DE-FOA-0001841 - Final.pdf

MSIPP FUNDING OPPORTUNITY ANNOUNCEMENT: DE-FOA-0001841

DEPARTMENT OF ENERGY

NATIONAL NUCLEAR SECURITY ADMINISTRATION

OFFICE OF ACQUISITION MANAGEMENT

MINORITY SERVING INSTITUTIONS PARTNERSHIP PROGRAM (MSIPP)

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) NUMBER:

DE-FOA-0001841

FOA TYPE: INITIAL

CFDA NUMBER: 81.123

FOA Issue Date: February 6, 2018 Submission Deadline for Letter of Intent: N/A Informational Webinar: N/A Submission Deadline for Concept Papers: N/A Submission Deadline for Pre-Applications:

N/A

Submission Deadline for Applications: March 19, 2018

Expected Date for Selection Notifications: May 2018

Registration Requirements

There are several one-time actions applicants must complete in order to submit an application in response to this Announcement (e.g., obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) number, register with the System for Award Management (SAM), register with Grants.gov, or register with another portal as indicated in the FOA). Applicants who are not registered with SAM and Grants.gov should allow up to five weeks to complete these requirements. It is suggested that the process be started as soon as possible.

If an applicant has not already done so, they must:

1. Obtain a DUNS number. DUNS website: http://fedgov.dnb.com/webform.

2. Register with the SAM. SAM website: http://www.sam.gov/. For more information about SAM registration for applicants please refer to:

https://www.sam.gov/sam/transcript/Quick_Guide_for_Grants_Registrations_v1.7.pdf.

3. Register with Grants.gov and set up your Workspace. There are multiple steps to this process, for more information about Grants.gov registration for applicants please refer to: https://www.grants.gov/web/grants/applicants/registration.html

For more information about setting up Workspace please refer to:

https://www.grants.gov/web/grants/applicants/workspace-overview.html

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html

IMPORTANT NOTICE TO POTENTIAL APPLICANTS: When you have completed the Grants.Gov registration process, you should call the Grants.gov Helpdesk at 1-800-518-4726 to verify that you have completed the final step.

4. Register with FedConnect to submit questions. FedConnect website:

www.fedconnect.net.

Questions

Questions regarding the content of the funding opportunity announcement must be submitted through the FedConnect portal. You must register with FedConnect to respond as an interested party to submit questions, and to view responses to questions. It is recommended that you register as soon after release of the FOA as possible to have the benefit of all responses. DOE/NNSA will try to respond to a question within 3 business days, unless a similar question and answer have already been posted on the website.

Questions relating to the Grants.Gov registration process, system requirements, or how an application form works must be directed to Grants.gov at 1-800-518-4726 or support@grants.gov.

http://fedgov.dnb.com/webform http://www.sam.gov/ https://www.sam.gov/sam/transcript/Quick_Guide_for_Grants_Registrations_v1.7.pdf https://www.grants.gov/web/grants/applicants/registration.html https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html http://www.fedconnect.net/ mailto:support@grants.gov

Application Preparation

Applicants must prepare the application package and application forms from the Grants.gov website: http://www.grants.gov/

Additional instructions are provided in Section IV of this FOA.

Application Submission

Applications must be submitted through Grants.gov to be considered for award. You cannot submit an application through Grants.gov unless you are registered. Please read the registration requirements carefully and start the process immediately. Remember you have to update your SAM registration annually. If you have any questions about your registration, you should contact the Grants.gov Helpdesk at 1-800-518-4726 to verify that you are still registered in Grants.gov.

http://www.grants.gov/

SECTION I - FUNDING OPPORTUNITY DESCRIPTION

Description

SECTION II - AWARD INFORMATION

A. Type of Award Instrument B. Estimated Funding C. Maximum and Minimum Award Size D. Expected Number of Awards E. Anticipated Award Size F. Period of Performance G. Type of Application H. Limitations on MSIPP FOA Applications by Same Organization

SECTION III - ELIGIBILITY INFORMATION

A. Eligible Applicants B. Cost Sharing C. Other Eligibility Requirements

SECTION IV - APPLICATION AND SUBMISSION INFORMATION

A. Address to Request Application Package B. Letter of Intent and Pre-Application C. Content and Application Forms

1. Application for Federal Assistance SF-424

2. Attachments Form

3. Project Summary/Abstract

4. Project Narrative

5. Work Plan and Schedule

6. Appendices to Project Narrative Information

7. Required Budget Documents and Information

8. R&R Subaward Budget Form

9. Project/Performance Site Location(s)

10. Certification Regarding Lobbying or Disclosure of Lobbying Activities

11. List of Assurances and Certifications

12. Financial Assistance Environmental Checklist (Attachment I)

D. Application Package Requirements Summary Listing E. Submissions from Successful Applicants F. Submission Dates and Times G. Intergovernmental Review H. Funding Restrictions (December 2014) I. Other Submission and Registration Requirements

