FundOpp_DE-FOA-0002604.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA)

U. S. Department of Energy

Idaho Operations Office

U.S. Industry Opportunities for

Staff Support for Regional State Engagement with the U.S.

Department of Energy - Office of Integrated Waste Management on

Radioactive Materials Transportation Planning

Funding Opportunity Number: DE-FOA-0002604

Announcement Type: Initial

CFDA Number: 81.121

FOA Issue Date: October 12, 2021

Application Due Date: November 2, 2021, 1:00 PM Eastern Daylight Time

TABLE OF CONTENTS

Section I - FUNDING OPPORTUNITY DESCRIPTION

A. DESCRIPTION

B. AUTHORIZING STATUES AND REGULATIONS

C. OBJECTIVES

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

Section III - ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

B. COST SHARING

C. OTHER ELIGIBILITY REQUIREMENTS

D . QUESTIONS REGARDING ELIGIBILITY

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 FORM OF APPLICATION

1. SF 424 - APPLICATION FOR FEDERAL ASSISTANCE

2. BUDGET INFORMATION FOR NON-CONSTRUCTION PROGRAMS

3. BUDGET JUSTIFICATION DOCUMENT

4. KEY PERSON PROFILE – (RESUME/VITAE TECHNICAL EXPERTISE AND

QUALIFICATIONS)

5. PROJECT/PERFORMANCE SITE LOCATION(S)

6. DISCLOSURE OF LOBBYING ACTIVITIES (SF-LLL)

7. PAST PERFORMANCE

8. FOREIGN GOVERNMENT OWNERSHIP DISCLOSURE

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

B. REVIEW AND SELECTION PROCESS

1. MERIT REVIEW

2. SELECTION

3. DISCUSSIONS AND AWARD

C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES

D. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY AND PERFORMANCE

(DECEMBER 2015)

Section VI - AWARD ADMINISTRATION 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

(DECEMBER 2014)

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

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 purpose of this Cooperative Agreement between the U.S. Department of Energy (DOE), Office of Nuclear Energy (NE), Office of Integrated Waste Management (DOE-IWM) and [TBD] hereinafter referred to as the “Recipient” is to facilitate engagement between State government officials in one of the four (4) specific regions: Eastern Region, Western Region, Midwestern Region or Southern Region of the United States and DOE-IWM in planning for future large-scale DOE transportation of commercial spent nuclear fuel (SNF) and high-level radioactive waste (HLW) to storage and disposal facilities, when such facilities become available, and related DOE program issues that may impact a State or region. This facilitation is an essential component of developing and implementing a successful large-scale SNF transportation program that is safe, secure, and that merits public trust and confidence.

DOE anticipates making four (4) individual awards, one (1) for each region: Eastern Region, Western Region, Midwestern Region or Southern Region.

B. AUTHORIZING STATUES AND REGULATIONS

The programmatic authorizing statues are 42 U.S.C. § 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 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).

C. OBJECTIVES

1. PURPOSE

The purpose of this Cooperative Agreement between the U.S. Department of Energy (DOE), Office of Nuclear Energy (NE), Office of Integrated Waste Management (DOE-IWM) and Recipient is to facilitate engagement between State government officials in one of the four (4) specific regions: Eastern Region, Western Region, Midwestern Region or Southern Region of the United States and DOE-IWM in planning for future large-scale DOE transportation of commercial spent nuclear fuel (SNF) and high-level radioactive waste (HLW) to storage and disposal facilities, when such facilities become available, and related DOE program issues that may impact a State or region. This facilitation is an essential component of developing and implementing a successful large-scale SNF transportation program that is safe, secure, and that merits public trust and confidence.

2. BACKGROUND

The U.S. Department of Energy (DOE) is conducting activities in preparation for consolidated interim storage and disposal of commercial SNF and other nuclear wastes. These activities include, but are not limited to, site preparation activities at nuclear power plant sites, evaluation of regional transport considerations, and transportation coordination efforts as part of an integrated waste management system. The working relationship between DOE-IWM and the States under this Cooperative Agreement will be based on cooperation and consultation and will build on the successful collaborations among Tribes, States, and DOE on other shipping campaigns.

