants/apply-for-grants.html http://www.grants.gov/web/grants/applicants/track-my-application.html

Footer

• Each page should include a page number and Principal Investigator’s last name in the bottom right-hand corner.

Attachments

• The NRC requires all text attachments to the SF424 application forms to be submitted as separate individual PDF files. Adobe PDF format is preferred.

B. Executive Summary* (one-page maximum):

Describe the proposed project’s essential elements.

• Descriptive title of proposed project: NOTE: The applicant should describe its program as the University’s program and not the NRC’s program.

• Name, address, email address and telephone number of the PI(s).

• Name(s), address, email address and affiliations of other investigator/collaborative personnel who will contribute significantly to the project.

• The project’s total funding request.

• Concise statement of the project’s objectives and benefits.

C. Project Description:

Applications must include and clearly identify the following elements in the Project Description section:

1. SIGNIFICANCE

Part II of the NOFO, Section I.1.A, “AREAS OF INTEREST,” identifies a list of technical areas of interest to the NRC. The list is not exhaustive. To demonstrate “Significance,” the applicant must clearly identify the specific technical area(s) of interest the proposal seeks to address (specify if it is an area identified in Section I.1.A or a new proposed area of interest).

This section should also provide a detailed explanation of the effect of the studies on the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field.

2. APPROACH

When presenting the approach, the applicant must demonstrate how the conceptual approach, design, methods, and/or analyses are developed and integrated with the objectives of the project. In addition, the applicant should state the management structure and the capability for administering the program. The applicant should also identify the evaluation plan that will provide information on the effectiveness of the project.

3. INNOVATION

Demonstrate that the research is original and innovative. Provide a detailed description of the project challenges existing paradigms or common practice; addresses an innovative hypothesis or critical barriers to progress in the field; and/or develops or employs novel concepts, approaches, methodologies, tools, or technologies for this area.

4. PRINCIPAL INVESTIGATORS

State how the PI and other researchers are experienced and have the expertise to execute the project.

5. PARTNERSHIPS WITH MINORITY SERVING INSTITUTIONS

State any partnerships with minority serving institutions (MSI). A detailed description of the partnership and implementation plan approved by the lead and the partnering institution(s) must be provided. Details must include the role of the MSI and how it will be integrated into the project as well as the funding that will be used to support the MSI. A letter from the MSI should be signed by both the MSI PI and institution administrator and provided as an attachment.

The project description is limited to seven (7*) pages or less, including text, tables, and visual materials (e.g., charts, graphs, maps, photographs). The page limit does not include the following:

• Executive Summary;

• References

• Current and Pending Support;

• Curriculum Vitae;

• Budget and Budget Narrative;

• Past NRC Funding and Summary of Results from Past NRC Funding, if applicable. If not applicable, a statement to that effect is required;

• Approval documentation of the MSI Partnership and implementation plan (if applicable)

• Organizational Conflict of Interest Assessment or a statement that one is not applicable

(Refer to section IV.2.J “Organizational Conflict of Interest (OCOI)”.)

• Other required forms.

D. References:

This section is limited to two (2) pages and must include bibliographic citations only. It must not be used to provide additional information outside of the 7-page Project Description.

E. Summary of Current and Pending Support:

The applicant must provide information on all current and pending support for ongoing projects and proposals. Include the proposed project and all other projects or activities using Federal assistance or that require a portion of time of the PI or other senior personnel. Describe the relationship between the proposed project and these other projects and state the number of person-months per year to be devoted to the projects.

F. Curriculum Vitae:

Include a two- (2) page maximum curriculum vitae for each PI and other senior personnel involved in carrying out the proposal, including recent relevant publication references.

G. Detailed Budget Narrative and Application Instructions:

Submit a detailed budget narrative explaining the need for and justifying the costs of the Federal and the non-Federal expenditures as they relate to the application objectives.

Budget should be labeled with each budget line item and proposed funding. See

Attachment I - for a sample budget narrative. This level of detail shall be followed in describing your budget narrative under SF-424A.

