FY 2024 Infrastructure Revitalization FOA Amend 1 12-21-23.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

U. S. Department of Energy

Idaho Operations Office

Fiscal Year 2024 University Nuclear Research

Infrastructure Revitalization

Funding Opportunity Announcement: DE-FOA-0003042

Announcement Type: Initial: December 13, 2023 Amendment 001: December 21, 2023 Assistance Listing Number: 81.121

Issue Date: December 6, 2023

Informational Webinar: December 13, 2023 (video links and presentations will be available at www.NEUP.gov)

Application Due Date: February 14, 2024, at 5:00 p.m. Eastern Time http://www.neup.gov/

Amendment 001: This amendment makes the following changes:

• Part I.C: Moved unallowed cost section from B. to C and added “Indirect costs are not allowed for the 50% of the budget that must go to equipment and upgrades (e.g., physical infrastructure/equipment).

• Part I.D: changed cooperative agreement to grant.

• Part IV.D.10.4: Provided further instruction for the budget justification.

Fiscal Year 2024 University Nuclear Infrastructure Revitalization

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Registration Requirements

There are several one-time actions applicants must complete in order to submit an application in response to this Announcement, including registering with the System for Award Management (SAM), obtaining a Unique Entity Identifier (UEI) number, and creating an account on the NEUP.gov website at: www.NEUP.gov. Applicants that are not registered with SAM should allow up to five weeks to complete this requirement. It is suggested that the process be started as soon as possible.

The applicant must complete or have already completed the following actions:

(1) Register with the SAM: https://www.sam.gov/. For more information about SAM registration for applicants please refer to: https://www.sam.gov/content/entity-landing

(2) Obtain the Unique Entity Identifier (ID) generated number generated in SAM.gov.

(3) Create an account on the NEUP.gov website at www.NEUP.gov using the “Sign In” tab in the top right-hand corner. To create an account: 1) click “Create a new account”; 2) fill out the required information and click “Create User”; and 3) fill out the information in the “My Information” section.

Questions

Questions regarding the content of this funding opportunity announcement (FOA) must be submitted using the contact information found at Part VII, Section B, of this FOA. DOE will try to respond to a question within three (3) business days unless a similar question and answer have already been posted on the website.

Application Preparation

Applicants must prepare the application package and application forms from the NEUP.gov website: https://neup.inl.gov/SitePages/Home.aspx.

Additional instructions are provided in Section IV of this FOA.

Application Submission

Instructions and a copy of the FOA can be found at www.NEUP.gov.

Electronic applications and instructions are available at the NEUP website. To access these materials:

(1) go to www.NEUP.gov

(2) select “Sign In” from the top right-hand corner of the screen;

(3) enter your user credentials;

(4) select “Applications” from the menu; and

(5) click on “Create New Application” for the type of application you are creating.

If you have any questions about NEUP site registration, contact the Innovative Nuclear Research (INR) Integration Office at neup@inl.gov.

Any questions pertaining to items such as application processes, eligibility, or application document requirements must also be directed to neup@inl.gov.

https://www.sam.gov/ https://www.sam.gov/content/entity-landing http://www.neup.gov/ https://neup.inl.gov/SitePages/Home.aspx http://www.neup.gov/ http://www.neup.gov/ mailto:neup@inl.gov