This Statements of Objectives (SOO) outline activities to be conducted by the Recipient to assist DOE-IWM in preparing for, and if applicable, implementing an integrated waste management program. Activities may include, but are not limited to:

• evaluation of transportation infrastructure at and near nuclear reactor and SNF storage sites;

• efforts to complete the policy and procedures for a DOE emergency response training and technical assistance funding program for SNF shipments;

• addressing outstanding questions related to a rail, highway, or waterway based SNF transportation system;

• developing a framework for DOE rail, highway, and waterway safety inspections;

• information sharing on DOE development of specialty railcars;

• assisting in developing general plans and procedures for DOE SNF shipping campaigns, including providing regional or State-specific data and information;

• supporting State participation in meetings and technical conferences including the Annual Meeting of DOE’s

National Transportation Stakeholders Forum (NTSF), as appropriate; and

• other activities specific to the Nuclear Waste Policy Act of 1982, as amended and/or management of commercial

SNF by DOE.

3. PERFORMANCE PERIOD

The period of performance is January 1, 2022 through September 30, 2026.

4. STATEMENT FOR CONDUCTING THE PROJECT

The Recipient shall complete the tasks and deliverables as described in the SOO for the specific region (Eastern, Western, Midwestern, or Southern Region) in which it wishes to be considered under this Cooperative Agreement in cooperation with the states listed. (See Attachment 1 East, Attachment 1 West, Attachment 1 Midwest, or Attachment 1 South)

5. STATEMENT OF OBJECTIVES

The Statement of Objectives (SOO) is divided into two parts; the first part consists of Principle Program Tasks and Principle Deliverables which will be conducted throughout the performance period of the Cooperative

Agreement and are described below. DOE-IWM considers the Principle Program Tasks and Principle Deliverables to be priorities and are consistent across all DOE-IWM Cooperative Agreement Recipients. The second part comprises Supplemental Program Tasks that may be proposed each year by the Recipient and entail specific objectives, work products, and schedules of activities to be conducted during the ensuing funding year.

Supplemental Program Tasks will be proposed by the Recipient to DOE-IWM for approval prior to the start of each federal fiscal year in the performance period. Activities proposed as Supplemental Program Tasks should be consistent with DOE IWM’s current program direction, planning and analysis activities, and other DOE policies, and include initiatives intended to meet informational, technical, and other needs of participating State representatives in the region within the overall scope of the SOO.

6. PRINCIPLE PROGRAM TASKS

A. Planning and Policy

1. Recipient will convene a committee of participating State representatives (“regional committee”) in the region to identify topics and issues of interest to committee members related to DOE transport of SNF and HLW to yet-to-be-determined storage and/or disposal facilities, and to engage directly with DOE-IWM staff.

2. Recipient will convene two regional committee meetings each year, with additional conference calls and/or web-meetings, as needed.

a. It is expected that one meeting each year will be held in conjunction with DOE’s NTSF1 Annual

Meeting.

b. Recipient will provide logistical support for each regional committee meeting/call including preparation of agendas and briefing materials with input from participating State representatives;

assembling meeting handouts and presentations; staffing meeting operations; sending follow-up materials including meeting summaries; and preparing reports of actions to be taken or decisions made, when warranted.

3. Recipient will participate in and recruit regional committee members to participate in DOE-IWM efforts to identify, evaluate, and prioritize public policy issues regarding development of the transportation system to support shipments of SNF and HLW.

4. Recipient will coordinate with DOE-IWM program staff to schedule quarterly conference calls/meetings to review the status and progress of activities under the Cooperative Agreement, and emerging issues relevant to the program.