SF-424 Section A – Budget Summary: Fill in “31310024K0001” under the “Grant Program Function or Activity” (Column a). The Catalog of Federal Domestic Assistance (CFDA) number is 77.008 (Column b). Columns (c) and (d) should be left blank. Columns (e) and

(f) should include the total Federal and Non-Federal funding for the entire grant period.

List all expenditures in the budget narrative using the same budget categories on SF- 424A, Section B (Budget Category). Describe each expense in the budget narrative by object class (e.g., personnel, equipment, travel, and other costs) in the order that they appear on the SF-424A, Section B. Include the dollar amounts in the budget narrative/justification and how the dollar amounts were derived.

The cost sharing or matching amount, if applicable, should be entered in the SF-424A, Section C, “Non-Federal Resources.” The total on Section D, Line 14, and Section E, Line 21, equals total project costs.

Include a detailed description of all costs in the budget justification.

The budget justification submitted with the application must match the dollar amounts on all required forms (i.e., SF-424, SF-424A, Section F). Please explain each calculation and provide a narrative that supports each budget category as it relates to the project objectives.

Applications Involving Multiple Institutions: When multiple institutions are involved in a cooperative or partnership arrangement, one institution must be designated as the prime institution and funding for the other institution(s) must be requested via a subcontract to be administered by the prime institution. The prime institution should submit its budget using the SF-424A Budget component, including the subcontract(s) total amount. Contractual costs for support services are occasionally sufficiently high to warrant a categorical breakdown of costs. When this is the case, provide detailed information as part of the budget narrative.

Letters of commitment between multiple institutions, signed by their respective authorized organization representatives, are required as part of the application.

All other institutions (subcontractors) must attached separately, and information concerning the consortium/subcontract budget must be provided in their budget narrative.

Sub-award: A budget narrative is requested for sub-award institutions. Letters of commitment between multiple institutions, signed by their respective authorized organization representatives, are required as part of the application.

Allowable Costs: Allowable costs must be consistent with 2 CFR Part 200, Subpart E— COST PRINCIPLES, be well documented and fully justified for the activities proposed.

These costs include but are not limited to the following: materials, supplies, travel to professional meetings, support to defray student participation expenses, such as student compensation (when appropriate) and other student costs (e.g., fees, books, tuition and lab fees) for no more than the amounts specified in the section entitled “Budget and Project Period” (under Part I of this NOFO). The recipient must provide documentation of tuition rates, if included in the application. Grant funds may not be used to supplant funds otherwise available at the applicant institution. It is recommended that the recipient consult NRC contacts identified in Section VII, if there are any questions regarding allowable costs.

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Personnel: The Principal Investigator will be solely responsible for planning, directing, and executing the proposed project. Individuals participating in the design and implementation of the grant may request salary and fringe benefits appropriate for the person months devoted to the program. These expenses must be itemized in Sections A and B, as appropriate, of the SF 424A Budget page. Salaries requested may not exceed the levels commensurate with the institution's policy for similar positions. Limited administrative and clerical salary costs associated distinctly with the program, that are not normally provided by the applicant organization, may be direct charges to the grant only when specifically identified and adequately justified.

Graduate students may be included on applications. Graduate students should not be listed as principal investigators, co-principal investigators, or senior personnel.

Fringe Benefits The recipient must provide a copy of the applicable fringe benefit rates. A description of how the cost was computed is required. Provide an explanation for rate changes or escalation, if any.

Travel The recipient must provide a detailed cost breakdown for travel cost. Cost needs to be itemized. Estimate the cost of all travel for each trip by destination, number of people and days, air fare, hotel, per diem, car rental, etc.

Equipment The recipient must provide an itemized list of equipment showing the cost for each item and an explanation for why the equipment is needed. Proposals requesting to purchase equipment must include equipment quotes or vendor agreements.

Supplies The recipient must provide an itemized list of supplies which includes the cost and quantity per item. A basis for developing the cost estimate (vendor quotes, invoice prices, purchase order history, etc.) must be included.

Other Direct Cost This section of the cost proposal includes all other directly related costs required in support of the program. A description for each cost is required along with how the cost was computed. A basis for developing the cost estimate (vendor quotes, invoice prices, purchase order history, etc.) must be included.