1. Where to Submit

2. Registration Process

3. Application Receipt Notices

SECTION V - APPLICATION REVIEW INFORMATION

A. Criteria

1. Initial Review Criteria

2. Merit Review Criteria

3. Other Selection Factors

B. Review and Selection Process

1. Merit Review

2. Selection Official Consideration

3. Review of Risk

4. Reporting of Matters Related to Recipient Integrity and Performance (December 2015)

5. Government Discussions with Applicant (December 2014) C. Anticipated Notice of Selection and Award Dates

SECTION VI - AWARD ADMINISTRATION INFORMATION

A. Award Notices

1. Notice of Selection

2. Notice of Award (December 2014)

B. Administrative and National Policy Requirements C. Reporting D. Applicant Representations and Certifications

SECTION VII - QUESTIONS/AGENCY CONTACTS

A. Questions B. Agency Contact

SECTION VIII - OTHER INFORMATION

A. Modifications B. Government Right to Reject or Negotiate C. Commitment of Public Funds D. Proprietary Application Information E. Evaluation and Administration by Non-Federal Personnel F. Intellectual Property Developed Under this Program G. Notice of Right to Request Patent Waiver H. Notice Regarding Eligible/Ineligible Activities I. Protected Personally Identifiable Information J. Annual Compliance Audits

SECTION IX - APPENDICES/REFERENCE MATERIAL

SECTION I - FUNDING OPPORTUNITY DESCRIPTION

Description

A. Summary

The Minority Serving Institutions Partnership Program (MSIPP) within the Department of Energy’s (DOE), National Nuclear Security Administration (NNSA) Office of Science, Academic Alliances and Partnerships subprogram funds academic programs to develop NNSA’s next-generation technical workforce. NNSA funds scientific academic programs to develop the next generation of highly trained technical workers able to support its core mission and to ensure there is a strong community of technical peers, external to the NNSA national laboratories, capable of providing peer review and scientific competition to strengthen the basic fields of research relevant to the NNSA.

MSIPP aligns investments in university capacity and workforce development with DOE/NNSA mission areas to develop the needed skills and talent for DOE/NNSA’s enduring technical workforce at the laboratories and production plants, and to enhance research and education at under-represented colleges and universities. This alignment is defined by the following goals:

1. strengthen and expand Minority Serving Institutions’ (MSI) capacity and research experience in NNSA/DOE mission areas of interest,

2. increase visible participation of MSI faculty in NNSA/DOE technical engagements and activities, such as collaborative research, technical workshops, expert panel reviews and studies, and competitive processes,

3. target collaborations between MSIs and NNSA/DOE laboratories and plants that increase scientist-to-scientist interactions, applied research and engineering application collaborations and/or implementation of research results, and provide MSI access to NNSA/DOE facilities,

4. increase the number of MSI students who graduate with Science, Technology, Engineering, and Mathematics (STEM) degrees relevant to DOE/NNSA mission areas and who have had exposure to career opportunities at DOE/NNSA, and

5. increase the number of minority graduates and post-doctoral students hired into NNSA/DOE’s technical and scientific workforce.

NNSA MSIPP is designed to increase participation of minorities across the nation in STEM disciplines, developing individuals, building core competencies for DOE/NNSA, and improving institutional capacity in MSIs. MSIPP supports MSI efforts including Historically Black Colleges and Universities (HBCUs), Hispanic Serving Institutions (HSIs), and Tribal Colleges and Universities (TCUs).

The purpose of this Funding Opportunity Announcement (FOA) is to announce the NNSA MSIPP’s interest in receiving applications for new or renewal grant financial assistance awards for Minority Serving Institutions Science, Technology, Engineering, and Math (STEM) Consortium Partnerships. The topic areas of interest in the MSIPP are related to STEM disciplines supported by the MSIPP and include:

• Biological sciences (except medicine and other clinical fields);

• Physical sciences (including physics, chemistry, astronomy, and materials science);

• Mathematical sciences;

• Computer and information sciences;

• Nuclear sciences and engineering

• Engineering; and

• Technology areas associated with the preceding disciplines (for example, biotechnology, chemical technology, engineering technology, information technology, etc.)

Only applications for grant awards will be accepted for this solicitation.

B. Program Objectives

The objectives of the MSIPP are to:

• Build a sustainable pipeline between DOE’s sites/labs and Minority Serving Institutions (MSIs) in STEM disciplines, and bring a heightened awareness of NNSA plants and laboratories to MSIs with a common interest in STEM research fields.

• Provide opportunities for intellectual challenge and collaboration by promoting scientific interactions between the academic community and scientists at the DOE/NNSA laboratories.

• Develop and maintain a long-term recruiting pipeline to the DOE/NNSA laboratories by increasing the visibility of the DOE/NNSA scientific activities to U.S. academic communities, specifically Minority Serving Institutions.

C. Scope and Topical Areas

The scope of this funding opportunity is to enhance the participation of HBCUs, TCUs and HSIs in STEM disciplines in order to increase representation of African Americans, Hispanics and Native Americans in these disciplines in the public and private sectors throughout the country, including the DOE/NNSA complex, particularly National Laboratories. An additional purpose of this program is to enhance the “sustainability” of the HBCUs, HSIs and TCUs in STEM disciplines.