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TABLE OF CONTENTS

PART I - FUNDING OPPORTUNITY DESCRIPTION

A. BACKGROUND AND OBJECTIVES

B. FUNDING OPPORTUNITIES

C. ELIGIBILITY AND APPLICATION RESTRICTIONS

D. STATEMENT OF OBJECTIVES

PART II - AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

B. ESTIMATED FUNDING

C. MAXIMUM AND MINIMUM AWARD SIZE

D. EXPECTED NUMBER AND ANTICIPATED SIZE OF AWARDS

E. PERIOD OF PERFORMANCE

F. TYPE OF APPLICATION

PART III - ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

B. COST SHARING

C. OTHER ELIGIBILITY REQUIREMENTS

PART IV - APPLICATION AND SUBMISSION INFORMATION

A. ADDRESS TO REQUEST APPLICATION PACKAGE

B. DOCUMENT FORMAT REQUIREMENTS

C. LETTER OF INTENT AND PRE-APPLICATION

C.1 Letter of Intent C.2 Pre-applications

D. CONTENT AND FORM OF APPLICATION

D.1 Conflict-of-Interest (COI) Acknowledgement D.2 SF-424 Research and Related (R&R) – Application for Federal Assistance D.3 R&R Other Project Information D.4 Project Summary/Abstract File D.5 Project Narrative File D.6 Vitae (Technical Expertise and Qualifications) D.7 Benefit of Collaboration D.8 Required Infrastructure Capabilities D.9 Project Commitment to Energy Equity and Justice40 Initiative D.10 Budget Documents D.11 Additional Attachments

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E. REQUIRED DOCUMENTS AFTER SELECTION FOR NEGOTIATIONS

E.1 Environmental Checklist E.2 Data Management Plan (DMP)

F. SUBMISSIONS FROM SUCCESSFUL APPLICANTS

G. SUBMISSION DATES AND TIMES

G.1 Letter of Intent Due Date G.2 Pre-application Due Date G.3 Application Due Date

H. INTERGOVERNMENTAL REVIEW

I. FUNDING RESTRICTIONS

I.1 Cost Principles I.2 Pre-Award Costs I.3 Prohibition related to Foreign Government-Sponsored Talent Recruitment Programs I.4 Foreign Collaboration Considerations I.5 Buy America Requirements for Infrastructure Projects

J. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS

J.1 Where to Submit J.2 Application Validity Timeframe

PART V - APPLICATION REVIEW INFORMATION

A. CRITERIA

A.1 Initial Review Criteria A.2 Relevancy Criteria A.3 Technical Review Merit Criteria A.4 Diverse Team Review A.5 Other Selection Factors

B. SUMMARY OF THE REVIEW AND SELECTION PROCESS

B.1 Applications B.2 Reporting of Matters Related to Recipient Integrity and Performance B.3 Government Discussion with Applicant (December 2014)

C. ANTICIPATED NOTICE OF SELECTION

PART VI - AWARD ADMINISTRATION INFORMATION

A. AWARD NOTICES

A.1 Notice of Selection A.2 Nondisclosure and Confidentiality Agreements Representations A.3 Notice of Award

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

B.1 Administrative Requirements

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B.2 Unique Entity ID and SAM Requirements B.3 Subaward and Executive Reporting B.4 Special Terms and Conditions and National Policy Requirements B.5 Intellectual Property Provisions B.6 Interim Conflict of Interest Policy for Financial Assistance