Indirect Cost/Facilities and Administrative (F&A) Costs A copy of the recipient’s current rate agreement is required in the application with the budget justification. Applicants will use their negotiated indirect rate agreements. F&A will be allowed in accordance with 2 CFR § 200.306 & 2 CFR § 200.414.

Other Program-Related Expenses: Consultant costs, equipment, supplies, travel for key persons, and other program-related expenses must be justified as specifically required by the proposed program and must not duplicate items generally available for educational programs at the applicant institution. Travel/virtual participation to the NRC to present research results and/or attend the NRC’s Annual Regulatory Information Conference (RIC) is an allowable expense. These expenses must be itemized, as appropriate, in the SF424A object class categories and fully documented in the budget justification. Committed Cost Sharing/Matching becomes an official part of the budget and should be documented on the https://www.ecfr.gov/cgi-bin/text-idx?SID=c71a8ba6c3931080ecfb3ffb0045f01c&mc=true&node=se2.1.200_1306&rgn=div8 https://www.ecfr.gov/cgi-bin/text-idx?SID=c71a8ba6c3931080ecfb3ffb0045f01c&mc=true&node=se2.1.200_1414&rgn=div8

SF424A and in the proposed budget justification.

Recipient Commitment and Responsibilities: The recipient must demonstrate a commitment to support the program objectives of this NOFO. The PI and the recipient institution are expected to have or to develop an administrative structure that enables faculty, academic administrators, and others involved in the project to interact productively during the award period. In a cooperative or partnership arrangement the recipient receiving the NRC grant is responsible for all support provided under the grant.

H. Audit Report

Submit a current copy of the institution’s A-133 Audit report.

I. CERTIFICATION OF COMPLIANCE WITH U.S. IMMIGRATION LAWS AND REGULATIONS

(RESEARCH GRANTS) – TO BE COMPLETED PRIOR TO AWARD

Applicant institutions are not required at the time of application to complete the Citizenship Certification of Compliance Statement. However, if your institution’s application is recommended for award, the NRC will contact your institution and require, at that time, that your institution provide a complete Citizenship Certification of Compliance Statement on your institution’s Letterhead.

The required certification template is provided below and must be submitted prior to award, when required by the NRC.

When required by the NRC, the applicant shall provide the certification statement below regarding the citizenship status of all researchers, graduate students, PIs, Co-PIs, and other participants supported under or participating in this grant. For researchers, PIs, Co- PIs, graduate students, and other participants who are non-U.S. citizens, institutions are required to provide documentation that the individual is admitted to the United States for permanent residence (i.e., a current permanent residence Green Card).

Individuals on temporary visas, as well as refugees and asylees, are not eligible.

If your institution is awarded an NRC research grant, your institution will have an ongoing obligation to notify the NRC when it proposes to add a new participant to the grant (e.g., PI, Co-PI, graduate student, etc.). If your institution adds a new participant to the grant, the NRC will require that your institution provide a refreshed Citizenship Certification of Compliance Statement at that time.

CERTIFICATION OF COMPLIANCE WITH U.S. IMMIGRATION

LAWS AND REGULATIONS (RESEARCH GRANTS)

Prior to the award of an NRC research grant, the NRC requires a duly authorized representative of the applicant institution to certify that all researchers, PIs, Co-PIs, graduate students, and other participants supported under or participating in the grant comply with the citizenship requirements of Section 2.B. of this announcement.

I hereby certify that all researchers, PIs, Co-PIs, graduate students, and other participants supported under or participating in the grant comply with the citizenship requirements of Section 2.B of this announcement.

For the duration of the grant period, all researchers, PIs, Co-PIs, graduate students, and other participants supported under or participating in the grant are—

(1) a United States Citizen; or

(2) a non-citizen national of the United States; or

(3) a non-United Citizen who has been lawfully admitted to the United States for permanent residence (i.e., in possession of a currently valid permanent resident Green Card)) for the duration of the grant period.

I further certify that there [ ] are [ ] are not personnel or other participants proposed under this grant agreement that are in violation of the United States immigration laws and regulations, including employment authorization documents and visa requirements.