The term “sustainability” as applied to the MSIPP means increasing the capacity of the MSIs in technical areas by providing opportunities to do basic research and partner with DOE/NNSA laboratories in developing the skill and knowledge of their faculty and students, merging academic study with practical work experience for students majoring in relevant STEM fields and related disciplines to create pool of talented students to explore and understand professional practices within DOE, NNSA and the Federal government.

The DOE/NNSA will consider applications for university-led projects which can address one or more of the STEM topic areas outlined below.

• Biological sciences (except medicine and other clinical fields);

• Physical sciences (including physics, chemistry, astronomy, and materials science);

• Mathematical sciences;

• Computer and information sciences;

• Engineering; and

• Technology areas associated with the preceding disciplines (for example, biotechnology, chemical technology, engineering technology, information technology, etc.)

The key objectives are to:

• Strengthen the research and education capabilities of Minority Serving Institutions in the above-mentioned topic areas;

• Encourage minority students to excel in science, technology, engineering and math by providing them with practical experience and training through applicable research projects; and

• Enlarge the scientific, technical and market development knowledge and resource base in the above-mentioned topic areas.

All proposed work to be funded through this MSIPP announcement is to be UNCLASSIFIED. No proposals for CLASSIFIED work will be accepted.

D. Description of a Consortium Based Model Focused on Research Relative to Training in STEM

A Consortium includes at the minimum, a four year institution, an advanced degree granting institution, and a DOE/NNSA national laboratory/site. The maximum number of university partners should not exceed 4 universities (one Lead university partner and three subawardees) and the maximum number of national lab/site partners should not exceed 3 M&Os.

A successful Consortium:

• is made up of a team of academic partners that performs exciting, creative, and challenging research in the Consortium’s topical area in a collaborative manner that is more efficient and effective than by the members of the team acting separately,

• has a sustained and successful leadership and management team comprised of lead senior researchers from the academic partners,

• has an advisory committee, comprised of at least 5 persons and includes representation from the NNSA National Labs, that provides advice on the management and direction of the Consortium to the management team,

• attracts high caliber undergraduate, graduate, doctoral and postdoctoral students and trains them in areas critical to NNSA’s mission,

• provides faculty and students with exposure to researchers and the environment of the NNSA National Laboratories, and

• mentors young researchers and prepares them for leadership and management roles.

Forms an Effective Collaborative Team. A successful Collaborative Team consists of a multi-investigator team, preferably from multiple academic institutions, that addresses an over-arching theme or themes of interest within a topical research area as defined in Section I. C. The Principal Investigator, or PI, serves as the Director of the Collaborative Team, and leads the effort collaboratively with the other senior researchers. The PI’s institution is the assignee for the grant. Members of the multi-investigator team are “Partners.” The “Collaborative Team” is defined as the Partners plus the PI. A Collaborative Team conducts research to address the scientific areas of interest as a team, in a manner that is more efficient and effective than by the members of the team acting separately. NNSA Laboratory researchers may not receive funding through this FOA and therefore would not be “partners”.

The Collaborative Team of investigators, students, and young researchers are encouraged to engage and collaborate with NNSA National Laboratory researchers in their scientific research. However, the National Laboratories are not part of the Consortium’s multi-institutional “partner” team and DOE/NNSA laboratories are not eligible to receive direct funding associated with this FOA (see Section III C). National Laboratory researchers are funded through existing Management & Operating (M&O) Contracts with NNSA.

Establishes a Scientific Advisory Committee.

An external advisory board or committee could be established to provide recommendations on specific elements of the Consortium including, but not limited to: long-range strategic directions, pipeline development plan, consortium partners’ interactions, outreach program, curriculum development, personnel exchange, research programs, etc. Regular external advisory board meetings could be hosted by the Consortium participants at appropriate intervals, but no less than once a year. Membership to the external advisory board or committee could include representatives from non-consortium academic institutions, non-consortium representatives from the DOE/NNSA laboratory and production complex, members form the industrial sector, state representatives, and participants representing local interests, etc., as appropriate.

Recruitment and development of students, young researchers, and staff scientists.

A successful Consortium attracts the brightest and most talented students and young researchers, attracting them to the exciting opportunities for research in fields relevant to DOE/NNSA mission critical areas. The Consortium students take advantage of opportunities to spend time at the DOE/NNSA National Laboratories, participate in on-site practicums, engage with National Laboratory scientists, and participate in real life work projects at the national laboratories that will develop and prepare them for the STEM workforce. A successful Consortium will send faculty and students to meaningfully engage in a research experiences at DOE/NNSA National Laboratories for a significant period of time (preferably at least 8 weeks) each year; either through internship or some other arrangement. Any non-employment related internships or visits to any NNSA M&O Laboratory will be assumed under the grant and annotated under the grant as “Participant Costs”. The student may be a different individual from year to year. Alternative approaches may be proposed but they must provide students of the Consortium with equivalent or more meaningful research experiences and engagement with the DOE/NNSA National Laboratories and must be approved by the Federal Program Manager. The alternative approach will be evaluated as part of the Consortium Reviews, and approval may be rescinded if the alternative approach is not meeting expectations.

