FundOpp_DE-FOA-0002967.pdf

Financial Assistance

Notice of Funding Opportunity

Part 1

U.S. Department of Energy (DOE)

Office of Nuclear Energy – Idaho Operations Office

High-Assay Low-Enriched Uranium (HALEU) Transportation

Package, Inflation Reduction Act (IRA)

Notice of Funding Opportunity Number: DE-FOA-0002967

Application due: January 21, 2025, at 5:00 PM Eastern Time

Modifications to this NOFO will be posted on Grants.gov. Grants.gov will automatically notify applicants when a NOFO modification is processed. Applicants must be registered to this NOFO in Grants.gov to receive email notifications. See Registration Requirements in Part 2 of this NOFO.

Table of Contents

BEFORE YOU BEGIN

Navigating the Notice of Funding Opportunity

I. BASIC INFORMATION

A. Key Facts

1. Funding Details

2. Period of Performance

B. Executive Summary C. Agency Contact Information

II. ELIGIBILITY

A. Eligible Applicants

1. Restricted Eligibility

2. Domestic Entities

3. Foreign Entity Participation

B. Limitation on Number of Applications Eligible for Review C. Cost Sharing

1. Cost Share Requirements

2. Anticipated Maximum Federal Cost Share (Over the Life of the Award)

3. Unallowable Cost Share Sources, NOFO Specific

D. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient

III. PROGRAM DESCRIPTION

A. Program Purpose B. Program Goals and Objectives C. Expected Performance Goals D. Topic Areas E. Applications Specifically Not of Interest F. Statement of Substantial Involvement G. Statutory Authority H. Research & Development (R&D) Community Benefits Plan

IV. APPLICATION CONTENT AND FORM

A. Summary B. Application Content Requirements

1. Covered Individual Definition, Designation, and Responsibility

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2. Summary of Application Requirements

3. Required Application Documents

4. Technical Volume

C. Funding Restrictions

1. Build America Requirement for Infrastructure Projects

V. SUBMISSION REQUIREMENTS AND DEADLINES

A. Required Registrations

1. Unique Entity Identifier (UEI) and System for Award Management (SAM)

2. Grants.gov

B. Application Package

1. Grants.gov

C. Submission Date and Times D. Intergovernmental Review

VI. APPLICATION REVIEW INFORMATION

A. Standards for Application Evaluation B. Responsiveness Review C. Review Criteria

1. Compliance Criteria

2. Technical Review Criteria

3. Criteria for Replies to Reviewer Comments

VII. SELECTION AND AWARD NOTICES

VIII. AWARD ADMINISTRATION INFORMATION

A. Post-Award Requirements and Administration

1. Real Property and Equipment

2. Rights in Technical Data

3. Cost Share Payment

B. Helpful Websites C. Questions and Support

1. Questions

2. Support

IX. OTHER INFORMATION

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Notice of Funding Opportunity Part 1

Before You Begin

Navigating the Notice of Funding Opportunity

The OMB Memorandum M-24-11 directs federal agencies to reduce the burden on applicants in the Notice of Funding Opportunity (NOFO) process and limit the length of the NOFO information requests.

With Fiscal Year (FY) 2025 NOFOs, DOE has separated the NOFO into two parts.

NOFO Part 1 describes the specific DOE programmatic goals and evaluation criteria, eligibility, and other components that are specific to each funding opportunity. NOFO Part 2 includes the fixed DOE requirements that generally do not change from NOFO to NOFO, including standard information for the application phase, expectations for award negotiations, and post-award requirements. Applicants must review both the NOFO Part 1 and the NOFO Part 2 prior to applying. To facilitate navigation, you will find links throughout this document to additional information found in Part 2.

There are several required one-time actions applicants must take before applying to this NOFO. Some of these actions may take several weeks, so it is vital applicants build in enough time to complete them.

Failure to complete these actions could interfere with application or negotiation deadlines or the ability to receive an award if selected. If you have previously completed the necessary registrations, make sure your registration is active and up to date. All registrations are free. Please refer to NOFO Part 2, Get Registered, for additional information.

This announcement is published in conjunction with NOFO Part 2, version 1.0.

https://www.whitehouse.gov/wp-content/uploads/2024/04/M-24-11-Revisions-to-2-CFR.pdf

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I. Basic Information

A. Key Facts

Issuing Agency

Department of Energy, Office of Nuclear Energy – Idaho Operations Office

Funding Opportunity Title

High-Assay Low-Enriched Uranium (HALEU) Transportation Package

Announcement Type Initial Notice of Funding Opportunity

Number

DE-FOA-0002967

Funding Instrument

Cooperative Agreement

Assistance Listing Number

81.121

Description

DOE is interested in developing long-term economical solutions for the transportation of HALEU through the development and Nuclear Regulatory Commission (NRC) certification of new transportation packages or the modification of existing Transportation packages.

Program Goals & Objective(s)

The objective of this NOFO is to research, develop, and acquire NRC certification for HALEU transportation packages focused on front-end transportation packaging needs to support a sustainable supply chain.