C. REPORTING

PART VII - QUESTIONS/AGENCY CONTACTS

A. QUESTIONS

B. AGENCY CONTACT

C. INFORMATIONAL WEBINAR

PART VIII - OTHER INFORMATION

A. AMENDMENTS

B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE

C. COMMITMENT OF PUBLIC FUNDS

D. PROPRIETARY APPLICATION INFORMATION

E. EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL

F. INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM

G. NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES

H. NO-COST TIME EXTENSIONS

I. REBUDGET REQUEST

J. CONFERENCE SPENDING

K. EXPORT CONTROL

L. PROHIBITION ON CERTAIN TELECOMMUNICATIONS AND VIDEO

SURVEILLANCE SERVICES OR EQUIPMENT

APPENDIX A – REQUIRED USE OF AMERICAN IRON, STEEL, MANUFACTURED

PRODUCTS, AND CONSTRUCTION MATERIALS BUY AMERICA REQUIREMENTS

FOR INFRASTRUCTURE PROJECTS

A. DEFINITIONS

B. DOE SUBMISSION REQUIREMENTS FOR FULL APPLICATION

C. WAIVERS

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LIST OF ACRONYMS

CEJST Climate and Economic Justice Screening Tool CFR Code of Federal Regulations CINR Consolidated Innovative Nuclear Research COI Conflict of Interest DE Department of Energy (FOA Number) DMP Data Management Plan DOE Department of Energy FAR Federal Acquisition Regulation FFATA Federal Funding and Transparency Act of 2006 FFRDC Federally Funded Research and Development Center FOA Funding Opportunity Announcement FSRS FFATA Subaward Reporting System FY Fiscal Year HBCU Historically Black Colleges and Universities INL Idaho National Laboratory M&O Management and Operating M&TE Measuring and Test Equipment MSI Minority-serving Institution NAICS North American Industry Classification System NE Office of Nuclear Energy NEID Nuclear Energy Infrastructure Database NEPA National Environmental Policy Act NEUP Nuclear Energy University Program NRDS Nuclear Research Data System NS&E Nuclear Science & Engineering NSUF Nuclear Science User Facilities PDF Adobe Portable Document Format PI Principal Investigator PICS:NE NE Program Information Collection System PSC Product and Service Codes QA Quality Assurance R&D Research and Development RD&D Research, Development and Demonstration R&R Research and Related SAM System for Award Management SF Standard Form TCU Tribal Colleges and Universities UEI Unique Entity Identifier U.S. United States

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CHECKLIST FOR AVOIDING COMMON ERRORS

Item Issue

Page Limits Strictly follow page limits and font size throughout application documents, including, but not limited to:

- Project Summary/Abstract File (use appropriate template)

- Project Narrative File (25 pages)

- Project Team Curriculum Vitae (2-page max.

each CV)

- Required Infrastructure Capabilities (5 pages)

Project Summary / Abstract Name of applicant, Principal Investigator (PI), PI’s institutional affiliation(s), project title, objectives of the project, description of the project, potential impact, and major participants

Budget Use current negotiated indirect cost and fringe benefit rates

Budget Justification (attached to budget) Justify all requested costs

Vendor Quotes

(Referenced costs (catalog pricing) or other basis for estimate)

Submit vendor quotes for any single item over $5,000

Current and Pending Support Ensure complete listing of all activities, including brief abstract of scope of work for all items listed, regardless of source of funding.

Certifications and Assurances Ensure that signatures are complete for both sections of the certifications and assurances documentation (typically, three (3) signatures are required).

Font Size Pay particular attention to required font format and sizes, typically, Times New Roman, 11 pt. font.

Forms Use associated links for any/all forms.

PART I - FUNDING OPPORTUNITY DESCRIPTION

This Funding Opportunity Announcement (FOA) is for University Nuclear Research Infrastructure Revitalization. It is referred to in this document as the “Infrastructure Revitalization FOA.”

A. BACKGROUND AND OBJECTIVES

The Office of Nuclear Energy’s (NE) mission is to advance nuclear energy science and technology to meet U.S. energy, environmental, and economic needs. NE has identified the following goals to address challenges in the nuclear energy sector, help realize the potential of advanced technology, and leverage the unique role of the government in spurring innovation:

• Keep existing U.S. nuclear reactors operating;

• Deploy new nuclear reactors;

• Secure and sustain our nuclear fuel cycle; and

• Expand international nuclear energy cooperation.

NE strives to promote integrated and collaborative research conducted by national laboratory, university, industry, and international partners under the direction of NE’s programs; deploy innovative nuclear energy technologies to the market; and optimize the benefits of nuclear energy.

Collectively, all NE-sponsored activities support the Department’s priorities to combat the climate crisis, create clean energy jobs with the free and fair chance to join a union and bargain collectively, and promote equity and environmental justice by delivering innovative clean energy technologies.

The development of nuclear energy-related infrastructure and basic capabilities in the research community is necessary to promote Research and Development (R&D) that supports nuclear science and engineering (NS&E), NE’s mission, and the nation’s nuclear energy challenges.

Accordingly, DOE intends to facilitate the education and training of nuclear scientists, engineers, and policymakers through graduate and undergraduate study, two-year programs, and R&D that is relevant to the Department and the U.S. nuclear energy industry in general.