The Consortium takes the initiative to reach out to other academic institutions that haven’t had a strong connection to STEM, to educate and engage students and faculty in the opportunities and activities of the Consortium.

Consortium graduates are encouraged to seek post-doctoral or staff positions at NNSA Laboratories. It is NNSA’s desire that graduates of the Consortium pursue careers either at U.S. institutions, U.S. universities, or at the DOE/NNSA National Laboratories, contributing to STEM fields that are relevant to MSIPP. Young researchers and staff scientists involved in the Consortium have opportunities to conduct exciting research, participate in collaborative efforts, and to assume leadership roles. The Director and senior researchers will actively mentor younger staff, helping to develop future leaders.

Commitment of Director and Collaborators to the Consortium. The success of a Consortium depends on the engagement of the Director and the senior researchers. It is the responsibility of the primary institution to notify, in writing and in a timely fashion, the DOE/NNSA Contracting Officer and the MSIPP Program Manager of any significant change in the time commitment of the Consortium’s Director and senior research team to the work of the Consortium; such changes include reductions in effort, leaves of absence, joint appointments, retirements, sabbaticals, or intents to move to another institution. Failure to do so could result in reductions in funding, scope, or project period.

Prospective key personnel must indicate all sources of current or pending funding in the application. Once funds are awarded, key personnel are required to notify the MSIPP PM of any changes in such additional funding, including foreign sources of funding. The MSIPP PM must be notified, in a timely fashion and in writing, of any change in the Consortium’s key researcher’s efforts for a period of over 3 months.

The DOE/NNSA Contracting Officer and MSIPP PM must be notified by the Contracting Officer of the lead institution of the desire to transfer the award to another lead institution and provide an explanation. Failure to do so can result in loss of the award. If the DOE/NNSA Contracting Officer and MSIPP PM do not support the transfer, the award will be terminated. If the DOE/NNSA Contracting Officer and MSIPP PM agree with the transfer to another lead institution, the project period, scope, reporting requirements, and budget of the Grant may be impacted.

Fulfills all obligations and reporting requirements. The Consortium is required to fulfill all obligations and reporting requirements under the grant. A post-award orientation meeting will be held with each Consortium to communicate roles and responsibilities under the agreement. The DOE/NNSA Contracting Officer and the MSIPP PM will review the terms, conditions, and reporting requirements with the Principal Investigator and Contracting Officer, or their representative(s), of the grantee institution.

E. Consortium Reviews and Site Visits

The MSIPP PM for each Consortium will review the performance of the Consortium through site visits, site reviews, reports, publications by Consortium personnel, and other means. If a Consortium is not performing satisfactorily, the MSIPP PM and the DOE/NNSA Contracting Officer will notify the institution of the performance issues/concerns, recommended action(s), and the timeline to demonstrate satisfactory performance. If performance does not improve to satisfaction and/or problems are not corrected, reduction in funding to the Consortium or termination of the cooperative agreement may result.

The Consortium will be reviewed on a number of factors, which may include, but are not limited to:

• Progress towards addressing the key scientific and technical challenges presented in the technical proposal and/or the approved work plan.

• Progress toward and accomplishment of milestones, appropriately balanced with tackling challenging scientific problems and creative risk-taking in research.

• Significance of the technical contributions, demonstrated through publications, presentations, citations, recognition and awards.

• Efficient and effective use of resources (i.e., funding, technical, programmatic).

• How successful is the Consortium at using a collaborative team approach that positively impacts the research program? Has the Consortium engaged with NNSA National

Laboratory researchers in the scientific work of the Consortium and with the Consortium’s students and young researchers?

• The Consortium’s recruitment strategy and how well it has produced high quality graduates.

• Exposure of undergraduate, graduate, doctoral students and post-doctoral research associates to the research and staff at the NNSA National Laboratories: Has the Consortium sent at least one student from each partner university to spend a significant effort (at least 8 weeks) to one of the DOE/NNSA National Laboratories each year, or provided an equivalent or more significant research experience with the NNSA National Labs for a student?

• Level of involvement of the undergraduate, graduate and doctoral students; and post-doctoral researchers in the work of the Consortium and engagement with NNSA laboratories.

• Compliance with eligibility and reporting requirements: proper submittal of publications, status reports, financial reporting, and special reporting requirements.

• Quality and quantity of educational experiences available to students, specific to the disciplines investigated by the Consortium.

• Are there any issues regarding the availability and involvement of the Principal Investigator and the senior staff with the work of the Consortium?

• Does the Consortium have a succession plan for the Principal Investigator and/or provided opportunities for younger staff to develop into potential future leaders?

• The Consortium’s ability to expend and cost grant funding in a timely and efficient manner

F. Participation in Consortium Activities and Compliance

Any individual person, whether a prime recipient or subawardee recipient, receiving funding support under this grant must be a U.S. Person (A “U.S. Person” is defined as an individual that is a citizen of the United States or an alien lawfully admitted for permanent residence.)