Industry’s front-end HALEU transportation needs include:

1. Transport of enriched, up to HALEU is UF6 enriched up to <20%

2. Transport of tails/de-converted material,

3. Transport of fresh finished fuel.

To address the most immediate needs in this funding opportunity, DOE is considering the following transportation packages:

1. Oxide transportation packages.

2. Metal transportation packages.

3. UF6 transportation packages.

4. Packages capable of supporting combinations of the above.

KEY DATES

Notice of Funding Opportunity Issue Date:

November 19, Application Deadline:

January 21, 2025, by 5:00 PM Eastern Time

Anticipated Award Dates:

Approximately June 2025

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Topic Areas

To support package concepts based on existing package designs or in development and support fundamentally new package designs, DOE has identified two Option Topics for application. Award size for each topic is defined in Section II of this announcement.

• Topic Area 1: Applications for NRC certification of new package design concepts. DOE intends this topic for concepts that will likely require sufficient award duration and funding to achieve competitive, economically viable transportation packages.

• Topic Area 2: Applications for NRC certification of modification to existing design packages. DOE intends this topic for concepts that are further along in their development and require less time and costs associated with achieving NRC certificate of compliance (CoC).

Eligible Applicants • Domestic Entities (Institutes of higher education; for-profit entities; non-profit entities; state and local government entities and Indian Tribes)

• DOE FFRDC’s and non-DOE FFRDCs and Federal Research Agencies may not be Prime recipients, but may be subrecipient(s)

Grants.gov • Registration Link: https://grants.gov

• HELP: Grants.gov provides 24/7 support. You can call 1-800- 518-4776 or email support@grants.gov. It is advised you retain your ticket number.

1. Funding Details

Multiple Topic Areas

DOE expects to make available up to $16,000,000 of federal funding over a project period of up to three years for awards under this NOFO. DOE intends to initially fully fund its share of each award. However, DOE reserves the right in its sole discretion to add additional funding to an award or make additional awards to applications submitted under this NOFO.

Topic Area 1: Applications for NRC certification of new package design concepts.

Approximate total available funding: $12,000,000 Approximate number of awards: Up to 4 awards Approximate dollar amount of individual awards: Up to $6,000,000 in total project cost with DOE paying up to $3,000,000 Minimum cost share required: 50% of the total project cost Approximate award project period: Up to three years Anticipated length of individual budget periods: 12 months https://grants.gov/ mailto:support@grants.gov

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Topic Area 2: Applications for NRC certification of modification to existing design packages Approximate total available funding: $4,000,000 Approximate number of awards: Up to 4 awards Approximate dollar amount of individual awards: Up to $2,000,000 in total project cost with DOE paying up to $1,000,000 Minimum cost share required: 50% of the total project cost Approximate award project period: Up to two years Anticipated length of individual budget periods: 12 months

2. Period of Performance

DOE anticipates making awards, comprised of multiple budget periods. DOE anticipates making one or more awards for Topic Area 1 with a period of performance up to three years, and one or more for Topic Area 2 with a period of performance up to two years. Once the period of performance ends (which includes any no-cost extension that DOE has the discretion to grant), there could be a re-competition or a new NOFO based on the program needs at that time. If applicable, project continuation will be contingent upon DOE’s Go/No-Go decision. For a complete list and more information on the Go/No-Go review, see the NOFO Part 2, Award Administration Information. Future funding for all budget periods, including the initial budget period, is not guaranteed.

B. Executive Summary

DOE is interested in developing long-term economical solutions for the transportation of HALEU through the development and Nuclear Regulatory Commission (NRC) certification of new transportation packages or the modification of existing packages. Applications will address the objectives to research, develop, and acquire NRC certification for HALEU Transportation packages focused on front-end transportation packaging needs to support a sustainable supply chain.

C. Agency Contact Information

Office of Nuclear Energy - Idaho Operations Office U.S. Department of Energy 1955 N. Fremont Avenue Idaho Falls, ID 83415

For questions relating to this specific NOFO, please send emails to both Jeff Rigby, rigbyja@id.doe.gov and Mark Payne, paynemb@id.doe.gov, subject title: NOFO DE-FOA-0002967: HALEU Transportation Package

DISCLAIMER: Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. If the application contains information that the applicant organization considers to be trade secrets, information that is commercial or financial, or information that is privileged or confidential, the pages containing that information must be identified as specified in the application instructions. When such information is included in the application, it will be withheld from public disclosure to the extent permitted by law, including the Freedom of Information Act, with the understanding that the information will be used or disclosed only for evaluation of the mailto:rigbyja@id.doe.gov mailto:paynemb@id.doe.gov

Version 1.0 Page 8 of 34 application. The information contained in the application will be protected by DOE from unauthorized disclosure, consistent with the need for merit review of applications of financial assistance awards to assure the integrity of the competitive process and the accuracy and completeness of the information. If a federal financial assistance award is made as a result of or in connection with an application, the federal government has the right to use or disclose the information to the extent authorized by law. This restriction does not limit the federal government’s right to use the information if it is obtained without restriction from another source.

II. Eligibility

To be considered for substantive evaluation, an applicant’s submission must meet the criteria set forth below. If the application does not meet these eligibility requirements, it will be considered ineligible and removed from further evaluation and ineligible for any award. DOE will not make eligibility determinations for potential applicants prior to the date on which applications to this NOFO must be submitted. The decision whether to apply in response to this NOFO lies solely with the applicant. The information included here is specific to eligibility requirements for this NOFO. For eligibility requirements applicable to all NOFOs, please consult NOFO Part 2, Eligibility.

