FundOpp_DE-FOA-0002491_Final_R1.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA)

U. S. Department of Energy

Idaho Operations Office

U.S. Industry Opportunities for

Uranium Production Technology Development

Funding Opportunity Number: DE-FOA-0002491

Announcement Type: Initial

CFDA Number: 81.121

FOA Issue Date: April 23, 2021

Application Due Date: June 25, 2021, 7:00 PM Eastern Daylight Time

TABLE OF CONTENTS

SECTION I – FUNDING OPPORTUNITY DESCRIPTION

A. DESCRIPTION

B. AUTHORIZING STATUTES AND REGULATIONS

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 OFAPPLICATION

SECTION III – ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

B. FFRDC/NL

C. COST SHARING

SECTION IV – APPLICATION AND SUBMISSION INFORMATION

A. ADDRESS TO REQUEST APPLICATION PACKAGE

B. LETTER OF INTENT AND PRE-APPLICATION

1. Letter of Intent

2. Pre-Application

C. CONTENT AND APPLICATION FORMS

1. Conflict of Interest Acknowledgement

2. SF 424 (R&R)

3. Research and Related Other Project Information

4. Project Management Plan

5. Research and Related Senior/Key Person Profile (Expanded)

(Resume/Vitae Technical Expertise and Qualifications)

6. Benefits of Collaboration

7. Capabilities

8. Research and Related Budget (Total Fed + Non-Fed Form)

8a. R&R Subaward (Total Fed + Non-Fed) Attachment(s) Form

9. Budget for DOE/NNSA FFRDC/NL Contactor

10. Budget Justification Document

11. Current and Pending Support

12. Project/Performance Site Location(s)

13. Disclosure of Lobbying Activities (SF-LLL)

14. Waiver Request: Performance of Work in the United States

15. Funding Commitment Letters from Third Party Contributing to Cost Sharing

16. Past Performance

17. Foreign Government Ownership Disclosure

18. Certifications and Assurances

D. SUBMISSIONS FROM SUCCESSFUL APPLICANTS

E. SUBMISSION DATES AND TIMES

1. Pre-Application Due Date

2. Application Due Date

F. INTERGOVERNMENTAL REVIEW

G. FUNDING RESTRICTIONS (DECEMBER 2014)

H. 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

REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY AND

PERFORMANCE (DECEMBER 2015)

B. REVIEW AND SELECTION PROCESS

1. Merit Review

2. Selection

3. Discussion and Award

C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES

SECTION VI – AWARD ADMINISTATION INFORMATION

A. AWARD NOTICES

1. Notice of Selection

2. Notice of Award

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

1. Administrative Requirements (December 2014)

2. DUNS and SAM Requirements

3. Subaward and Executive Reporting

4. Special Terms and Conditions and National Policy Requirements

5. Corporate Felony Conviction and Federal Tax Liability Representations

(March 2014)

6. Nondisclosure and Confidentiality Agreements Representations (June 2015)

7. Statement of Substantial Involvement and Statement of Federal Stewardship

8. Recipient Integrity and Performance Matters

9. Environmental Review in Accordance with National Environmental Policy Act (NEPA)

10. Foreign National Access to DOE Sites

C. REPORTING

SECTION VII – QUESTIONS/AGENCY CONTACTS

A. QUESTIONS

B. AGENCY CONTACT

SECTION VIII – OTHER INFORMATION

A. MODIFICATIONS

B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE

C. PROPRIETARY APPLICATION INFORMATION

D. EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL ...39

E. UNDERSTANDING COST SHARING REQUIREMENTS

F. INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM

G. NOTICE OF RIGHT TO REQUEST PATENT WAIVER

H. NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES

I. CONFERENCE SPENDING (FEBRUARY 2015)

J. NOTICE OF RIGHT TO CONDUCT A REVIEW OF FINANCIAL

CAPABILITY

K. NOTICE OF POTENTIAL DISCLOSURE UNDER FREEDOM OF

INFORMATION ACT

L. REQUIREMENT FOR FULL AND COMPLETE DISCLOSURE

M. RETENTION OF SUBMISSIONS

N. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION

O. ANNUAL COMPLIANCE AUDITS

Section I - FUNDING OPPORTUNITY DESCRIPTION

A. DESCRIPTION

The Department of Energy (DOE), Office of Nuclear Energy (NE), Office of Nuclear Fuel Cycle and Supply Chain (NE-4), conducts Research and Development (R&D) focused on technological advances for the front and back end of the nuclear fuel cycle. One area of research includes Uranium Mining, Conversion, and Transportation (UMCAT) R&D activities. The goal of this program is to fund R&D for technological advances that benefit the front end of the nuclear fuel cycle and enable competitive domestic uranium production and supply chain stability.