Below I have provided the name, address, contact information, and citizenship status for each researcher, PI, Co-PI, graduate student, and other participant supported under or participating in the grant.

[List proposed staff here and provide name, address, contact information, and citizenship status]

Documentation of the citizenship status for each of the following individuals who are included in my institution’s application and who are not United States citizens is available and will be provided upon request:

• Researchers, [as applicable, provide name, address, contact information, and citizenship status]

• Principal Investigators and Co-Principal Investigators [as applicable, provide name, address, contact information, and citizenship status],

• Participating graduate students [as applicable, provide name, address, contact information, and citizenship status], and

• Other participants [as applicable, provide name, address, contact information, and citizenship status].

Signature of Authorized Representative Date (mm/dd/yyyy) for Applicant Institution

Printed Name and Title of Authorized Representative

J. Organizational Conflict of Interest (OCOI)

Pursuant to 2 CFR § 200.112 and the NRC’s award policy, applicants are required to disclose to the NRC (in writing) any potential conflicts of interest. The NRC will review the information provided by the applicant in order to make an organizational conflict of interest determination.

If a PI, Co-PI, or any member of the research team has a professional affiliation with a Federal laboratory or other organization (even if the affiliation does not involve remuneration), then such affiliation must be clearly identified on resumes included in the application.

Federal laboratories or other organizations who are proposed for collaborative discussions during the grant research are subject to an organizational conflict of interest review by the NRC. Any other proposed organization (other than the awardee) may not manage/control the grant or provide substantial direction for the grant. If an applicant intends to involve a Federal laboratory or any other organization, then the applicant must provide information requested below. Responses must be provided as an attachment to the application.

The responses must be clear and detailed.

1. Role of the Federal Laboratory or Other Organization in the Grant

a. Describe the proposed role(s) in sufficient detail to ensure a full understanding by the

NRC.

b. Disclose to the NRC any interagency agreements or contracts the proposed organization has with the NRC in the same/similar technical subject area. Provide the interagency agreement (IAA) number or contract number, project description, period of performance, and dollar value of the project.

c. Will the proposed organization advise the applicant? If so, describe the advisory role and indicate the anticipated frequency of the advice.

2. Exchange/Use of Materials, Equipment, and Facilities

Note that organizations other than the awardee or partnering U.S institution of higher education are not eligible to receive Federal financial assistance under this announcement.

a. Describe any materials, equipment, and facilities proposed for the NRC research grant.

b. Describe any training required in order to ensure the effective use of materials, equipment and/or facilities.

3. Submitting an Application Electronically to the NRC

We encourage applicants to apply early to avoid problems uploading applications to www.Grants.gov. If necessary, the NRC will make adjustments to the correction window or submission deadlines to protect applicants’ ability to submit on-time.

Electronic submission is required through www.Grants.gov. If the recipient cannot submit through Grants.gov due to transmission issues, applications may be submitted via email to the NRC. The Authorized Organization Official should contact the GRANTS.GOV SUPPORT to document and help resolve the submission issues, then:

http://www.grants.gov/web/grants/support.html http://www.grants.gov/web/grants/support.html

1. Document the issue with the NRC Grants Officer listed in Section VII.

Agency Contacts; and

2. Include recipient’s www.Grants.gov support ticket number with recipient’s alternate submission.

Email submissions must be sent by the institution’s Authorized Organization Official (not the PI) to the Agency contacts found in Section VII in this announcement. The email subject line should include the www.Grants.gov support ticket number with the recipient’s name.

4. Application Processing

Applications that are incomplete, non-compliant and/or nonresponsive will not be reviewed.

Grants.gov will acknowledge receipt of applications. The submitting Authorized Organizational Representative receives the Grants.gov acknowledgments. Applicants can track the recipient’s applications at:

http://www.grants.gov/web/grants/applicants/track-my-application.html.

5. Funding Restrictions

All NRC awards are subject to the administrative requirements in accordance with 2 CFR Part 200 and other considerations described in “The Nuclear Regulatory Commission’s Standard Terms and Conditions for U.S. Non-Governmental Recipients.”