As part of its ongoing infrastructure support activities, NE has supported individual, discrete, and definable items or capabilities. This Infrastructure Revitalization FOA is in addition to the other NE Infrastructure investments and seeks a more holistic approach to improving U.S.

university’s R&D capabilities.

Consolidated Appropriations Act, 2023 provides the following direction regarding infrastructure revitalization: “The agreement does not provide any funds for the planning and construction of new university nuclear reactors. Within available funds for NEUP, SBIR/STTR, and TCF, the agreement provides up to $12,000,000 to revitalize existing university nuclear research infrastructure, especially in support of nuclear cyber-physical protection, new digital technologies in advanced nuclear reactors, and the development and safety assessments of small modular reactors.”

Projects proposed under the Infrastructure Revitalization FOA are intended to:

• revitalize the U.S. capacity for university-led nuclear R&D by establishing and/or improving infrastructure to align with the advanced reactor technologies being deployed by the U.S. nuclear industry;

• support innovative combinations of facilities, equipment, and related capabilities to maximize the value of investments toward R&D;

• emphasize support for rapid, lower-cost approaches that can enable advanced-reactor-relevant R&D, education and workforce development prior to any universities establishing advanced research reactors; and

• involve consortia among diverse types of institutions to maximize participation and realization of benefits by underrepresented communities that have historically faced challenges to such access.

Requests should focus on a goal or capability that significantly adds to the current U.S. capacity to support advanced reactor R&D, education, and workforce development. Applicants must demonstrate the connection among requested pieces of equipment or other project elements toward a key objective or outcome. Applications made of several uncorrelated equipment requests are not of interest. A request should not duplicate existing capabilities.

Activities that involve the planning or construction of new university nuclear reactors will not be considered.

NE reserves the right to respond to potential shifts in priorities during FY 2024 that may be driven by events, policy developments, or Congressional/budget direction. DOE-NE will factor such considerations into decisions related to the timing and scale of award announcements associated with this FOA.

Statutory Authority: The activities to be supported under this FOA are authorized under § 951

(a) of the Energy Policy Act of 2005, as codified at 42 U.S.C. § 16271(a). Additionally, 42 U.S.C. § 16274 and 31 U.S.C. § 6304 applies.

B. FUNDING OPPORTUNITIES

NE is seeking applications from U.S. universities to conduct Infrastructure Revitalization activities in support of this Infrastructure Revitalization FOA.

Although requests for infrastructure support in response to this FOA are not restricted, DOE reserves the right to consider the results of its ongoing evaluation of priorities as part of the award selection process.

C. ELIGIBILITY AND APPLICATION RESTRICTIONS

In accordance with 2 CFR 910.126(b), eligibility for award is restricted to U.S. universities and colleges.

The following costs are not allowed under this FOA:

• The application cannot include the cost of routine operation and maintenance of equipment;

• Upgrades to increase operational profit or support for commercial activities are not allowed.

• Indirect costs are not allowed for the 50% of the budget that must go to equipment and upgrades (e.g., physical infrastructure/equipment).

D. STATEMENT OF OBJECTIVES

The intent of this FOA is to award approximately one (1) grant, for up to four (4) years, to a consortium consisting of universities, national labs, and/or industry partners. The consortia must be university led.

The consortia project shall establish and/or enhance nuclear research capabilities at U.S.

universities, especially in support of:

(1) nuclear cyber-physical protection,

(2) new digital technologies in advanced nuclear reactors, and

(3) the development and safety assessments of small modular reactors.

The proposed effort must strengthen and revitalize the academic community’s nuclear energy infrastructure, which could include enhancements of existing infrastructure or creation of new capabilities.

In addition, the proposed effort must enhance regional or national impact of the investment and must foster inclusion of underrepresented communities.

Applicants must have the full consent of each collaborator prior to listing them on an application form. Non-university collaborators and personnel, in composite, can have no more than 20% of the total funds provided by the Government.