A. Eligible Applicants To be considered for substantive evaluation, an applicant’s submission must meet the criteria set forth below. If the application does not meet these eligibility requirements, it will be considered ineligible and removed from further evaluation.

1. Restricted Eligibility In accordance with 2 CFR 910.126, Competition, eligibility for this NOFO is restricted because federally funded research & development centers (FFRDC) are not permitted to be the prime/lead role on applications for this project, as they are not allowed to compete with industry. DOE is restricting eligibility to the entities identified below.

2. Domestic Entities Domestic entities are eligible to apply as recipients or subrecipients. The following types of domestic entities are eligible to participate as a recipient or subrecipient of this NOFO:

• Institutions of higher education;

• For-profit organization;

• Nonprofit organization;

• State and local governmental entities; and

• Indian Tribes, as defined in section 4 of the Indian Self-Determination and Education Assistance Act, 25 U.S.C. § 53041

1 “Indian Tribe,” for the purposes of this NOFO and as defined in in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. § 5304), means any Indian tribe, band, nation, or other organized group or community, including any Alaska Native village or regional or village corporation as defined in or established pursuant to the Alaska Native Claims Settlement Act (85 Stat. 688) [43 U.S.C. § 1601, et seq.], which is recognized as eligible for the special programs and services https://uscode.house.gov/view.xhtml?req=(title:25%20section:5304%20edition:prelim) https://uscode.house.gov/statutes/pl/92/203.pdf#:~:text=688%20PUBLIC%20LAW%2092-203-DEC.%2018%2C%201971%20%5B85%20STAT.,and%20for%20other%20purposes.%20Alaska%20Native%20Claims%20Settlement https://uscode.house.gov/view.xhtml?req=(title:43%20section:1601%20edition:prelim)

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To qualify as a domestic entity, the entity must be organized, charted, or incorporated (or otherwise formed) under the laws of a particular state or territory of the United States or under the laws of the United States; have majority domestic ownership and control; and have a physical place of business in the United States.

3. Foreign Entity Participation

In general, foreign entities are not eligible to apply as either a recipient or subrecipient. In limited circumstances, DOE may approve a waiver to allow a foreign entity to participate as a recipient or subrecipient.

A foreign entity may submit an application to this NOFO, but the application must be accompanied by an explicit written waiver request. Likewise, if the applicant seeks to include a foreign entity as a subrecipient, the applicant must submit a separate explicit written waiver request in the application for each proposed foreign subrecipient. Please see NOFO Part 2, Application Content Requirements for the requirements for submission of a foreign entity waiver request. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

Prime recipients and subrecipients must be legally formed in the United States, have majority domestic ownership and control, and have a physical location for business operations in the United States.

Entities that are organized, chartered, or incorporated (or otherwise formed) under the laws of the United States or a particular state or territory of the United States and have a physical location for business operations in the United States are eligible to apply for funding as a recipient or subrecipient.

Foreign Entity Participation A foreign entity is eligible to apply for funding as a recipient if it designates in the application a subsidiary or affiliate incorporated (or otherwise formed) under the laws of a state or territory of the United States to be the recipient. The application must state the nature of the corporate relationship between the foreign entity and domestic subsidiary or affiliate.

Foreign entities may request a waiver of the requirement to designate a subsidiary in the United States as the recipient in the application (i.e., a foreign entity may request that it be the recipient). To do so, the applicant must submit an explicit written waiver request in the application.

NOFO Part 2, Application Content Requirements lists the information that must be included in a request to waive this requirement. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

Participant Limitations Participation of the following entities is limited as follows.

provided by the United States to Indians because of their status as Indians. Federally Recognized Indian Tribes are also considered disadvantaged communities for the purposes of Justice40 requirements in this NOFO per https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf.

https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf

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• DOE FFRDCs2 are eligible to apply for funding as a subrecipient but are not eligible to apply as a prime recipient.

• Non-DOE FFRDCs are eligible to participate as a subrecipient but are not eligible to apply as a recipient.

• Federal agencies and instrumentalities (other than DOE) are eligible to participate as a subrecipient but are typically not eligible to apply as a recipient.

Performance of Work in the United States All work for the awards under this NOFO must be performed in the United States. To request a waiver of this requirement, the applicant must submit an explicit waiver request in the application. Absent an approved waiver, such costs will not be allowable under the award. NOFO Part 2, Application Content Requirements lists the requirements for submission of a foreign work waiver request.

Ineligible Participants The following entities are ineligible for participation in this NOFO as a recipient, subrecipient, or subcontractor.

• In accordance with 2 CFR 200.214, entities banned from doing business with the U.S.

government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in federal programs.

• Entities identified on Department of the Treasury Office of Foreign Assets Control Treasury’s Sanctions Program Specially Designated Nationals list are prohibited from doing business with the United States government and are not eligible. See OFAC - Sanctions List Service (treas.gov).

• Nonprofit organizations described in Section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995, are not eligible to apply for funding.