All applicants are responsible for ensuring compliance with all applicable U.S. Export Control laws and regulations and all other applicable security requirements relating to any work performed under a resulting award.

SECTION II - AWARD INFORMATION

A. Type of Award Instrument

DOE/NNSA anticipates awarding grants under this funding opportunity announcement.

The scope and topical research areas of interest to the Minority Serving Institution Partnership Program are defined in Section 1.C.

B. Estimated Funding

An estimated $15,000,000 to $21,000,000 is expected to be available for new awards under this announcement. Funding for all awards and future budget periods are contingent upon the availability of funds appropriated by Congress for the purpose of this program and the availability of future-year budget authority.

C. Maximum and Minimum Award Size

Ceiling (i.e., the maximum amount for an individual award made under this announcement): $1,000,000 per year.

Floor (i.e., the minimum amount for an individual award made under this announcement): $500,000 per year.

D. Expected Number of Awards

The number of awards will depend on the availability of appropriated funds, the number of meritorious applications, the distribution of funds in each topic area determined by the DOE/NNSA selection official, the merit review results, and other policy factors and considerations. DOE/NNSA reserves the right to fund, in whole or in part, any, all, or none of the applications, not award in all Topical Areas, or make fewer awards than would be possible at the grand-total level at its sole discretion.

E. Anticipated Award Size

DOE/NNSA anticipates that awards will be in the $1,500,000 to $3,000,000 range for the total three year project period.

F. Period of Performance

DOE/NNSA anticipates making awards with an estimated project period of three years.

The overall project duration will be subdivided into annual budget periods. Each project is expected to be funded through annual budget periods to coincide with DOE/NNSA decision points, where project continuation into a subsequent budget period is contingent upon satisfactory performance in each budget period and funding availability.

G. Type of Application

DOE/NNSA will accept new and renewal applications under this announcement.

Renewal applications are requests for additional funding for a period subsequent to that provided by a current award. Renewal applications compete with all other applications and must be submitted by any established due date/deadline or at least six months before additional funding is required if there is no specified due date/deadline. In preparing a renewal application, applicants should assume that reviewers will not have access to previous applications. The application should be developed as fully as though the applicant were applying for the first time. The application must include all the information required for a new project, plus the project narrative section should discuss the results from prior work.

H. Limitations on MSIPP FOA Applications by Same Organization

There is no limit on the number of proposals the same institution can submit to this FOA.

Multiple proposals may also be submitted to each topic area as specified in Section I.C of this FOA. When submitting multiple proposals ensure that the same PI or supporting staff time does not exceed 100% of their time on all combined proposals, and ensure that all proposals are submitted in complete form with all required attachments as specified in the FOA. Multiple awards may be made to the same institution.

SECTION III - ELIGIBILITY INFORMATION

A. Eligible Applicants

Restricted Eligibility (December 2014)

In accordance with 2 CFR 910.126(b), eligibility for award is restricted to Minority Serving Institutions (MSIs) as educational entities recognized by the Office of Civil Rights (OCR), U.S. Department of Education, and identified on the OCR's Department of Education U.S.

accredited postsecondary minorities institution list https://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html. For the purpose of this announcement “a minority serving U.S. university/academic institution of higher learning” is defined as an educational institution in any State, Federal District, or U.S. territory that:

(1) admits as regular students only persons having a certificate of graduation from a school providing secondary education, or the recognized equivalent of such a certificate;

(2) is legally authorized within such State to provide a program of education beyond secondary education;

(3) provides an educational program for which the institution awards a bachelor’s degree or provides not less than a 2-year program that is acceptable for full credit toward such a degree; and

(4) is accredited by a nationally or regionally recognized accrediting agency or association, or if not so accredited, is an institution that has been granted reaccreditation status by such an agency or association that has been recognized by the U.S. Secretary of Education for the granting of reaccreditation status, and the U.S. Secretary of Education has determined that there is satisfactory assurance that the institution will meet the accreditation standards of such an agency or association within a reasonable time.

For prospective applicants who are submitting financial assistance applications to this FOA, the individual(s) selected as the PI and Co-PI(s) for the grant must be a U.S. Person(s) and be:

(1) an active member of the teaching/research faculty of a U.S. university or academic institution of higher learning; or

A “U.S. Person” is defined as an individual that is a citizen of the United States or an alien lawfully admitted for permanent residence.

Adjunct professors, visiting professors, and post-doctoral fellows are ineligible to be PIs.

Investigators from foreign universities or academic institutions or foreign-based not-for-profit, non-degree-granting organizations, irrespective of citizenship, are ineligible to be PIs. Such individuals may receive funding under a subaward if the Principal Investigator requests and receives written permission for such funding from the MSIPP Program Manager. There may be security restrictions on participation by foreign nationals at certain facilities and https://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html conferences, in accordance with applicable U.S. Department of Energy Security Policy, Directives, Regulations, or Requirements.

B. Cost Sharing

Cost sharing is not required.