The purpose of this Funding Opportunity Announcement (FOA) is to fund projects that enable cost competitive domestic uranium production and conserve water. Specifically, this FOA seeks proposals for R&D projects focused on uranium mining water treatment technologies that reduce the volume of water usage associated with and/or improve extraction efficiency and resource utilization for uranium production. This may include subsurface in situ treatment as well as surface treatment processes for in situ recovery (ISR) and processing facilities, as well as conventional mines and mills.

Applicants are invited to provide a proposed project with a project period of up to two years that supports the objective of achieving cost-reducing water treatment technologies, which could be employed rapidly following the successful completion of the FOA. The proposed project should show how the proposed work addresses current gaps in technology. Proposals should demonstrate reduction in water use, reduced costs, and/or improvements to resource utilization and efficiencies in uranium production. Proposals should demonstrate the ability of proposed technologies and improvements to be adopted quickly by United States uranium producers following the completion of the project. The ability for rapid adoption includes the ability of new technologies to meet or exceed all pertinent federal, state, and local environmental regulations governing water treatment and use.

B. AUTHORIZING STATUES AND REGULATIONS

The programmatic authorizing statues are 42 U.S.C. 2011 §§ 2011, 2013-2014, 2051-2053, Atomic Energy Act of 1954, as amended by the Department of Energy Organization Act of 1977, as amended.

Funding for the cooperative agreement(s) awarded under this FOA is subject to Congressional appropriations. The cooperative agreement(s) will be awarded in accordance with Title 2 of the Code of Federal Regulations, Chapter II Subchapter H, Part 200 (2 CFR Part 200) and Title 2 of the Code of Federal Regulations, Chapter II Subchapter H, Part 910 (2 CFR Part 910).

Section II - AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

DOE will award up to two cooperative agreements under this FOA. The recipient(s) for this award may partner with DOE National Laboratories, universities, non-profit organizations, and for-profit organizations.

B. ESTIMATED FUNDING

DOE expects to make available approximately $1,400,000 of federal funding over a period of two years for award(s) under this FOA.

C. MAXIMUM AND MINIMUM AWARD SIZE

Ceiling (i.e., the maximum amount for an individual award made under this announcement):

$1,750,000

Floor (i.e., the minimum amount for an individual award made under this announcement):

$ None

The ceiling, which is the maximum amount for an individual award made under this announcement, is $1,750,000. The ceiling includes up to $1,400,000 of government funds and the awardee’s 20% cost share requirement. In the event an applicant proposes more than a 20% cost share, the maximum amount for the award may exceed the ceiling; however, the Government’s portion shall not exceed $1,400,000 for this award. (This is subject to the cost share requirements of Section III.)

There is no floor amount, which is the minimum amount for an individual award made under this announcement.

D. EXPECTED NUMBER OF AWARDS

DOE anticipates making one or two awards under this FOA. Depending on the quality of the submissions and the availability of funds, DOE reserves the right to make fewer or no awards under this announcement.

E. ANTICIPATED AWARD SIZE

The anticipated individual award size is approximately $700,000 per award, up to two awards, or $1,400,000 for one award, excluding cost share, but individual awards may be higher or lower, as proposed by the applicant.

F. PERIOD OF PERFORMANCE

DOE anticipates making awards for an estimated project period of up to two years, with an anticipated start date of approximately 4 months after the application deadline. Applicants may propose project periods of two years or less.

G. TYPE OF APPLICATION

DOE will accept only new applications under this announcement.

Section III - ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

To be considered for evaluation, an applicant’s submission must meet the criteria set forth in this FOA. If the application does not meet these requirements, it will be considered nonresponsive, removed from further evaluation, and ineligible for an award. Throughout this document, unless stated otherwise, requirements of the “applicant” must be met by the prime recipient.

This FOA provides award opportunities to United States-owned industry entities. United States means the several States, the District of Columbia, and all commonwealths, territories, and possessions of the United States.

United States-owned company means a company that is either –

(i) A United States-owned company; or

(ii) Incorporated or organized under the laws of any State and has a parent company which is incorporated or organized under the laws of a country which –

(a) Affords to the United States-owned companies opportunities, comparable to those afforded to any other company, to participate in any joint venture similar to those authorized under the Act1;

(b) Affords to United States-owned companies local investment opportunities comparable to those afforded to any other company; and

(c) Affords adequate and effective protection for the intellectual property rights of United States-owned companies.

DOE has restricted eligibility for award in accordance with 2 CFR 910.126(b). It has been determined necessary to restrict eligibility to apply as a prime recipient to entities meeting the definition above, foreign entities, foreign public entities, foreign organizations, state and local governments, institutes of higher education and Federally Funded Research and Development Centers/National Laboratories (FFRDC/NL), are not eligible to participate as a prime applicant.

This eligibility restriction does not apply to subrecipients, subawards, vendors, or team members of the prime/lead applicant.

B. FFRDC/NL

An applicant may propose a DOE/National Nuclear Security Administration (NNSA) FFRDC/NL contractor as a subrecipient to an entity’s application subject to the following guidelines:

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

1 Energy Policy Act of 1992, 42 U.S.C. § 13525 (1992).

"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."