1 Funds from this cooperative agreement may be used for Committee member travel to the NTSF, for costs of Committee meetings held in conjunction with the NTSF Annual meeting, to support travel costs of presenters from the region to the NTSF Annual meeting, to support staff participation in the NTSF Planning Committee, or similar activities. However, this cooperative agreement is not a funding source for planning or operational costs associated with hosting the NTSF Annual Meeting.

B. Shipment Planning and Preparedness

1. Recipient will participate in, and recruit regional committee members to participate in, ad hoc working groups to address policy issues and planning activities related to DOE-IWM’s program activities, such as the NTSF SNF Rail/Routing ad hoc working group, and others.

2. Recipient will coordinate participation of committee chairs and co-chairs in DOE-IWM’s Transportation Core Group, including attendance at in-person and/or virtual meetings for the purpose of discussing DOE-IWM program progress, future plans, and other outstanding issues.

3. Recipient will support the assessment of routing and infrastructure issues related to transporting SNF and HLW in the region, including rail, highway, bridges, and port facilities, by facilitating connections between DOE-IWM staff and appropriate participating State government points of contact.

4. As needed, Recipient will participate in and/or recruit regional committee members to participate in DOE-IWM site visits to nuclear power plant sites in their region.

C. Communications and Work Products

1. Recipient will assist DOE-IWM in developing and distributing public information and communication materials associated with the transportation of SNF and HLW.

2. Recipient will coordinate regional committee review and comment of DOE-IWM documents, web-materials, information products, DOE Orders, and other activities, as requested by DOE-IWM.

3. Recipient will establish and maintain a website for the purpose of providing relevant information about their regional committee and its work to participating State representatives, DOE, and other stakeholders.

4. Recipient will collaborate with Tribal governments in their region to collectively and strategically address issues impacting both Tribes and participating States.

5. Recipient will coordinate with DOE-IWM program staff to schedule quarterly conference calls/meetings to review the status and progress of activities under the Cooperative Agreement, and emerging issues relevant to the program.

D. Other

1. As requested by participating States, Recipient will enter into financial assistance agreements to support participating State engagement in activities, including but not limited to training and exercises.

7. PRINCIPLE DELIVERABLES

a. Planning and Policy

1. Within 30 days from the start of the performance period, the Recipient will provide DOE-IWM with a list of current regional committee members with contact information, to include elected officials of participating State governments (or their designated employees with authority to act on their behalf) acting in their official capacities through the Cooperative Agreement to engage with DOE-IWM on the topics covered in this SOO.

a. The Recipient will provide DOE-IWM with updated contact information within 30 days of any change in regional committee representatives.

2. Within 45 days of each semi-annual regional committee meeting, Recipient will prepare meeting summaries, which include action items and/or agreements made, and email a copy or a public web-link to the DOE-IWM Program Manager.

3. Within 30 days from the end of each quarter of each federal fiscal year, the Recipient will submit a quarterly progress report on the status of the implementation of the Cooperative Agreement.

Quarterly reports will follow the Federal Assistance Reporting Checklist and Instructions (examples of appropriate formats can be provided upon request). Quarterly reports may be structured to provide progress information for multiple DOE Cooperative Agreements, if the reports make it clear which activities are entirely or partially supported by DOE-IWM funds. The Recipient will submit periodic financial reports as specified in the Administrative and National Policy Requirements section of the Cooperative Agreement.

b. Shipment Planning and Preparedness

1. Every federal fiscal year, the Recipient shall obtain, in a manner to be determined by the Recipient, and provide to DOE-IWM independent feedback from its regional committee members. This feedback should focus on the type and quality of support services provided to the participating State representatives by the Recipient. The Recipient shall convey this information to DOE in a written report that summarizes the views expressed by each participating State and demonstrates the extent to which the Recipient is meeting participating State information and communication needs, is knowledgeable about the issues that are most important to the representatives of the States in their region, is providing suitable support to help participating State representatives understand or address key issues, and is otherwise adequately facilitating engagement between participating State representatives and DOE-IWM.

c. Communications and Work Products

1. Recipient will maintain a public website with designs, marketing, branding, and content development determined in consultation with participating State representatives.