Entity of Concern Prohibition Entities of Concern are prohibited from participating in projects selected under this NOFO (see NOFO Part 2, Eligibility, Other Eligibility Information, Entity of Concern Prohibition section for details and definitions).

B. Limitation on Number of Applications Eligible for Review

To support package concepts based on existing package designs or in development and support fundamentally new package designs, DOE has identified two Topic Areas for application.

Topic Area 1: Applications for NRC certification of new package design concepts. DOE intends this topic for concepts that will likely require sufficient award duration and funding to achieve cost-competitive, economically viable transportation packages.

A Transportation Package used to transport (oxide, metal, UF6, combination)

2 FFRDCs are public-private partnerships that conduct research for the U.S. government. A listing of FFRDCs can be found at http://www.nsf.gov/statistics/ffrdclist/.

https://sanctionslist.ofac.treas.gov/Home/SdnList http://www.nsf.gov/statistics/ffrdclist/

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- Applicants are permitted to submit a separate application for each respective HALEU Fuel Form (oxide, metal, UF6, or combination) under Topic Area 1. However, applicants are limited to only one application per HALEU Fuel Form.

The applicant will need to submit a separate application for each package design they intend to apply for NRC certification.

Topic Area 2: Applications for NRC certification of modification to existing design packages. DOE intends this pathway for concepts that are further along in the development and require less time and costs associated with achieving NRC certificate of compliance (CoC).

A Transportation Package used to transport (oxide, metal, UF6, combination)

- Applicants are permitted to submit a separate application for each respective HALEU Fuel Form (oxide, metal, UF6, or combination) under Topic Area 2. However, applicants are limited to only one application per HALEU Fuel Form.

The applicant will need to submit a separate application for each package design they intend to apply for.

C. Cost Sharing

Applicants are expected to follow through on the estimated cost share commitments proposed in their applications if selected for award negotiations. Please refer to the NOFO Part 2, Eligibility for more information on Cost Sharing.

1. Cost Share Requirements

The cost share must be at least 50% of the total project costs3 for Demonstration projects.4

Applications that do not meet the minimum required cost share will be deemed ineligible during the initial compliance review and will not be further reviewed. The cost share must come from non-federal sources unless otherwise allowed by law.

The cost share percentage is calculated by dividing the cost share by the total allowable project costs for the award where the total allowable project costs include government share (including FFRDC costs if applicable) and cost share. To help applicants calculate proper cost share amounts, DOE has included a cost share information sheet and sample cost share calculation in the NOFO Part 2, Eligibility—Cost Sharing, Cost Share Calculation Examples.

2. Anticipated Maximum Federal Cost Share (Over the Life of the Award)

3 Total project costs are the sum of the government share, including FFRDC costs if applicable, and the recipient share of project costs.

4 Energy Policy Act of 2005, Pub. L. 109-58, sec. 988. Also see 2 CFR 200.306 and 2 CFR 910.130 for additional cost sharing requirements.

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Topic Areas Federal Cost Share

NRC Licensing of New Transportation Packages Up to $3,000,000

NRC Licensing of Modification to Existing or Uncertified Transport Packages

Up to $1,000,000

3. Unallowable Cost Share Sources, NOFO Specific

The unallowable cost share sources identified here are specific to this announcement. Refer to NOFO Part 2, Eligibility-Cost Sharing, Unallowable Cost Share Sources for unallowable cost share sources applicable to all NOFOs.

D. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient

If there is no conflict, DOE and non-DOE FFRDCs may be proposed as subrecipients on another entity’s application subject to the following guidelines:

Authorization for non-DOE FFRDCs The federal agency sponsoring the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted with the application. The use of an FFRDC must be consistent with its authority under its award.

Authorization for DOE FFRDCs The cognizant Contracting Officer for the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted with the application. The following wording is acceptable for this authorization:

Authorization is granted for the Laboratory to participate in the proposed project. The work proposed for the Laboratory is consistent with or complementary to the missions of the Laboratory and will not adversely impact execution of the DOE assigned programs at the Laboratory.

Funding, Cost Share, and Subaward with FFRDCs

The value of and funding for the FFRDC portion of the work will not normally be included in the award.

DOE FFRDCs participating as a subrecipient on a project will be funded directly through the DOE Work Authorization process in accordance with DOE O 412.1A. Non-DOE FFRDCs participating as a subrecipient will be funded through an interagency agreement with the sponsoring agency.

Although the FFRDC portion of the work is excluded from the award, the applicant’s cost share requirement will be based on the total cost of the project, including the applicant’s, the subrecipient’s, and the FFRDC’s portions of the project.

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All DOE FFRDCs are required to enter into a Cooperative Research and Development Agreement5 (CRADA) or, if the role of the DOE FFRDC is limited to technical assistance and intellectual property is not anticipated to be generated from the DOE FFRDC’s work, a Technical Assistance Agreement (TAA), with at least the recipient. A fully executed CRADA or TAA must be in place or be compliant with a Master Scope of Work process prior to the FFRDC starting work directly allocable to the FA award.

A CRADA is used to ensure accountability for project work and provide the appropriate management of IP, e.g., data protection and background IP. The Data Management Plan is not suited for this purpose.