• Value/Funding. The value of, and funding for, the FFRDC/NL contractor portion of the work will not be included in the award amount to a successful applicant.

DOE/NNSA will fund a DOE/NNSA FFRDC/NL contractor through the DOE field work proposal system and other FFRDC/NL contractors through an interagency agreement with the sponsoring agency.

• Cost-share. The applicant's cost-share requirement will be based on the total cost of the project, this includes the applicant's and the FFRDC/NL contractor's portions of the effort.

• Scope of Work. The scope of work to be performed by the FFRDC/NL contractor must not be more significant than the scope of work to be performed by the applicant.

• Responsibility. The applicant, if successful, will be the responsible authority (prime recipient) 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/NL contractor.

C. COST SHARING

The cost share must be at least 20% of the total allowable costs for research and development projects and must come from non-federal sources unless otherwise allowed by law. See 2 CFR part 200 and 2 CFR part 910 [DOE Financial Assistance Regulations] for the applicable cost sharing requirements. See also Part VIII.E of this FOA, 2 CFR § 200.306, and 2 CFR §

910.130 for specific information on cost sharing requirements.

DOE will not reimburse an applicant at a higher cost share portion in the beginning budget periods of the project with the condition that the applicant catches up its proposed cost share contribution in later budget periods. Applicants shall provide the minimum, or higher if proposed, cost share amount throughout the term of the award. For each invoice submitted to DOE for payment, the awardee will be required to pay at least 20% of the total submitted invoice cost.

Section IV - APPLICATION AND SUBMISSION INFORMATION

A. ADDRESS TO REQUEST APPLICATION PACKAGE

The application forms and application package submission instructions are available online at http://www.grants.gov. To access these materials, go to http://www.grants.gov, select “FORMS” and then select “R&R Family.

B. LETTER OF INTENT AND PRE-APPLICATION

1. LETTER OF INTENT

Letters of Intent are not required.

2. PRE-APPLICATION

Pre-applications are not required.

C. CONTENT AND APPLICATION FORMS

You must complete the mandatory forms and any applicable optional forms (e.g., Disclosure of Lobbying Activities (SF-LLL)) in accordance with the instructions on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (PDF) unless otherwise specified in this announcement.

Applications must conform to the following requirements:

• Applicants must complete all mandatory forms and any applicable optional forms (e.g., SF-LLL- Disclosure of Lobbying Activities) in accordance with the instructions on the forms and the additional instructions below.

• Document format: Each document must be submitted in Adobe Portable Document Format (PDF), except for spreadsheets, unless otherwise specified in this announcement.

• Spreadsheet format: All spreadsheets must be created and submitted in a Microsoft Excel file format. Do NOT lock any cells in the spreadsheet.

• Language: Each document must be written in English.

• All non-budget documentation (use templates where provided) must be prepared using standard 8.5” by 11” paper with 1” margins (top, bottom, left, right), using a font size no smaller than Times New Roman 11 point.

http://www.grants.gov/

• Limit: Each submission must not exceed the specified maximum page limit, including cover page, charts, graphs, maps, and photographs, when printed using the formatting requirements set forth above and single spaced. If applicants exceed the maximum page lengths, evaluators will review only the authorized number of pages and disregard any additional pages.

• DOE will not review or consider incomplete or noncompliant applications.

• Each application shall be limited to a single concept or technology. Unrelated concepts and technologies shall not be consolidated in a single application.

• Applications must include the documentation specified in the table below (if applicable).

Detailed guidance on the content and form of each application component follows the table.

Note: Applicants must access document formats labeled as “Form” at: http://www.grants.gov, select “FORMS” and then select “R&R Family.” Applicant create documents in Word format and then save in PDF format.

Name of Document

Format Required From

1 Conflict of Interest Acknowledgement

(Attach to Research and Related Other Project Information, 12. Other Attachments)

PDF Affirmed by Lead Applicant for all Participants

2 SF 424 (R&R) (Application) Form Lead Applicant 3 Research and Related Other Project Information Form Lead Applicant 3a Project Summary/Abstract (1 page limit)

(Attach to Research and Related Other Project Information, 7. Project Summary/Abstract)

PDF Lead Applicant

3b Project Narrative File (30 page limit)

(Attach to Research and Related Other Project Information, 8. Project Narrative. A separate attachment is not needed for 9. Bibliography & References Cited. This is part of the Project Narrative File.)

PDF Lead Applicant

4 Project Management Plan (15 page limit)

(Attach to Research and Related Other Project Information, 12. Other Attachments)

PDF Lead Applicant

5 Research and Related Senior/Key Person Profile (Expanded) (2 page limit each)

(Attach Resume / Vitae – Technical Expertise and Qualifications to Biographical Sketch field)

PDF Lead Applicant and Collaborators

6 Benefit of Collaborations (4 page limit)

(Attach to Research and Related Other Project Information, 12. Other Attachments)

PDF Lead Applicant

7 Capabilities (5 page limit)

(Attach to Research and Related Other Project Information, 12. Other Attachments. Separate attachments for 10. Facilities & Other Resources and 11. Equipment are not needed. These are part of the Capabilities attachment.)