2. Recipient will provide DOE-IWM with electronic copies of any reports, policy papers, technical papers, official letters, web-materials, training materials, presentations, and public communication materials produced under this Cooperative Agreement. Such documents must also comply with the Terms and Conditions of this Cooperative Agreement.

8. SUPPLEMENTAL PROGRAM TASKS

Supplemental program tasks may be proposed each year by the Recipient after consultation with participating State representatives, and entail specific objectives, work products, and schedules of activities to be conducted during the ensuing funding year. Supplemental Program Tasks will be proposed to DOE-IWM for approval at least 60 days prior to the start of each federal fiscal year in the performance period (functionally, this will be part of the annual continuation award renewal process). Activities proposed as Supplemental Program Tasks should focus on initiatives that meet informational, technical, and other needs of State representatives in the region that are directly related to the purpose of the Cooperative Agreement.

9. SUPPLEMENTAL PROGRAM DELIVERABLES

Will be determined annually and correspond to the DOE-IWM-approved Supplemental Program Tasks proposed by the Recipient.

APPENDIX A

DOE-IWM Travel Request Process

All travel under this Cooperative Agreement, other than what is included in the Recipient’s initial budget plan, annual Program Proposal, or at the request of DOE-IWM, must be preapproved by DOE-IWM. Recipient must submit a travel request, with the information indicated below, to the Technical Project Officer (TPO) with copy to DOE-IWM Federal Program Manager, thirty (30) days prior to the first day of the proposed travel. DOE- IWM approval of travel will be accomplished by an email response clearly approving the requested travel.

Estimated timeframe for DOE-IWM approval/disapproval will be within three (3) business days.

Travel request information to submit to TPO:

• Traveler(s) names

• Traveler(s) employer or affiliation

• Purpose of travel and relevance to Cooperative Agreement SOO

• Travel departure location

• Travel arrival location

• Travel start and end dates

• Estimated travel costs

• Estimated training/conference fees

Section II - AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

DOE will award up to four (4) cooperative agreements under this FOA.

B. ESTIMATED FUNDING

DOE expects to make available approximately $6,000,000 of federal funding, for award over a base period of nine (9) months and four (4) one (1) year budget periods for a total of four years nine months 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):

$1,425,000

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

$ 175,000

D. EXPECTED NUMBER OF AWARDS

DOE anticipates making four (4) awards under this FOA. Depending on the quality of the submissions and the availability of funds, DOE reserves the right to make no awards under this announcement.

E. ANTICIPATED AWARD SIZE

The anticipated individual award size is approximately $1,425,000, but individual awards may be lower, as proposed by the applicant.

F. PERIOD OF PERFORMANCE

DOE anticipates making an award for a project base period of nine (9) months and four (4) one (1) year budget periods for a total of four years nine months for award(s) under this FOA., with an anticipated start date of January 1, 2022 and an end date of September 30, 2026.

*Project continuation will be contingent upon 1) availability of funds appropriated by Congress for the purpose of this program; 2) the availability of future-year budget authority; 3) substantial progress towards meeting the objective of the approved application; 4) submittal of required reports/other deliverable; 5) compliance with the terms and conditions of the award; and 6) DOE approval of a continuation application. Included in the evaluation of whether the recipient is making substantial progress towards meeting the objectives of the approved application, DOE will evaluate demonstrative project performance, project schedule adherence, meeting of milestone objectives, quality of deliverables, compliance with reporting requirements, and overall contribution to the program goals and objectives. As a result of this evaluation, DOE will make an annual determination to continue the project, re-direct the project, or not approve the continuation application and discontinue funding the project.

**A continuation application is required to be submitted to the DOE Technical Project Officer and the DOE Contract Specialist for approval at least 90 days prior to the end of the current budget period. Upon approval of the continuation application, an amendment is issued to authorize the expenditure of funds for the project during the new budget period. The required content of the continuation application will be included in the terms and conditions of the initial agreement. Both fully funded or partially funded awards require a continuation application.