III. Program Description

A. Program Purpose

The mission of the Office of Fuel Supply Technology (FST) is to ensure that enriched uranium is available to domestic nuclear energy producers and advanced reactor developers at both LEU (<5% U-235) and HALEU (19.75% U-235) enrichment levels. FST also oversees an R&D program that addresses key technical issues related to HALEU utilization by advanced reactor vendors. Cultivating a secure and resilient domestic fuel supply for the nuclear energy industry ensures that Americans will continue to have access to clean, reliable, and efficient nuclear power generation sources.

FST is responding to multiple legislative directives intended to strengthen the domestic LEU supply market and to establish domestic HALEU supply and address knowledge gaps related to HALEU utilization. Section 2001 of the Energy Act of 2020 (P.L. 116-260) directs the Secretary of Energy to establish and carry out, through the Department of Energy’s Office of Nuclear Energy (NE), the HALEU Availability Program to support the availability of HALEU for civilian domestic research, development, demonstration, and commercial use. P.L. 116-260 includes directions to conduct research, development, and provide financial assistance to assist commercial entities in the design and license of transportation packages for HALEU, shall conduct research and development, and provide financial assistance to assist commercial entities, to design and license transportation packages for HA-LEU, including canisters for metal, gas, and other HA-LEU compositions.

In the traditional light water reactor (LWR) fuel cycle, LEU is shipped in large volume containers (e.g., the 30-B container, which holds over 2,000 kg of UF6) from enrichment facilities to fuel fabrication facilities.

HALEU does not have an NRC certification method of transportation outside of using existing Highly Enriched Uranium (HEU) casks. Due to the transportation cask’s capability for higher enrichment levels, HALEU is not able to be transported in large shipments, drastically increasing the cost.

DOE is interested in developing long-term economical solutions for the transportation of HALEU through the development and Nuclear Regulatory Commission (NRC) certification of new transportation packages or the modification of existing packages.

5 A cooperative research and development agreement is a contractual agreement between a national laboratory contractor and a private company or university to work together on research and development. For more information, see https://www.energy.gov/gc/downloads/doe-cooperative-research-and-development-agreements https://www.energy.gov/gc/downloads/doe-cooperative-research-and-development-agreements

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B. Program Goals and Objectives

This NOFO seeks applications for research, development, and acquisition of NRC certification for HALEU transportation packages focused on front-end transportation packaging needs to support a sustainable supply chain. Industry’s front-end HALEU transportation needs include:

1. Transport of enriched, up to <20% HALEU, UF6

2. Transport of tails/de-converted material,

3. Transport of fresh finished fuel.

To address the most immediate needs in this funding opportunity, DOE is considering:

1. Oxide transportation packages.

2. Metal transportation packages.

3. UF6 transportation packages.

4. Packages capable of supporting combinations of the above.

Applications will:

1. Demonstrate commercial capability, preferably through a reasonable business model. Include understanding of transportation package recipients’ requirements under their Part 70/50/52/etc. license; and

2. Identify any obstacles, including design, materials sourcing, and licensing, that must be overcome to acquire NRC certification

Detailed technical descriptions of the specific Topic Areas are provided in the sections that follow.

C. Expected Performance Goals

Depending on the award topic and funded scope some or all of the following goals will be achieved by awarded projects:

1. Detailed design packages and descriptions for new or modified transportation packaging.

2. Application to NRC for certification of new packaging.

3. Application to NRC for certification of modified packaging.

4. Evaluation of economic use case for new or modified packaging.

5. Conceptual framework for commercial adoption of new or modified packaging.

D. Topic Areas

To support package concepts based on existing package designs or in development and support fundamentally new package designs, DOE has identified 2 Option Topics for application. Award size for each topic is defined in Section II of this announcement.

Topic Area 1: Applications for NRC certification of new package design concepts. DOE intends this topic for concepts that will likely require sufficient award duration and funding to achieve competitive, economically viable transportation packages.

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Topic Area 2: Applications for NRC certification of modification to existing design packages. DOE intends this topic for concepts that are further along in the development and require less time and costs associated with achieving NRC certificate of compliance (CoC).

E. Applications Specifically Not of Interest

The following types of applications will be deemed non-responsive and will not be reviewed or considered (Please also refer to the Responsiveness Review section below):

• Applications that fall outside the technical parameters specified in Background and Context above and the Topic Areas section above.

• Applications for proposed technologies that are not based on sound scientific principles (e.g., violates the laws of thermodynamics).

F. Statement of Substantial Involvement

DOE anticipates awarding Cooperative Agreements under this NOFO which require substantial involvement by the government in their execution. DOE has substantial involvement in the direction and redirection of technical aspects of the project. DOE may provide technical assistance, advice, intervention, integration with other awardees performing related activities, and technical transfer activities. To further summarize:

1) DOE shares responsibility with the recipient for the management, control, direction, and performance of the project.

2) DOE may intervene in the conduct or performance of work under this award for programmatic reasons. Intervention includes the interruption or modification of the conduct or performance of project activities.

3) DOE may redirect or discontinue funding the project based on the outcome of DOE’s evaluation of the project at the Go/No-Go decision point(s).

4) DOE participates in major project decision-making processes.