PDF Lead Applicant

8 Research & Related Budget (Total Fed + Non-Fed) Form Lead Applicant and Subrecipients

8a R&R Subaward (Total Fed + non-Fed) Attachment Form

Form Lead Applicant and Subrecipients

9 Budget for DOE National Laboratory Contractor or FFRDC/NL (if applicable) and Letter of Authorization from Cognizant Contracting Officer

(If applicable, attach to Research and Related Other Project Information, 12. Other Attachments)

PDF National Laboratory Leads and Collaborators (Including non-funded Collaborators)

10 Budget Justification Document

(Attach to Research & Related Budget (Total Fed + Non-Fed), L. Budget Justification)

PDF Lead Applicant and Collaborators

11 Current and Pending Support (5-page limit)

(Attach to Research & Related Senior/Key Person Profile (Expanded))

PDF Lead Applicant and Collaborators

12 Project/Performance Site Location(s) Form/

PDF

All sites performing work

13 SF-LLL Disclosure of Lobbying Activities

(If applicable, attach to SF 424, 18. SFLLL)

PDF Lead Applicant

14 Waiver Requests: Performance of Work in the United States

(If applicable, attach to Research and Related Other Project Information, 12. Other Attachments)

PDF Lead Applicant

15 Funding Commitment Letters from Third Parties Contributing to Cost Sharing

(If applicable, attach to Research and Related Other Project Information, 12. Other Attachments)

PDF Lead Applicant

16 Past Performance

PDF Lead Applicant and Collaborators

(Attach to Research and Related Other Project Information, 12. Other Attachments)

17 Foreign Interest/Ownership Disclosure

(Attach to Research and Related Other Project Information, 12. Other Attachments)

PDF Lead Applicant and Collaborators

18 Certifications and Assurances See #2 below for directions to obtain this form

Lead Applicant

Detailed guidance on the content and form of each application component is listed below.

1. CONFLICT OF INTEREST ACKNOWLEDGEMENT

Conflicts of interest (COI) may exist due to previous efforts performed by the Labs or assistance provided in program direction and other mission related activities. A file that explains the conflict must be attached, which includes a statement identifying the potential conflict and how the potential conflict will be avoided, neutralized, or mitigated. This document must be attached even if the conflict appears to be insignificant. If no COI exists, include a written statement that there is no

COI.

For each subapplicant that is DOE/NNSA FFRDC/NL or non-DOE FFRDC/NL, identify any potential COI, fully explain the conflict, whether you feel it is significant or not, along with your rationale and, if significant, how you will avoid, neutralize, or mitigate the potential conflict.

2. SF 424 (R&R)

Complete this form first to populate data in other forms. Complete all the required fields in accordance with the pop-up instructions on the form. The list of certifications and assurances referenced in Field 17 can be found on the DOE Financial Assistance Forms Page at http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms under Certifications and Assurances.

3. RESEARCH AND RELATED OTHER PROJECT INFORMATION

On the form, complete questions 1 through 6 and attach files. The files must comply with the following instructions:

a. Project Summary/Abstract

The project summary/abstract must contain a summary of the proposed activity suitable for dissemination to the public. It should be a self-contained document that identifies: the name of the applicant; the Principal Investigator(s) (PI) and Co-PI(s);

the project title; a list of major deliverables; the scope and objectives of the project; a description of the project, including major tasks (phases, planned approach, etc.) and methods to be employed; the potential impact of the project (i.e., benefits, outcomes);

and major participants (for collaborative projects). This document must not include any proprietary or sensitive business information as DOE may make it available to the public. The project summary must not exceed one (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.

b. Project Narrative File

The project narrative must include:

1) Narrative Cover Page which must indicate:

a) The name and type of organization;

b) The FOA announcement number;

c) The project title;

d) The technical and business points of contact for the applicant, denoting the names, titles, addresses, telephone and facsimile numbers, and e-mail addresses;

e) PI’s name, telephone number, facsimile number, e-mail address, and organization name/unit; and

f) Names of team/partnership/consortium members and funding split.

2) Project Objectives. This section should provide a clear, concise statement of the specific objectives/aims of the proposed project and a concise description on the proposed project.

3) Merit Review Criterion and Other Selection Factors Discussion: This section should be formatted to address each of the merit review criterion and sub-criterion listed in Section V.A, as well as each Other Selection Factors. In addressing the merit review criterion and sub-criterion, applicants are encouraged to reference any correlation between the responses provided under this item, and the responses provided for other information requests, including technical concept descriptions and applicable elements of the technical description as discussed below. Applicants shall provide enough information so that reviewers will be able to evaluate the application in accordance with these merit review criteria and Other Selection Factors. DOE WILL EVALUATE AND

CONSIDER ONLY THOSE APPLICATIONS THAT ADDRESS

SEPARATELY EACH OF THE MERIT REVIEW CRITERION AND SUB-

CRITERION AND OTHER SELECTION FACTORS.