C. Other Eligibility Requirements

Federally Funded Research and Development Center (FFRDC) Collaboration Support (includes DOE/NNSA National Laboratories and other Federal Agency-Sponsored FFRDCs)

FFRDCs are not eligible for an award under this announcement. However, FFRDCs may participate as collaborators in order to:

(1) promote and sustain scientific interactions between the academic community and scientists at the FFRDC Laboratories through exchange of information and/or personnel,

(2) increase the availability of unique experimental facilities sited at the FFRDC

Laboratories to the academic community, particularly for collaborations in areas of relevance to stockpile stewardship, and

(3) develop and maintain a long-term recruiting pipeline to the DOE/NNSA FFRDC’s by increasing the visibility of the DOE/NNSA scientific activities to the U.S. faculty and student communities.

FFRDCs are not eligible to receive any direct funding associated with this FOA, except for reimbursement for use of facilities that require “user fees” in accordance with the institution’s written policies or procedures.

To affect this collaboration, a letter from an FFRDC employee who will be collaborating with the applicant must be submitted with the application. This letter must outline their understanding and role in the collaboration effort and indicate that no funds will be provided to the FFRDC from the awarded grant except for reimbursement for use of facilities that require “user fees” as stated above.

In addition to the collaboration letters, if an applicant is selected for award, the FFRDC contractor(s) participating as collaborating partners must receive prior authorization from the cognizant Federal Agency for non-DOE/NNSA FFRDCs and from the cognizant Contracting Officer for DOE/NNSA FFRDCs, subject to the following guidelines:

Authorization for non-DOE/NNSA FFRDCs. If selected for award, the Federal agency sponsoring the FFRDC contractor must authorize in writing the use of the FFRDC contractor on the proposed project and this authorization must be submitted with the application. The use of a FFRDC contractor must be consistent with the contractor's authority under its award and must not place the FFRDC contractor in direct competition with the private sector.

Authorization for DOE/NNSA FFRDCs. If selected for award, the cognizant contracting officer for the FFRDC must authorize in writing the use of a DOE/NNSA FFRDC contractor on the proposed project and this authorization must be submitted with the application. The following wording is acceptable for this authorization.

"Authorization is granted for the [Name] Laboratory to participate in the proposed project.

The work proposed for the laboratory is consistent with or complimentary to the missions of the laboratory, will not adversely impact execution of the DOE/NNSA assigned programs at the laboratory, and will not place the laboratory in direct competition with the domestic private sector."

If selected for award, the recipient is responsible for making contact with the appropriate DOE/NNSA FFRDC collaborating partner(s) who should in turn obtain prior written authorization from the DOE/NNSA FFRDC Contracting Officer.

Applicant Responsibility. The applicant, if successful, 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 applicant and the FFRDC contractor.

The Master Government List of FFRDCs is available at:

http://www.nsf.gov/statistics/ffrdclist/ http://www.nsf.gov/statistics/ffrdclist/

SECTION IV - APPLICATION AND SUBMISSION INFORMATION

A. Address to Request Application Package

Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov, select "APPLICANTS”, then select “Apply for Grants," and then select "Get Application Package” button. Enter the funding opportunity number (DE-FOA-0001841). Under the PACKAGE tab, select “Apply” under the Actions column, and under Option: 1 Apply Now Using Workspace, select the Login to Apply Now button. Follow the prompts in Workspace to complete the application package. You are encouraged to review the Applicant FAQs in Grants.gov as you prepare and submit your application.

B. Letter of Intent and Pre-Application

Letters of Intent and Pre-applications are not required.

C. Content and Application Forms

All applicants must complete the mandatory forms and any applicable optional forms as provided under D. Application Package Requirements Summary Listing of this FOA. All documents that are attached as forms must be submitted in Adobe Portable Document Format (PDF) unless otherwise specified in this FOA (refer to Application Package Requirements Summary Listing – Attachment A for identification of submission formats).

Attached PDF files must be plain files consisting of text, numbers, and images without editable fields, signatures, passwords, redactions, or other advanced features available in some PDF-compatible software. Do not use PDF portfolios or binders.

Please note: you may only use the following UTF-8 characters when naming your application attachments: A-Z, a-z, 0-9, underscore (_), hyphen (-), space, period. You must limit the file name to 50 or fewer characters. Attachments that do not follow this rule may cause the entire application to be rejected or cause issues during processing.

To avoid interfering with the selection of peer reviewers, please do NOT include general letters of support for the proposal or list collaborators that do not have an active part in the project. General letters of support will not be used in making funding decisions.

Optional letters of collaboration for unfunded or funded collaborations may be placed in Appendix 8 (Other Attachments). Letters of collaboration should state the intention to participate, but they should not be written as recommendation or endorsement letters, which are not allowed.

1. Application for Federal Assistance SF-424 (R&R*)

You must create a workspace using Grants.gov Workspace (see https://www.grants.gov/help/html/help/Applicants/CreateWorkspace.htm) to complete the workspace online forms and submit your application workspace package. Forms can either be completed online within a web browser or individual PDF forms from within the Forms tab of the Manage Workspace page can be downloaded and uploaded to http://www.grants.gov/ https://www.grants.gov/help/html/help/Applicants/CreateWorkspace.htm

Workspace when completed (see https://www.grants.gov/help/html/help/ManageWorkspaces/ManageWorkspaces.htm).