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 non-profit entities, both 501(c)3 non-profits and other non-profits. United States means the several States, the District of Columbia, and all commonwealths, territories, and possessions of the United States.

United States-owned non-profit entity means a non-profit organization that is either

(1) A United States-owned non-profit organization; or

(2) 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 non-profit organization opportunities, comparable to those afforded to any other company, to participate in any joint venture similar to those authorized under the Act2;

(b) Affords to United States-owned non-profit organizations 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 non-profit organizations.

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. COST SHARING

Not applicable.

C. OTHER ELIGIBILITY REQUIREMENTS

In submitting an application in response to this FOA the Applicant represents that:

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

(1) It is not a corporation that has been convicted of a felony criminal violation under any Federal law within the preceding 24 months; and

(2) It is not a corporation that has any unpaid assessed Federal tax liability, for which all judicial and administrative remedies have been exhausted or have lapsed, and for which the corporation is not paying the assessed tax liability in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability.

For purposes of these representations the following definition applies:

A corporation includes any entity that has filed articles of incorporation in any of the 50 states, the District of Columbia, or the various territories of the United States [but not foreign corporations]. It includes both for-profit and non-profit organizations.

D. QUESTIONS REGARDING ELIGIBILITY

Questions regarding eligibility should be directed to the Agency contact identified in Section VII.B.

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

Letter of Intent is not required.

2. PRE-APPLICATION

Pre-application is not required

C. CONTENT AND FORM OF APPLICATION

You must complete the 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.

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.

• 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.

http://www.grants.gov/

• 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 SF 424 (V3.0) (Application) Form Lead Applicant 2 Budget Information for Non-Construction

Programs (SF424A) [V1.0] Form Lead Applicant and

Collaborators 3 Budget Justification Document

(Attach to Other Attachments Form [V1.2]) PDF Lead Applicant and

Collaborators 4 Key Person Profile (2-page limit each)

(Attach Resume Other Attachments Form [V1.2])) PDF Lead Applicant and

Collaborators 5 Project/Performance Site Location(s) [V3.0] PDF Lead Applicant 6 SF-LLL Disclosure of Lobbying Activities PDF Lead Applicant 7 Past Performance

(Attach to Other Attachments Form [V1.2]) PDF Lead Applicant and

Collaborators 8 Foreign Government Ownership Disclosure PDF Lead Applicant 9 Project Narrative PDF Lead Applicant and

Collaborators

1. SF 424 - APPLICATION FOR FEDERAL ASSISTANCE

Complete this form first to populate data in other forms. Complete all required fields in accordance with the pop-up instructions on the form. The list of certifications and assurances referenced in Field 21 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.

2. BUDGET INFORMATION FOR NON-CONSTRUCTION PROGRAMS

The name of the form on Grants.gov is Budget Information for Non-Construction Programs. 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.

3. BUDGET JUSTIFICATION DOCUMENT

You must justify the costs proposed in each Object Class Category/Cost Classification category (e.g., identify key persons and personnel categories and the estimated costs for each person or category; provide a list of equipment and cost of each item; identify proposed subaward/consultant work and cost of each subaward/consultant; describe purpose of proposed travel, number of travelers, and number of travel days; list general categories of supplies and amount for each category; and provide any other information you wish to support your budget). Provide the name of your cognizant/oversight agency, if you have one, and the name and phone number of the individual responsible for negotiating your indirect rates. If cost sharing is required, you must have a letter from each third party contributing cost sharing (i.e., a party other than the organization submitting the application) stating that the third party is committed to providing a specific minimum dollar amount of cost sharing. In the budget justification, identify the following information for each third party contributing cost sharing: (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. By submitting your application, you are providing assurance that you have signed letters of commitment. Successful applicants will be required to submit these signed letters of commitments. Save the budget justification information in a single file named "Budget.pdf," and click on "Add Optional Other Attachment" to attach.