4) Relevance and Outcomes/Impacts: Should explain the relevance of the near-term project plan to the objectives of the longer-term program plan and expected outcomes and/or impacts. The justification for the proposed project should include a clear statement of the importance of the project in terms of the utility of the outcomes.

5) Roles of Participants and Key Personnel: Describe the roles and the work to be performed by each organization (including estimates of percentages of total project effort to be accomplished by each participant), business agreements between the applicant and participants, and how the various efforts will be integrated and managed. This will include identification of work to be accomplished by FFRDCs/NLs and indication of which FFRDCs/NLs will be used.

6) If applicable, Multiple PIs: The applicant, whether a single organization or team/partnership/consortium, must indicate if the project will include multiple PIs. While DOE’s preference is to have only one PI specified, this decision is solely the responsibility of the applicant; having multiple PIs specified will not affect the selection for award of applications submitted in response to this

FOA.

If multiple PIs will be designated, the application must identify the Contact PI/Project Coordinator and provide a “Coordination and Management Plan” (4-page limit) that describes the organization structure of the project as it pertains to the designation of multiple PIs. This plan, at a minimum, will include:

a. process for making decisions on scientific/technical direction;

b. publications;

c. intellectual property issues;

d. communication plans;

e. procedures for resolving conflicts; and

f. PIs’ roles and administrative, technical, and scientific responsibilities for the project.

7) Facilities and Other Resources: Identify the facilities (e.g., office, laboratory, computer, testing, etc.) to be used at each performance site listed and, if appropriate, indicate capacities, pertinent capabilities, relative proximity, and extent of availability to the project. Describe only those resources that are directly applicable to the proposed work.

8) Equipment: List critical items of equipment (e.g., items involved in key test programs or important long-lead procurements) required for successful completion of this project and identify whether the item of equipment is already available or proposed for acquisition, the pertinent capabilities of each, the location of available equipment and the estimated acquisition cost of equipment proposed for acquisition.

9) Statement of Project Objectives: The project narrative must contain a single, detailed Statement of Project Objectives (SOPO) that addresses how both the near-term, short-term and project objectives will be met. The SOPO must contain a clear, concise description of all activities to be completed during project performance and follow the structure discussed below. The SOPO may be released to the public by DOE in whole or in part at any time. Therefore, it is required that it shall not contain proprietary or confidential business information.

Applicants shall prepare the SOPO in the following format:

TITLE OF WORK TO BE PERFORMED

(Insert the title of work to be performed. Be concise and descriptive.)

A. OBJECTIVES

Include one paragraph on the overall objective(s) of the work.

B. SCOPE OF WORK

This section should not exceed one-half page and should summarize the effort and approach to achieve the objective(s) of the work.

C. TASKS TO BE PERFORMED

Tasks, concisely written, should be provided in a logical sequence, and should be divided into the project phases, as appropriate. This section should provide a brief summary of the planned approach to this project.

D. DELIVERABLES

The periodic, topical, and final reports shall be submitted in accordance with the attached Appendix A, “Federal Assistance Reporting Checklist,” and the instructions accompanying the checklist.

[Note: The Recipient shall provide a list of deliverables other than those identified on the “Federal Assistance Reporting Checklist” that will be delivered, including the expected delivery dates. These reports shall also be identified within the text of the Statement of Project Objectives.] See the following examples:

1. Task 1.1 - (Report Description)

2. Task 2.2 - (Report Description)

4. PROJECT MANAGEMENT PLAN

This plan should be formatted to include the following sections, with each section to include the information as described below:

a. Executive Summary: Provide a description of the project that includes the objective, project goals, and expected results. For purposes of the application, this information is included in the Project Narrative and should be simply copied to this document for completeness, so that the Project Management Plan is a stand-alone document.

b. Risk Management: Provide a summary description of the proposed approach to identify, analyze, and respond to perceived risks associated with the proposed project. Project risk events are uncertain future events that, if realized, impact the success of the project. As a minimum, include the initial identification of significant technical, resource, and management issues that have the potential to impede project progress and strategies to minimize impacts from those issues.

c. Milestone Log: Provide milestones for each budget period (or phase) of the project.

Each milestone should include a title and planned completion date. Milestones should be quantitative and show progress toward budget period and/or project goals.

Note: During project performance, the recipient will report the Milestone Status as part of the required quarterly Progress Report as prescribed under the Reporting Requirements Checklist. The Milestone Status will present actual performance in comparison with Milestone Log, and include:

1) the actual status and progress of the project;

2) specific progress made toward achieving the project's milestones; and

3) any proposed changes in the project's schedule required to complete milestones.

d. Funding and Costing Profile: Provide a table (the Project Funding Profile) that shows, by budget period, the amount of government funding going to each project team member. Also provide a table (the Project Costing Profile) that projects at a minimum the monthly expenditure of government funds for the first budget period.

e. Project Timeline: Provide a timeline of the project (similar to a Gantt chart) broken down by each task and subtask, as described in the Statement of Project Objectives.