In Grants.gov Workspace, Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

*Note that although this will not be a Research and Related grant, there are several forms, including the Application for Federal Assistance SF-424 (R&R) form, where the R&R Family of forms will be used.

If applicable, these forms are also required for all subawardees.

2. Attachments Form

The ATTACHMENTS FORM, which is part of the Application Package in Grants.gov Workspace, will be used for submitting the following files with your application.

• Project Summary/Abstract (Attachment Field 1)

• Project Narrative (Attachment Field 2)

• Work Plan and Schedule (Attachment Field 3)

• Equipment Estimate (Attachment Field 4)

• Travel Estimates Summary Form (Attachment Field 5)

• Materials and Supplies Estimates Form (Attachment Field 6)

• Government Approved Indirect Rates Agreement (Attachment Field 7)

• Financial Assistance Environmental Checklist (Attachment Field 8)

3. Project Summary/Abstract

The Project Summary / Abstract must contain a summary of the proposed activities suitable for transmission and dissemination to the public. It should be a self-contained document that identifies:

• Statement that the document is an Application for Financial Assistance;

• FOA Number;

• Topic/Subtopic Number that the application is being submitted under;

• Application Title;

• Name and address of Lead Institution;

• Name, mailing address, telephone number, fax number, electronic mail address of

Lead Project Director;

• Name, mailing address, telephone number, fax number, electronic mail address of

Lead Institution Contract Administrator point of contact;

• Name, mailing address, telephone number, fax number, electronic mail address of

Application Preparer;

• State if application contains any proprietary information; and,

• Abstract: a brief (350 words or less) summary of the application that succinctly states the highest valuable results or deliverable intended from the proposed work.

This document must not include any proprietary or sensitive business information as the Department may make it available to the public after awards are made. The project https://www.grants.gov/help/html/help/ManageWorkspaces/ManageWorkspaces.htm summary must not exceed 1 page when printed using standard 8.5" by 11" paper with 1" margins (top, bottom, left and right) {single spaced} with font no smaller than 11 point.

Use Attachment A – Project Summary Information, as a sample.

The Project Summary/Abstract file must be saved in PDF format and uploaded to the Grants.gov ATTACHMENTS FORM, which is part of the Application Package in Grants.gov Workspace. To attach the Project Summary/Abstract file, click "Add Attachment" in Attachment field 1 of the ATTACHMENTS FORM in Grants.gov Workspace and in the description type Project Summary Abstract.

4. Project Narrative

The project narrative must not exceed 28 pages, including cover page (NTE 1 page), technical narrative (NTE 15 pages), key personnel (NTE 5 pages), and the work plan and schedule (NTE 7 pages), when printed using standard 8.5" by 11" paper with 1 inch margins (top, bottom, left, and right) {single spaced} with font no smaller than 11 point.

EVALUATORS WILL ONLY REVIEW THE NUMBER OF PAGES SPECIFIED IN THE

PRECEDING SENTENCE. Do not include any Internet addresses (URLs) that provide information necessary to review the application, because the information contained in these sites will not be reviewed. See Part VIII.D for instructions on how to mark proprietary application information.

Use Attachment B – Project Narrative Summary as a sample.

a. The Project Narrative Cover Page (NTE 1-page)

Comprised of the following required components:

• FOA Number;

• Topic and Subtopic Number;

• Application Title;

• Name of Lead Institution;

• Name, mailing address, telephone number, fax number, and electronic mail address of Lead Project Director;

• Name(s) of Team Members if applicable;

• Name(s), mailing addresses, telephone numbers, fax numbers, and electronic mail addresses of Project Director(s) of Team Members;

• Project Summary: should consist of a brief (350 words or less) summary of the application that succinctly states the highest value deliverable intended from the proposed work. This information repeats that contained in the project summary / abstract and is limited to a single stand-alone page to facilitate Merit Reviews.

b. Technical Narrative - (NTE 27 total pages includes Key Personnel and Work Plan) The Technical Narrative portion is to provide a detailed description of the following:

1. Project Objectives

2. Methodology and Approaches

3. Anticipated Results of the Project

4. Relevance to NNSA Mission

5. Overall Technical Merit

6. Risk Evaluation

7. Work Plan and Schedule (separate document NTE 7 pages)

8. Key Personnel & Brief Biographies (NTE 5 pages)

9. If applicable, collaboration letters. See Section 3.C if collaborating with an

FFRDC (NOT part of the 27 total pages)

The technical narrative should be written as a clear, concise statement of the work proposed and specifically address the Merit Review Criteria (i) – (iv): Scientific and Technical Merit, Qualifications and experience of the principle investigator and key technical personnel, Teaming Arrangement, Past Performance (refer to Section V – APPLICATION REVIEW INFORMATION, Page 31).

c. Key Personnel (NTE 5 pages)

The application must identify all key senior personnel, including those of team members, involved in the project. The application must include curricula vitae (background and experience information including a list of recent, relevant publications, if any) of the project director and other key personnel. Any changes to key personnel during the project will need the concurrence of the DOE/NNSA Contracting Officer.