4. KEY PERSON PROFILE – (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.

5. 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 two (2) digit state code followed by a dash and a three (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.

6. 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."

7. PAST PERFORMANCE

Applicants must submit data on past performance that demonstrates the applicant team 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.

8. 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 nongovernment public, private ownership, interest, and/or investment in an applicant's company or corporation. Foreign interest applies at all levels of the corporate structure, including the executive and board levels, from parent (e.g., trust, holding company, corporation, etc.) to subsidiary, as well as ancillary levels, regardless of the applicant entity's place of incorporation and operation. Moreover, foreign interest includes, but is not limited to, political influence and participation in foreign talent recruitment programs. A foreign government is defined as a non-United States government. Applicants with no foreign interest, as defined in this FOA, shall certify to the DOE in writing that they have none.

9. PROJECT NARRATIVE

Applicant shall provide a written narrative addressing the strategy that supports the specified SOO including identify the geographical region it wishes to be considered for (of the four (4) specific regions: Eastern Region, Western Region, Midwestern Region or Southern Region of the United States).

D. SUBMISSIONS FROM SUCCESSFUL APPLICANTS

If selected for award, DOE reserves the right to request additional or clarifying information for any reason deemed necessary, including, but not limited to:

• Indirect cost information

• Other budget information

• Name and phone number of the Designated Responsible Employee for complying with national policies prohibiting discrimination (See 10 CFR 1040.5)

• Representation of Limited Rights Data and Restricted Software, if applicable

E. SUBMISSION DATES AND TIMES

1. PRE-APPLICATION DUE DATE

Not applicable

2. APPLICATION DUE DATE

Applications must be received by November 2, 2021, no later than 1:00 PM Eastern Daylight Time (EDT) in accordance with Section IV instructions. Applicants are encouraged to transmit applications well before the deadline. APPLICATIONS RECEIVED AFTER THE DEADLINE WILL NOT BE REVIEWED OR

CONSIDERED FOR AWARD.

F. INTERGOVERNMENTAL REVIEW

This program is not subject to Executive Order 12372 - Intergovernmental Review of Federal Programs.

G. FUNDING RESTRICTIONS (DECEMBER 2014)

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.

Cost Principles. Costs must be allowable, allocable, and reasonable in accordance with the applicable Federal cost principles referenced in 2 CFR part 200 as amended by 2 CFR part 910 [DOE Financial Assistance Regulation]. The cost principles for commercial organization are in FAR Part 31.

Pre-award Costs. Recipients may charge to an award resulting from this announcement pre-award costs that were incurred within the ninety (90) calendar day period immediately preceding the effective date of the award, if the costs are allowable in accordance with the applicable Federal cost principles referenced in 2 CFR part 200 as amended by 2 CFR part 910 [DOE Financial Assistance Regulation]. Recipients must obtain the prior approval of the contracting officer for any pre-award costs that are for periods greater than this 90 day calendar period.

Pre-award costs are incurred at the applicant's risk. DOE is under no obligation to reimburse such costs if for any reason the applicant does not receive an award or if the award is made for a lesser amount than the applicant expected.

H. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS

1. WHERE TO SUBMIT

Applications must be submitted by email to Marianne Boline at boinem@id.doe.gov on or before the application due date of November 2, 2021, 1:00 PM .

2. REGISTRATION PROCESS

ONE TIME REGISTRATION PROCESS (IF APPLICABLE)

You must COMPLETE the one-time registration process (all steps) before you can submit your first application through Grants.gov (See http://www.grants.gov/applicants/get_registered.jsp). We recommend that you start this process as soon as possible. See the Grants.gov web page for Registering as an Organization at http://www.grants.gov/web/grants/applicants/organization-registration.html to guide you through the process.

[IMPORTANT: During the SAM registration process, you will be asked to designate an E-Business Point of Contact (EBIZ POC). The EBIZ POC must obtain a special password called "Marketing Partner Identification Number" (MPIN). The EBIZ POC will need the MPIN to complete the Grants.gov registration process.] 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.