The timeline should include for each task a start and end date. The timeline should show interdependencies between tasks and include the milestones that are identified in the Milestone Log (Section 4.c.).

f. Success Criteria at Decision Points: Provide success criteria for each decision point in the project, including go/no-go decision points and the conclusions of budget periods and the entire project. The success criteria should be objective and stated in terms of specific, measurable, and repeatable data. Usually, the success criteria pertain to desirable outcomes, results, and observations from the project.

Note: As the first task in the Statement of Project Objectives, successful applicants will revise the version of the Project Management Plan that is submitted with their applications by including details from the negotiation process. This Project Management Plan will be updated by the recipient as the project progresses, and the recipient must use this plan to report schedule and budget variances.

5. RESEARCH AND RELATED SENIOR/KEY PERSON PROFILE (EXPANDED) –

(RESUME/VITAE TECHNICAL EXPERTISE AND QUALIFICATIONS)

Applicant shall name all teaming partners by name and organization, as well as their proposed roles and responsibilities. For collaborators (including senior key person) who will contribute in a substantial, measurable way to the project (including for subrecipients and consultants), the applicant shall provide a brief vita that lists the following:

• Contact information.

• Education and Training: Provide institution, major/area, degree, and year for undergraduate, graduate, and postdoctoral training.

• Research and Professional Experience: Beginning with the current position list, in chronological order, professional/academic positions with a brief description.

• Publications: Provide a list of up to 10 publications most closely related to the proposed project. For each publication, identify the names of all authors (in the same sequence in which they appear in the publication), the article title, book or journal title, volume number, page numbers, year of publication, and website address if available electronically.

• Patents, copyrights, and software systems developed may be provided in addition to or substituted for publications.

• Synergistic Activities: List no more than five professional and scholarly activities related to the effort proposed.

Technical expertise and qualifications are to be provided for individual participants, whether the participant is receiving funding or not (including consultants or FFRDC/NL personnel). All participants making a defined, material contribution that is critical to the success of the project must be listed on the online application. A separate resume/vita for each individual collaborator must be uploaded to the application website.

6. BENEFITS OF COLLABORATORS

The applicant shall provide a narrative that includes an explanation of the contribution that will be made by the collaborating organizations and/or facilities to be utilized. Please indicate within this section if the application has benefit or influence on other ongoing or proposed NE R&D projects.

7. CAPABILITIES

Infrastructure Requirements: The applicant shall identify the infrastructure (e.g., facilities, equipment, instrumentation, and other resources) required to execute the proposed scope of work, including its location, availability, capabilities, and how it will be used in the project.

Describe the non-labor (e.g., facilities, equipment, and instrumentation) resources that are available and accessible to the applicant and are required to execute the scope of work. Describe any unique equipment and facilities that are needed, are accessible, and will be used to execute the scope of work. Discuss the adequacy of these resources and identify any gaps and how these will be addressed.

This FOA allows the applicant to propose the purchase of any needed equipment to conduct the proposed work. If equipment purchases are proposed, describe comparable equipment, if any, already available and explain why it cannot be used.

Facilities & Other Resources: Describe the capability of the organizational resources, including subrecipient resources, available to perform the effort proposed. Identify the facilities to be used (laboratory, computer, office, clinical, and other). If appropriate, indicate capacities, pertinent capabilities, relative proximity, and extent of availability to the project. Describe only those resources that are directly applicable to the proposed work. Describe other resources available to the project (e.g., machine shop, electronic shop) and the extent to which it would be available to the project.

Equipment Appendix: If applicable provide a list of major items or equipment already available for this project and, if appropriate, identify location and pertinent capabilities.

8. RESEARCH AND RELATED BUDGET (TOTAL FED + NON-FED FORM)

The name of the form on Grants.gov is Research and Related Budget (Total Fed + Non-Fed).

Complete the form in accordance with the instructions on the form (Activate Help Mode to see instructions) and the following instructions. You must complete a separate budget for each year of support requested. The form will generate a cumulative budget for the total project period.

You must complete all the mandatory information on the form before the NEXT PERIOD button is activated. You may request funds under any of the categories listed as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable federal cost principles, and are not prohibited by the funding restrictions in this announcement.

8a. R&R SUBAWARD (Total Fed + Non-Fed) ATTACHMENT(s) FORM

Provide a separate cumulative R&R budget for each subrecipient, other than DOE/NNSA FFRDC/NL contractors, expected to perform work estimated to be more than $250,000 or 50 percent of the total work effort (whichever is less). Use the same R&R budget (total Fed + Non- Fed) form (the same form the prime applicant uses) and e-mail the form to each subrecipient that is required to submit a separate budget. After the subrecipient has e-mailed its completed budget back, attach it to one of the blocks provided on the form. Use up to 10 letters of the sub-awardee’s name as the file name.