The Project Narrative file must be saved in PDF format and uploaded to the Grants.gov ATTACHMENTS FORM, which is part of the Application Package in Grants.gov Workspace. To attach the Project Summary/Abstract file, click "Add Attachment" in Attachment field 2 of the ATTACHMENTS FORM in Grants.gov Workspace and in the description type Project Narrative.

5. Work Plan and Schedule

A Work Plan and Schedule (NTE 7 pages) must be submitted with your application. This is a mandatory requirement. Although the Work Plan and Schedule are part of the Project Narrative, this document must be submitted as a separate attachment. This component provides a text description of the work breakdown structure for the project. The project objectives are to be identified along with the major tasks that must be completed to accomplish the stated objectives, including their projected start and end dates. Each task is to be divided into its subordinate subtasks and associated key decision points. Deliverables/milestones and their due dates are to be identified separately by task. Deliverables include reports, data, hardware, software and documentation, as applicable. For team applications, the lead organization’s technical application is to distinguish the technical role and contributions of each team member.

Use Attachment C – Work Plan and Schedule as a sample.

The Work Plan and Schedule must be saved in PDF format and uploaded to the Grants.gov ATTACHMENTS FORM, which is part of the Application Package in

Grants.gov Workspace. To attach the Work Plan and Schedule file, click "Add Attachment" in Attachment field 3 of the ATTACHMENTS FORM in Grants.gov Workspace and in the description type Work Plan.

6. Appendices to Project Narrative Information

All applicants should complete the following appendices and attach them to the final Project Narrative document. This attachment process should be completed prior to attaching the Project Narrative document to Field 2 of the ATTACHMENTS FORM. All of the requested information for the following appendices will not count in the Project Narrative page limitation of no more than 28 pages.

Appendix 1. Identification of Potential Conflicts of Interest or Bias in Selection of Reviewers:

Provide the following information in this section. This appendix will not count in the project narrative page limitation:

• Collaborators and Co-editors: List in alphabetical order all persons, including their current organizational affiliation, who are, or who have been, collaborators or co-authors with you on a research project, book or book article, report, abstract, or paper during the 48 months preceding the submission of this application. Also, list any individuals who are currently, or have been, co-editors with you on a special issue of a journal, compendium, or conference proceedings during the 24 months preceding the submission of this application. If there are no collaborators or co-editors to report, state "None."

• Graduate and Postdoctoral Advisors and Advisees: List the names and current organizational affiliations of your graduate advisor(s) and principal postdoctoral sponsor(s) during the last 5 years. Also, list the names and current organizational affiliations of your graduate students and postdoctoral associates within the last 5 years. If there are no advisors or advisees to list, state “None.”

Appendix 2. Current and Pending Support:

Provide a list of all current and pending support (both Federal and non-Federal) for the Project Director/Principal Investigator(s) (PD/PI) and senior/key persons, including subrecipients, for ongoing projects and pending applications. For each organization providing support, show the total award amount for the entire award period (including indirect costs) and the number of person-months per year to be devoted to the project by the senior/key person.

Appendix 3. Bibliography & References Cited:

Provide a bibliography of any references cited in the Project Narrative. Each reference must include the names of all authors (in the same sequence in which they appear in the publication), the article and journal title, book title, volume number, page numbers, and year of publication. Include only bibliographic citations. Applicants should be especially careful to follow scholarly practices in providing citations for source materials relied upon when preparing any section of the application.

Appendix 4. Facilities & Other Resources:

This information is used to assess the capability of the organizational resources, including subrecipient resources, available to perform the effort proposed. Identify the facilities to be used (Laboratory, Computer, Office, and Other) at each performance site listed and, if appropriate, indicate their capacities, pertinent capabilities, relative proximity, and extent of availability to the project. Describe only those resources that are directly applicable to the proposed work. Provide any information describing other resources available to the project (e.g., machine shop, electronic shop) and the extent to which they would be available to the project.

Allocation of resources / facility use time:

a. If collaboration with a DOE/NNSA laboratory is proposed in which experiments will take place at a DOE/NNSA facility, the proposal should discuss how access to the facility will be accomplished. The Principal Investigator is responsible for contacting the DOE/NNSA facility director to discuss any facility-related activities, including beam-time availability, shot schedule, etc. The process by which access to the necessary experimental facility is obtained should be discussed in the proposal. If possible, a letter from either the facility director or program manager (who has experiment schedule authority at the facility) should be included with the proposal indicating the facility has the appropriate availability and that the proposed work on the facility is feasible.

b. When the activities of the proposed project use a facility owned or operated by the home institution of the Principal Investigator, the proposal should include or reference the facility use plan for the facility, detailing the process by which Collaborators and other researchers will be allotted facility use or experimental time.

Appendix 5. Available Equipment:

List major items of equipment already available for this project and, if appropriate identify location and pertinent capabilities.

7. Required Budget Documents and Information

a. SF424 Research and Related (R&R)…