Responsibilities for DOE and Recipients are listed below:

a. Recipient Responsibilities:

1) Performing the activities delineated in this cooperative agreement in accordance with the Project Management Plan, including providing the required personnel, facilities, equipment, supplies and services.

2) Defining and revising technical and managerial approaches and plans, submitting the plans to DOE for review, and incorporating DOE’s comments. Note: certain revisions require prior written Contracting Officer approval; the recipient has the responsibility to submit requests for such project revisions and other activities which require DOE prior approval in a timely manner.

3) Managing and conducting Project activities in accordance with established processes and procedures to ensure tasks and subtasks are completed within the schedule and budget constraints defined by the Project Management Plan and the cooperative agreement.

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4) Coordinating Project activities with external organizations, including vendors, consultants and DOE M&O contractors (when applicable), to support effective integration of all work elements.

5) Supporting and attending DOE quarterly program review meetings and reporting Project status.

6) Notifying DOE of all planned, in-person meetings (including closed/non-public meetings) associated with the Project.

7) To meet DOE’s programmatic needs, and without imposing undue burdens on the Project, providing DOE with information on an as-needed basis to assist with responses to internal and external inquiries regarding Project performance and status. DOE will protect information in accordance with applicable regulations and as set forth in the cooperative agreement.

8) Submitting reports as provided in the Federal Assistance Reporting Checklist and addressing DOE’s comments that may result from its review of these reports.

9) Presenting the Project results at appropriate conferences or meetings as requested by the DOE Federal Manager.

b. DOE Responsibilities. DOE’s involvement in the Project will consist of the following normal Federal stewardship responsibilities (see Section 1) below, as well as Substantial Involvement activities (see Section 2 below).

1) Normal Federal Stewardship Activities:

a) Approving recipient plans prior to award.

b) Providing technical assistance prior to the start of the activity, if requested by the recipient and agreed to by DOE.

c) Providing technical assistance to support the correction of deficiencies in Project or financial performance when reports or monitoring indicate the existence of a deficiency.

d) Reviewing financial, performance, and audit reports.

e) Reviewing performance to ensure that the objectives, terms, and conditions of the award are accomplished.

f) Providing general administrative requirements, such as prior approvals required by the financial assistance regulations and/or OMB Circulars.

g) Reviewing performance after completion.

2) Substantial Involvement Activities:

a) Reviewing Project plans and making recommendations for alternate approaches if the plans do not address critical programmatic issues.

b) Conducting quarterly meetings to discuss performance (including a summary analysis of project variance), milestones, accomplishments, issues/challenges, and mitigations.

c) Collaboration with the Awardee regarding technical progress and recommending alternate approaches or shifting work emphasis, if needed, to adequately address critical Project and/or programmatic issues. The DOE

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Federal Manager shall have the authority to issue written technical advice shifting the emphasis among different tasks or directing specific lines of inquiry likely to assist in accomplishing programmatic objectives.

d) Promoting and facilitating awareness activities, including disseminating, in consultation with the Awardees, project results through presentations and publications.

e) Serving as scientific / technical liaison between awardees and other project or industry staff.

f) The power to immediately halt funding an activity if detailed performance specifications are not met.

g) Participating in Project management planning activities, including risk analysis, to ensure DOE’s programmatic requirements or limitations are considered in performance of the work elements.

There are limitations on recipient and DOE responsibilities and authorities in the performance of the project objectives. Performance of the project objectives must be within the scope of the Statement of Objectives, the terms and conditions of the cooperative agreement, and the funding and schedule constraints.

G. Statutory Authority

The programmatic authorizing statute is from the Atomic Energy Act of 1954, as amended, and section 646 of the Department of Energy Organization Act.

In support of the HALEU Program, in section 50173 of Inflation Reduction Act of 2022 (IRA), Congress appropriated additional funding to carry out the HALEU Program elements of section 2001 of Energy Act of 2020 (P.L. 116-260).

Awards made under this announcement will fall under the purview of 2 CFR Part 200 as adopted and supplemented by 2 CFR Part 910.

Helpful websites pertaining to statutory authority for this NOFO:

Energy Act of 2020, Sec. 2001 (a)(2) sections B-C Transportation-https://www.directives.doe.gov/ipt_members_area/doe-o-436-1-departmental-sustainability-ipt/background-documents/energy-act-of-2020/@@download/file

Inflation Reduction Act, Sec. 50173. Availability of High-Assay Low-Enriched Uranium-https://www.congress.gov/bill/117th-congress/house-bill/5376/text

H. Research & Development (R&D) Community Benefits Plan

DOE is committed to investing in research and development (R&D) of innovations that deliver benefits to the American public and lead to commercialization of technologies and products that foster sustainable, resilient, and equitable access to clean energy. Further, DOE is committed to supporting the development of more diverse, equitable, inclusive, and accessible workplaces to help maintain the nation’s leadership in science and technology.