9. BUDGET FOR DOE/NNSA FFRDC/NL CONTRACTOR

If a DOE/NNSA FFRDC/NL contractor is applying as a collaborator, it must provide a DOE Field Work Proposal (FWP), in accordance with the requirements in DOE Order 412.1A, Administrative (Admin) Change 1, Work Authorization System, dated May 21, 2014. Include an FFRDC/NL budget justification, to include a breakdown of the cost categories and rationale regarding the necessity of the expenditures, as well as the basis of estimate for each of the budget cost categories (e.g., labor, travel, materials, etc.).

FWPs will be provided by the respective FFRDC/NL financial administrators. FRDC/NL are permitted to propose costs in accordance with their established DOE contracts (e.g., overhead, fees, etc.). Normally no justification is required for FFRDC/NL rates (direct costs, indirect costs, and fee) as these are already pre-established on the FFRDC/NL contract.

Written authorization for the use of the FFRDC/NL contractor on the proposed project from the contracting officer of the federal agency sponsoring the FFRDC/NL contractor must be submitted with the application. (See Section III.B.)

10. BUDGET JUSTIFICATION DOCUMENT

Provide the required supporting information for all proposed costs such as: equipment; domestic and foreign travel; participant/trainees; material and supplies; publication; consultant services;

ADP/computer services; subaward/consortium/contractual; equipment or facility rental/user fees;

alterations and renovations; and indirect cost type. Provide any other information you wish to submit to justify your budget request. Attach a single budget justification document file for the entire project period in Field L of the Research & Related Budget (Total Fed + Non-Fed). The file automatically carries over to each budget year. Therefore, only attach one budget justification document to cover all the award budget periods.

The budget is the financial plan for the proposed project. Following selection of applications for award consideration, but prior to the award being made, DOE will perform a budget review to determine whether the proposed activities are supported by adequate resources in this plan, as well as to verify cost data, including that specific elements of the proposed budget are allowable, allocable, reasonable, and are consistently treated in accordance with generally accepted accounting principles and applicable cost principles. Both the applicant’s budget, as well as all subrecipient’s budgets (over $250,000), will be reviewed from both a technical and cost perspective. This evaluation will provide a comparison between the budget and the project narrative. Subrecipient budget justifications must also be submitted for subrecipient proposed budgets over $250,000.

DOE will not conduct a budget review of subcontractor costs. However, prime award recipients will be required to explain how they determined subcontractor costs to be fair and reasonable. The technical review will also include reviewing subcontractor proposals and scope of works to determine if the proposed scope to be performed by the subcontractor supports the award’s overall project scope. All award amounts for subcontracts will have a technical review of the proposed scope of work. Please ensure the scope of work to be performed by subcontractors is discussed in the project narrative.

In order to permit DOE to conduct budget reviews and to ensure that the issuance of the award will not be delayed, the applicant must provide a budget justification, including supporting information. Provide the following for supporting information for the budget justification:

1) General

a) Applicant assessment of how the total project cost is reasonable for the effort.

b) Applicant assurance that all costs proposed are:

i) In accordance with any limitations, exclusions, or special conditions set forth in the FOA;

ii) In accordance with generally accepted accounting and applicable costs principles; and

iii) Allocable and allowable.

c) Specify whether your proposed indirect rates have been audited and approved, include a copy of the audit or information on where the audit can be obtained by DOE.

d) If the applicant is in a partnership or consortium, describe the relationships among each member and specify how this is included in the budget.

2) Personnel

a) Identify individuals or positions, describe the different levels of personnel required (experience/skill/education, etc.), and state time commitment percentages for individuals and/or positions working on the forthcoming DOE award.

b) State rates/compensation to be paid to individuals or positions. In the budget justification document explain how each labor rate(s) are established. Also explain how the labor rates were determined to be fair and reasonable.

3) Other Direct Costs

a) Travel: If travel is proposed, provide the following data on a Microsoft Excel spreadsheet:

i. Identify the proposed trips; specify the purpose of the trip, as well as the number of people traveling on each trip, the number of days per trip, and an explanation of why the specified number of travelers is required for each trip.

ii. Specify whether the travel costs proposed are consistent with the applicant’s established travel policy; include a copy of the relevant portions of the travel policy or specify where DOE can access the travel policy.

iii. Estimated airline cost and an explanation on how airline ticket cost was estimated for each trip; if business or first-class airfares are included, provide a complete justification for the additional cost.

iv. Identify city pairs, to include cities leaving from and destination cities.

v. Federal Travel Regulation daily approved per diem rates for each destination city (travel day costs can’t be higher than 75% of the destination city per diem rate).

vi. Federal Travel Regulation daily incidental rates for each destination city.

vii. Federal Travel Regulation maximum hotel rates for each destination city.

viii. If applicable, estimated car rental costs, estimated car fuel costs for each trip, estimated parking fees or other costs such as tolls.

ix. If applicable, estimated train, taxi, or other transportation costs.

b) Equipment: For proposed equipment, provide the following:

i. Explain the need for the equipment and clearly indicate the unit cost for each item to be purchased; and

ii. Explain how the cost estimates for equipment purchases are established and how the cost estimates were determined to be fair and reasonable.

c) Other direct costs: If any other direct costs are proposed, identify such costs, and provide an explanation/justification for each cost, such as what is required in paragraphs 3.a) and 3.b) above.