3. APPLICATION RECEIPT NOTICES

If submitted by email: An email confirming receipt of the application will be sent from Marianne Boline at bolinem@id.doe.gov.

If submitted through Grants.gov : After an application is submitted, the Authorized Organization Representative (AOR) will receive a series of four e-mails. It is extremely important that the AOR watch for and save each of the emails. It may take up to two business days from application submission to receipt of email Number 2. The titles of the four e-mails are:

Number 1 - Grants.gov Submission Receipt Number Number 2 - Grants.gov Submission Validation Receipt for Application Number Number 3 - Grants.gov Grantor Agency Retrieval Receipt for Application Number Number 4 - Grants.gov Agency Tracking Number Assignment for Application Number mailto:bolinem@id.doe.gov

Section V - APPLICATION REVIEW INFORMATION

A. CRITERIA

1. INITIAL REVIEW CRITERIA

Prior to a comprehensive merit evaluation, DOE will perform an initial review to determine that (1) the applicant is eligible for an award; (2) the information required by the announcement has been submitted; (3) the region that the applicant would like to be considered for is clearly noted; (4) all mandatory requirements are satisfied; and (5) the proposed project is responsive to the objectives and stated goals of the FOA. If the application fails to meet these requirements, then it may be deemed ineligible and eliminated from full merit review.

2. MERIT REVIEW CRITERIA

Applications that pass the initial review will be subjected to a merit review in accordance with the Merit Review Criteria listed in the FOA, using the general guidance provided in the "Department of Energy Merit Review Guide for Financial Assistance." This guide is available, under Financial Assistance Policy and Guidance, at http://energy.gov/management/office-management/operational-management/financial-assistance.

The review criteria are listed in descending order of importance, with the first criterion listed being the most important; sub-criteria under each criterion are not necessarily listed in descending order of importance.

Selection will be made in accordance with the following review criteria, and all applications will be evaluated, using an adjectival rating, against these criteria.

Criterion 1 – Expertise

The proposal shall be evaluated on the offeror’s discussion and demonstration of substantive expertise related to State government roles and responsibilities for public safety, radioactive materials transportation, public policy, and working with government entities to include:

a. Demonstrated knowledge and understanding of State government operations, authorities, and sensitivities for a given region.

b. Demonstrated understanding of technical aspects of radioactive materials transportation.

c. Knowledge and experience with federal policies, documents, and proposed rules involved in or affecting

DOE radioactive materials.

d. Experience reviewing and providing comment on federal policies, regulations, documents, and proposed rules developed by DOE, Nuclear Regulatory Commission (NRC), Department of Transportation http://energy.gov/management/office-management/operational-management/financial-assistance

(DOT), Department of Homeland Security (DHS), and/or other federal agencies involved in or affecting DOE radioactive materials shipments or other hazardous materials shipments.

Criterion 2 – Key Personnel

Competency of Applicant’s Key Personnel and Adequacy of Proposed Resources - The proposal shall be evaluated on the offeror’s discussion and demonstration of:

a. Experience with the items discussed in Criterion 1.

b. Personnel’s expertise or qualifications, and past performance working with DOE’s National

Transportation Stakeholders Forum.

c. Adequacy of proposed staffing to carry out the SOO, and clear description of work that will be performed by staff vs consultants and/or subcontractors.

d. Experience working with State governments impacted by radioactive waste and materials.

e. Experience with State government's concerns and/or interests in DOE radioactive shipments.

f. Ability to organize thoughts and convey State perspectives in a logical and concise manner.

g. Ability to communicate expectations and requirements for administrative and technical activities clearly, both orally and in writing.

h. Ability to organize and execute meetings and projects or initiatives related to the SOO.