6. Information on Civil Rights Compliance Requirements Imposed as a Condition of Award of NRC Federal Financial Assistance

The U.S. Nuclear Regulatory Commission (NRC), as delegated to the Office of Small Business and Civil Rights (SBCR) and its internal and external civil rights programs, is responsible for administering and providing regulatory oversight in coordinating compliance and enforcement of the Title VI of the Civil Rights Act of 1964, including the provisions related to Limited English Proficiency (LEP); Title IX of the Educational Amendments Act of 1972; Sections 504 and 508 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended;

and Title IV of the Atomic Energy Act, as amended.

These acts, as adopted and incorporated under the NRC regulations found at Title 10 of the Code of Federal Regulations 10 CFR Part 4, “Nondiscrimination in Federally Assisted Programs or Activities Receiving Federal Financial Assistance from the Commission,” and 10 CFR Part 5, “Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance”, clearly states that “no person in the United States shall, on the ground of race, color, or national origin, religion, sex (including sexual orientation, gender identity and expressions, and pregnancy), status as a parent; or age, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance” (42 U.S.C. Chapter 21, Subchapter 5; 42 U.S.C. 5801; 29 U.S.C.

701 note; 42 U.S.C. 3001 note).

http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/track-my-application.html https://www.ecfr.gov/cgi-bin/text-idx?SID=85063e3d7f3002b9e9cc711c11fe4700&mc=true&node=pt2.1.200&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=85063e3d7f3002b9e9cc711c11fe4700&mc=true&node=pt2.1.200&rgn=div5 https://www.nrc.gov/reading-rm/doc-collections/cfr/part004/index.html https://www.nrc.gov/reading-rm/doc-collections/cfr/part005/index.html

In support of the Agency’s grants program and its administrative processes, SBCR’s external civil rights program administers, manages, ensures compliance and enforcement, by establishing and maintaining an effective pre- and post-award compliance review program that ensures the awarded recipients comply with Federal mandates and nondiscrimination laws. In addition, the NRC uses several mechanisms (pre- and post-award compliance reviews, complaint processing, investigations, and enforcement violations) to ensure equal opportunity and fair practices in the programs and activities of NRC’s Federal financially assisted programs and activities and its award recipients.

Applicants must ensure that individuals selected as beneficiaries of support under this grant meet the legal requirements consistent with Supreme Court Decisions, including Fisher v. University of Texas at Austin, Gratz v. Bollinger, and Grutter v. Bollinger.

6.A Provide Public Notification Recipients will display the NRC’s nondiscrimination policy and procedures for filing complaints in prominent locations to inform staff, beneficiaries and potential beneficiaries; disseminate a nondiscrimination policy statement (e.g., recruitment materials, brochures and other materials, handbooks, applications and postings); and distribute notices regarding programs and activities to eligible populations, including minority and low- income populations; and to Limited English Proficient (LEP) individuals. (See LEP Guidance FR Doc 04-4672.)

• Participate in mandatory NRC Compliance Reviews.

• Participate in pre- and post-award compliance reviews.

6.B Pre-Award Compliance Review A pre-award compliance review (typically a desk-audit) must be conducted prior to award of NRC financial assistance. Applicants and recipients are required to complete NRC Form 781 Parts A, B, and C. If a determination cannot be made from the submitted data, SBCR will take steps to request additional information, which could include conducting an on-site audit or inspection. If, during the pre-award review, an item of non-compliance is found, an award may be executed with language indicating that the awardee is under a 60- day SBCR periodic review.

6.C Post-Award Audit Post-award compliance reviews will be based on desk audits and input from advocacy groups, community organizations, and results from ongoing research to identify recipients that should be selected to undergo an on-site audit. The following criteria will be used to help identify recipients for a post-award compliance on-site audit:

• Areas of “questionable” compliance identified in a desk audit;

• Issues raised in a complaint or identified during a complaint investigation (not covered in the scope of the investigation);

• Noncompliance issues raised;

• Amount of program funding ($100K or greater), or size and complexity of the project;

• Geographical areas the agency wishes to target because of known problems beneficiaries are experiencing;

• Problems identified to the agency by other civil rights agencies;

• Problems identified to the agency by community organizations or advocacy groups that are familiar with actual incidents to support their concerns;

• Issues frequently identified as problems faced by program beneficiaries;

• Issues targeted in the agency's strategic plan;

• Problems identified to the agency by its block grant recipients; and/or

• Proximity of the recipient to NRC offices.