4) Subrecipients: See Section IV number 10 above for a discussion of subrecipient budget justifications.

5) Subcontractors: Describe the goods or services to be acquired and justify how the costs were determined fair and reasonable in accordance with the awardee’s 2 CFR 200 Procurement Standards. Prime awardees must have a DOE approved procurement standard as outlined in 2 CFR.200.317 through 200.326. If the prime awardee does not possess an approved procurement standards document at time of award selection, the prime award recipient will be given time before the award is approved to create the procurement standard document. Award selection cannot be completed until the prime recipient’s procurement standard document is submitted to DOE (the award administrator) and then reviewed and approved by DOE.

11. CURRENT AND PENDING SUPPORT

Provide a list of all current and pending support (both federal and non-federal) for the PI(s) 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), the length of term, and the number of person-months per year to be devoted to the project by the senior/key person. Concurrent submission of an application to other organizations for simultaneous consideration will not prejudice its review.

12. PROJECT/PERFORMANCE SITE LOCATION(S)

Indicate the primary site where the work will be performed. If a portion of the project will be performed at any other site(s), identify the site location(s) in the blocks provided.

Note that the Project/Performance Site Congressional District is entered in the format of the 2 digit state code followed by a dash and a 3 digit Congressional district code, for example VA-

001. Hover over this field for additional instructions.

Use the Next Site button to expand the form to add additional Project/Performance Site Locations.

13. DISCLOSURE OF LOBBYING ACTIVITIES (SF-LLL)

If applicable, complete SF-LLL. Applicability: if any funds other than Congressionally appropriated federal funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the grant or cooperative agreement, you must complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying."

14. WAIVER REQUEST: PERFORMANCE OF WORK IN THE UNITED STATES

Requirement: All work under DOE awards must be performed in the United States. This requirement does not apply to the purchase of supplies and equipment, so a waiver is not required for foreign purchases of these items. However, the prime recipient should make every effort to purchase supplies and equipment within the United States. The prime recipient must flow down this requirement to its subrecipients.

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

Waiver: There may be limited circumstances where it is in the interest of the project to perform a portion of the work outside the United States. To seek a waiver of the Performance of Work in the United States requirement, the applicant must submit an explicit waiver request in the application. A separate waiver request must be submitted for each entity proposing performance of work outside of the United States.

Overall, a waiver request must demonstrate to the satisfaction of DOE that a waiver would further the purposes of this FOA and is otherwise in the economic interests of the United States to perform work outside of the United States. A request to waive the Performance of Work in the United States requirement must include the following:

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

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

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

• A description of the anticipated benefits to be realized by the proposed foreign work and the anticipated contributions to the United States economy;

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

• How the foreign work will benefit United States research, development and manufacturing, including contributions to employment in the United States and growth in new markets and jobs in the United States;

• How the foreign work will promote domestic American manufacturing of products and/or services;

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

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

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

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

DOE may require additional information before considering the waiver request. The applicant has no right to appeal DOE’s decision concerning a waiver request.

15. FUNDING COMMITMENT LETTERS FROM THIRD PARTY CONTRIBUTING

TO COST SHARING

If applicable, at the time the application is submitted it must include a letter from each third party (i.e., a party other than the organization submitting the application). The letter must state that the third party is committed to providing a specific minimum dollar amount of cost sharing.

Submitting the application provides assurance that the letters of commitment have been signed.

In an appendix to the Budget Justification, the following information for each third party contribution to cost sharing must be identified: (1) the name of the organization; (2) the proposed dollar amount to be provided; (3) the amount as a percentage of the total project cost; and (4) the proposed cost sharing – cash, services, or property; and (5) must be signed. Successful applicants must provide the signed letters of commitment.

16. PAST PERFORMANCE

Applicants must submit data on past performance that demonstrates the applicant team (not required for FFRDC/NL) has demonstrated successful experience/past performance, knowledge and understanding of the business and regulatory requirements for projects of similar size, scope and complexity in achieving project technical success within budget and on time with no significant safety and quality issues.

17. FOREIGN GOVERNMENT OWNERSHIP DISCLOSURE

Applicants must disclose to the DOE all foreign interest in applicant’s company or corporation, as defined in this FOA. In this FOA, foreign interest is defined as: all foreign government ownership, investment, interest, and/or influence, as well as foreign…