To support the goal of building a clean and equitable energy economy, projects funded under this IRA https://www.directives.doe.gov/ipt_members_area/doe-o-436-1-departmental-sustainability-ipt/background-documents/energy-act-of-2020/@@download/file https://www.directives.doe.gov/ipt_members_area/doe-o-436-1-departmental-sustainability-ipt/background-documents/energy-act-of-2020/@@download/file https://www.congress.gov/bill/117th-congress/house-bill/5376/text

Version 1.0 Page 18 of 34

NOFO are expected to (1) advance diversity, equity, inclusion, and accessibility (DEIA); (2) contribute to the Justice40 Initiative6 and (3) invest in quality jobs. To ensure these objectives are met, applications must include a Research and Development Community Benefits Plan (R&D Community Benefits Plan) that addresses the three objectives stated above. See NOFO Part 2, Application Content and Form— Application Content Requirements for more information on the R&D Community Benefits Plan content requirements.

IV. Application Content and Form

This section includes application information specific to this NOFO Part 1. Refer to the NOFO Part 2, Application Content and Form for standard information that applies to all DOE NOFOs such as formatting and content requirements, and funding restrictions.

A. Summary

Application Submission Phase

Eligibility for Submission

Application Must be submitted by the specified due date and time to be eligible for comprehensive merit review.

Replies to Reviewer Comments

Required to be submitted by the specified due date and time

B. Application Content Requirements

Each application must be limited to a single concept. Applications must conform to the following requirements and must not exceed the stated page limits. Please refer to the NOFO Part 2, Application Content and Form for a complete list of application requirements. Detailed guidance on the content and form of NOFO-specific requirements is provided following the Summary of Application Requirements table below.

1. Covered Individual Definition, Designation, and Responsibility

Several of the Application Content Requirements listed below and in the NOFO Part 2 are required of covered individuals.

Covered Individual means an individual who (a) contributes in a substantive, meaningful way to the development or execution of the scope of work of a project proposed for funding by DOE, and (b) is designated as a covered individual by DOE.

6 The Justice40 initiative, established by EO 14008, sets a goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities. Consistent with Justice40 guidance, DOE recognizes disadvantaged communities as the census tracts identified as disadvantaged by the White House Council on Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/, as well as all Federally Recognized Tribes (whether or not they have land). See https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf.

https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://screeningtool.geoplatform.gov/ https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf

Version 1.0 Page 19 of 34

DOE designates as covered individuals any principal investigator (PI); project director (PD); co-principal investigator (Co-PI); co-project director (Co-PD); project manager; and any individual regardless of title that is functionally performing as a PI, PD, Co-PI, Co-PD, or project manager.

Status as a consultant, graduate (master’s or PhD) student, or postdoctoral associate does not automatically disqualify a person from being designated as a “covered individual” if they meet the definition in (a) above.

The applicant is responsible for assessing the applicability of (a) above, against each person listed on the application (i.e. whether the person contributes in a substantive, meaningful way to the development or execution of the scope of work). Further, the applicant is responsible for identifying any such individual to DOE for designation as a covered individual, if not already designated by DOE as described above.

The applicant’s submission of a current and pending support disclosure and/or biosketch/resume for a particular person serves as an acknowledgement that DOE designates that person as a covered individual.

DOE may further designate covered individuals during award negotiations or the award period of performance.

2. Summary of Application Requirements

The applicant must ensure that cost information and business models demonstrate the potential for industrial use cases are provided for each package type. New, or modified packaging developed under this award shall comply with NRC requirements for the transport of radioactive material, Transportation of Radioactive Material, and relevant U.S. Department of Transportation (DOT) regulations to support the upcoming HALEU enrichment levels up to <20%. All applications shall define the overall approach in a Project Management Plan as described in Section IV below.

Applicants should also clearly address technical barriers or limits for transport, NRC licensing strategy, the economic benefits of the applicant’s approach, and any safety or consensus standards associated with the design. Economic benefits for the proposed transportation package will demonstrate an applicant’s understanding of the costs associated with the nuclear fuel cycle and how the proposed transportation package will provide an economically feasible solution for the transportation of HALEU materials in the US nuclear fuel-supply chain. Any testing, mockups, or other hardware demonstrations necessary for NRC licensing should be described. The application should also demonstrate how the proposed transportation system will provide benefits to potential future users, such as reactor vendors or fuel fabricators, and describe any planned industry collaborations.

3. Required Application Documents

Component (NOFO Pt. 1 & 2) File

Format Page Limit

File Name

Application for Federal Assistance

(SF-424)

**(NOFO Pt. 2, pg. 16)

PDF n/a PrimeApplicantName_SF-424

Version 1.0 Page 20 of 34

Technical Volume **(NOFO Pt.1, pg. 21)

PDF 50 PrimeApplicantName_Technical Volume

Impacted Indian Tribes Documentation ** (NOFO Pt. 2, pg. 16)

PDF 5 PrimeApplicantName_ ImpactedTribes

*Statement of Project Objectives ** (NOFO Pt. 2, pg. 17)

MS

Word

5 PrimeApplicantName_SOPO

*Project Management Plan

PDF 20 PrimeApplicantName_PMP

Data Management Plan ** (NOFO Pt. 2, pg. 30)

PDF n/a PrimApplicantName_DMP

*Research and Related Budget – Section A-B Form

Excel n/a PrimeApplicantName_BudgetInformation

*Budget Justification- Applicant ** (NOFO Pt. 2, pg. 18)