Criterion 3 – Response to Statement of Objectives (SOO)

Applicant’s approach to the Statement of Objectives (SOO), for the specific region it is applying for (Attachment 1 East, Attachment 1 West, Attachment 1 Midwest, or Attachment 1 South), will be reviewed for responsiveness including:

a. Appropriateness, rationale, and completeness of the proposed SOO response.

b. The approach reflects a thorough, capable, and experienced understanding of the work pursuant to successful work completion with minimal performance risk.

c. Applicability and value to the program and to States of any proposed Supplemental Program Tasks.

d. Demonstrated competency and experience in budgeting, financial and contract management;

understanding of cooperative agreement funding; managing scope of work; compliance with reporting and adhering to applicable terms and conditions associated with DOE Cooperative Agreements.

Criterion 4 – Past Performance

The proposal shall be evaluated on the offeror’s discussion and demonstration of successful project management performance of past relevant projects with respect to product delivery, quality, cost, and schedule, including providing acceptable customer service, properly manage subcontract efforts, and demonstrated ability to identify/isolate the root causes of problems and successfully resolve those causes.

a. Briefly describe your experience working with State governments impacted by radioactive waste and materials.

b. Briefly describe your experience with State government's concerns and/or interests in DOE radioactive shipments.

Program Policy Factors

The Selection Official may consider any of the following program policy factors in making the selection, listed in no order of significance:

• Management and benefits of proposed budget

• Performance under current and past awards

• Familiarity with State Regional Groups and/or State involvement in radioactive materials transportation

• Familiarity with State relationships with Tribal governments and/or past engagement with Tribes

• Understanding and experience of DOE radioactive materials shipping campaigns

• Demonstrated experience in understanding, summarizing, and/or addressing complex issues associated with perceived or actual impacts of radioactive materials on States

The above program policy factors may be used by the Selection Official to assist in determining which application shall receive DOE funding support. These factors, while not indicators of the application’s merit (e.g., technical excellence, applicant’s ability, etc.) may be essential to the process of selecting the application that individually or collectively will best achieve the program objectives. Such factors are often beyond the control of the applicant. Each applicant should recognize that some very good applications might not receive an award because the project does not fit within a mix of projects that maximizes the probability of achieving the DOE’s overall research and development objectives.

B. REVIEW AND SELECTION PROCESS

1. MERIT REVIEW

Applications that pass the initial review will be subjected to a merit review in accordance with the Merit Review Criteria list in the FOA, using the general guidance provided in the “Department of Energy Merit Review Guide for Financial Assistance and Unsolicited Proposals.” This guide is available at:

http://energy.gov/management/office-management/operational-management/financial-assistance under Financial Assistance Policy and Guidance.

2. SELECTION

The Selection Official will consider the technical merit, the Merit Review Panel’s recommendation, program policy factors, and the amount of funds available in arriving at selections for this FOA.

3. DISCUSSIONS AND AWARD

DOE may enter into discussions with a selected applicant for any reason deemed necessary, including but not limited to: (1) appropriateness or reasonableness of the budget for the requirement; (2) only a portion of the application is selected for award; (3) DOE needs additional information to determine that the recipient is capable of complying with the requirements in 2 CFR Part 200 and 2 CFR Part 910 [DOE Financial Assistance Regulation]; and/or (4) special terms and conditions are required. Failure to resolve satisfactorily any of the issues that DOE identifies will preclude the applicant from receiving the award.

C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES

DOE anticipates notifying the applicants selected for award not later than 60 days after the applications are due.

DOE reserves the right to make additional award selections, using applications submitted in response to this FOA, for up to two years after the initial award selection date, if agreed to by the applicant(s) selected for additional award(s). Award(s) for this project are subject to the availability of Congressionally appropriated funds.

D. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY AND PERFORMANCE

(DECEMBER 2015)

DOE, prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold, is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313).

The applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM.

DOE will consider any written comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in 2 CFR 200.205 - Federal awarding agency review of risk posed by applicants.

Section VI - AWARD ADMINISTRATION INFORMATION

A. AWARD NOTICES

1. NOTICE OF SELECTION

DOE…