Post-award compliance (on-site) audits (sampling not to exceed 10%) encompass a broad review of recipients’ programs and practices to determine actual compliance with regulations, and include:

• Civil rights implementation and enforcement policies and practices;

• Statistical evidence by racial and ethnic minorities based on the recipient’s: (a) staffing patterns, (b) beneficiary program participation rates, and (c) rejection rates;

• Applications or interview materials related to program participation or selection;

• Demographic make-up of the affected community or potential participants;

• Actions to educate the public and affected communities, particularly LEP individuals;

• Any discrimination complaints lodged against the recipient;

• Auxiliary aids, reasonable accommodations, facility accessibility; and

• Any previous findings of compliance or noncompliance related to the recipient.

Post-award compliance (on-site) audits will include:

• Interviews of recipient’s officials, representatives, participants or beneficiaries; and review recipients’ data collection and analysis used to assess compliance.

• SBCR will issue a written report stating whether or not the institution is in compliance with Federal Civil Rights Laws and certifying eligibility to receive an award. The report includes recommendations for achieving compliance if any deficiencies are identified.

• Designate Equal Opportunity Coordinators

• Appoint Coordinators (e.g., Title VI and IX, Disability, Age) in order to:

o Inform those eligible to participate in programs and activities about all available services and their rights under applicable Federal civil rights regulations;

o Collect data on who is being served by the programs and activities offered;

o Monitor compliance and alerting recipient officials of any complaints or noncompliance issues that require action;

o Plan, develop, and implement periodic Equal Opportunity civil rights training;

o Maintain records and report compliance to SBCR as required by Agency regulations that are (1) OMB approved and (2) statute requires information/data collections; and o Ensure prompt corrective action has been taken to adequately address any deficiencies.

6.D Submit Compliance Reports Submit an annual Equal Opportunity compliance report to SBCR no later than December 31 of each calendar year. Based on compliance monitoring, recipients may be required to provide interim EO reports

6.E Provide Civil Rights Training Provide comprehensive civil rights training for existing and new staff for those administering the grant, and periodically retrain existing staff to establish and update their knowledge of Equal Opportunity civil rights statutes and emerging issues.

6.F Establish Complaint Process Establish procedures for “processing and disposition” of discrimination complaints. Maintain complaint log, which includes complainants’ characteristic designation as covered under Title IX, Title VI and Coordinating Regulations and Executive Orders, etc. a unique identifier for the complainant; the nature of the complaint and date filed; the investigation completion date; the date and nature of the disposition; and other pertinent information.

6.G Requirements of Recipients

Recipients are required to:

• Participate in mandatory NRC pre- and post-award compliance reviews, conducted by

SBCR.

• Submit an annual Equal Opportunity compliance report to SBCR no later than December 31 of each calendar year. Based on compliance monitoring, recipients may be required to provide interim EO reports.

• Provide comprehensive civil rights training for existing and new staff for those administering the grant, and periodically retrain existing staff to establish and update their knowledge of Equal Opportunity civil rights statutes and emerging issues.

• Establish procedures for “processing and disposition” of discrimination complaints and maintain a complaint log, which includes complainants’ characteristic designation as covered under Title IX, Title VI and coordinating Regulations and Executive Orders, etc. a unique identifier for the complainant; the nature of the complaint and date filed;

the investigation completion date; the date and nature of the disposition; and other pertinent information

• Display the NRC’s nondiscrimination policy and procedures for filing complaints in prominent locations to inform staff, beneficiaries and potential beneficiaries;

disseminate a nondiscrimination policy statement (e.g., recruitment materials, brochures and other materials, handbooks, applications and postings); and distribute notices regarding…