PDF n/a PrimeApplicantName_BudgetJustification

*Subrecipient Research and Related Budget – Section A-B Form

Excel n/a SubrecipientName _Budget

*Budget Justification-Subrecipient

PDF n/a SubrecipientName_BudgetJustification

Field Work Proposal for FFRDC, (see DOE O 412.1A)

PDF n/a FFRDCName_FieldWorkProposal

Authorization for Non-DOE or DOE FFRDCs

PDF n/a FFRDCName_WorkAuthorization

Waiver for Foreign Entity Participation (If applicable)

PDF n/a PrimeApplicantName_FEW

Performance of Work in the United States (Foreign Work Waiver) (If applicable) ** (NOFO Pt. 2, pg. 19)

PDF n/a PrimeApplicantName_FWW

*Community Benefits Plan for Research and Development (R&D) ** (NOFO Pt. 2, pg. 20) ** (NOFO Pt. 1, pg. 30)

PDF 5 PrimeApplicantName_CBP

Resumes (Research and Development (R&D) (Including Subrecipients and Consultants) ** (NOFO Pt. 2, pg. 22)

PDF 3

page s

PrimeApplicantName_Resume_Individual sName https://www.directives.doe.gov/directives-documents/400-series/0412.1-BOrder-a-chg1-AdmChg https://www.directives.doe.gov/directives-documents/400-series/0412.1-BOrder-a-chg1-AdmChg

Version 1.0 Page 21 of 34 each

Resumes (Non-Research and Development (R&D) (Including Subrecipients and Consultants) ** (NOFO Pt. 2, pg. 23)

PDF 3

page s each

PrimeApplicantName_Resume_Individual sName

*Current and Pending Support (for each covered individual) ** (NOFO Pt. 2, pg. 24)

PDF n/a PrimeApplicantName_CPS_IndividualsNa me

Digital Persistent Identifier (for each covered individual) ** (NOFO Pt. 2, pg. 27)

N/A N/A Include in Current & Pending Support

Research Security Training Requirement (for each covered individual) ** (NOFO Pt. 2, pg. 27)

N/A N/A Include in Current & Pending Support

Transparency of Foreign Connections ** (NOFO Pt. 2, pg. 28)

PDF n/a BusinessSensitive_PrimeApplicantName_

TFC

Potentially Duplicative Funding Notice ** (NOFO Pt. 2, pg. 30)

PDF n/a PrimeApplicantName_PDFN

*Location(s) of Work ** (NOFO Pt. 2, pg. 31)

Excel n/a PrimeApplicantName_LOW

*Offeror Environmental Report ** (NOFO Pt. 2, pg. 32)

PDF n/a PrimeApplicantName_EnvQuestionnaire

*Disclosure of Lobbying Activities, if applicable (SF-LLL) – (two forms) ** (NOFO Pt. 2, pg. 32)

PDF n/a PrimeApplicantName_SF-LLL

*Summary for Public Release ** (NOFO Pt. 2, pg. 33)

PDF 1 PrimeApplicantName_Summary

Summary Slide ** (NOFO Pt. 2, pg. 34)

MS

Power Point

1 PrimeApplicantName_Slide

*DOE forms are provided as part of the NOFO solicitation package under Attachments on Grants.gov ** These references explain where further information can be found within NOFO Parts 1 or Parts 2 concerning the application topic

4. Technical Volume The Technical Volume must conform to the following content and form requirements. This volume must address the technical review criteria as discussed in Technical Review Criteria.

Applicants must provide sufficient citations and references to the primary research literature to justify the claims and approaches made in the Technical Volume. However, DOE and reviewers are under no obligation to review cited sources.

The Technical Volume to the application may not be more than 50 pages, including the cover page, table of contents, and all citations, charts, graphs, maps, photos, or other graphics, and must include all

Version 1.0 Page 22 of 34 information below. The applicant should consider the weight of each of the technical review criteria (see Technical Review Criteria) when preparing the Technical Volume.

Technical Volume Content Requirements Overview

Section Approximate Percent Content of the

Technical Volume

Cover Page N/A

Project Overview 10%

Technical Merit and Potential Impact 30%

Workplan in Statement of Project Objectives 40%

Technical Qualifications and Resources 20%

Cover Page:

The cover page must include all of the following:

• The project title

• Specific NOFO topic areas (if applicable)

• Technical and business POCs

• The project team, including recipient name, entity type and names of all team member organizations

• The project location(s)

• The proposed federal funding level, cost share and period of performance

• Senior/key personnel and other covered individuals

• Statements regarding confidentiality

Project Overview (Approximately 10% of the Technical Volume) The Project Overview should contain the following information:

• Background: The applicant should discuss the background of its organization, including the history, successes, and current research and development status (i.e., the technical baseline) relevant to the technical topic being addressed in the application.

• Project Goal: The applicant should explicitly identify the targeted improvements to the baseline technology and the critical success factors in achieving that goal.

• DOE Impact: The applicant should discuss the impact that DOE funding would have on the proposed project. Applicants should specifically explain how DOE funding, relative to prior, current, or anticipated funding from other public and private sources, is necessary to achieve the project objectives.

Technical Merit and Potential Impact (Approximately 30% of the Technical Volume) The Technical Description should contain the following information:

• Relevance…