Note: DOE has initiated a priority effort to develop and maintain a national R&D framework to achieve NE’s research missions, requiring an integrated approach involving people, tools, facilities, and knowledge, tied to strategic partnerships. Experimental infrastructure (i.e., tools and facilities) is a critical piece of this framework. However, these capabilities, especially radiological and nuclear facilities, required to handle nuclear material, are expensive to build and maintain. Therefore, thoughtful management of new capability procurement is required, while also providing researchers with an effective mechanism to obtain access to unique nuclear energy research facilities.

Please note the following:

• NE reserves the right to award portions of a request so that available funding can have the highest impact for the nuclear energy community.

• Proposals that support the sharing and use of equipment and instrumentation by multiple campuses of a university or multiple universities are encouraged.

PART II - AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

DOE anticipates awarding one or more grants to consortium-leading universities and/or colleges, with the lead organization responsible for managing subawards and/or subcontracts with its consortium partners.

B. ESTIMATED FUNDING

NE currently estimates that it will award approximately $6 million in funds under the Infrastructure Revitalization FOA. Funding for all awards is contingent upon the availability of funds appropriated by Congress for the purpose of this program.

C. MAXIMUM AND MINIMUM AWARD SIZE

The maximum amount of funding available for an individual award under this area is identified as the FOA ceiling, and the minimum amount of funding available for an individual award under this area is identified as the floor. The individual award values are provided below:

Federal Floor

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

None.

Federal Ceiling

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

$6,000,000

Anticipated Awards 1

D. EXPECTED NUMBER AND ANTICIPATED SIZE OF AWARDS

NE anticipates making one (1) award, up to $6,000,000, under this FOA. The number of awards is dependent on the size of the awards. DOE reserves the right to make more or fewer (or even no awards) depending on funding availability and/or the quality of the applications.

E. PERIOD OF PERFORMANCE

DOE anticipates making awards with an estimated project period of four (4) years, beginning August 1, 2024. Additional time, if needed, may be requested, and justified in the application.

F. TYPE OF APPLICATION

DOE will only accept new applications under this announcement.

PART III - ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

Universities and Colleges: In accordance with 2 CFR 910.126(b), eligibility for award is restricted to U.S. universities and colleges.

Restricting eligibility ensures the Nuclear Energy University Program supports university research, collaborations with industry and national laboratories, and training and educating the next generation nuclear workforce.

To support the goal of building a clean and equitable energy economy, NE strives to contribute to the President’s goal that 40% of the overall benefits of certain Federal investments flow to Disadvantaged Communities (DAC) (the Justice40 Initiative). The goal is to spur economic development and job creation in DACs throughout the United States, through effective teams and/or partnerships with institutions, located in a disadvantaged community that may receive funding support from the project.

In support of the Justice40 Initiative, the White House has developed the Climate and Economic Justice Screening Tool (CEJST) tool to identify DACs. CEJST can be found at https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5. Applicants are encouraged to use CEJST to illustrate how their project supports DACs.

NE also strives to advance energy justice through effective teams and/or partnerships with Minority Serving Institutions (MSIs), including Historically Black Colleges and Universities (HBCUs), and Tribal Colleges and Universities (TCUs).

Information on MSIs can be found at https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html#tips. This information predominately covers institutions that have been awarded grants through the Department of Education and does not include all institutions that may meet the definition of an MSI. This resource is not an exhaustive list of minority-serving institutions. For purposes of identifying MSIs in NE’s application system, NE is using a directory based off of 2020 U.S. Department of Education data compiled by Rutgers University’s Center for MSIs, which can be found here:

https://www2.ed.gov/about/offices/list/ope/idues/2022eligibilitymatrix.xlsx. This list is also not an exhaustive list of MSIs but will be used as a starting point for auto-identifying MSIs. If applicants believe that their institution qualifies as an MSI and is not listed, please contact neup@inl.gov with an explanation for how the university meets the conditions of being considered an MSI.

The application must originate from the lead institution. All lead Principal Investigators (PIs) must have an active account in the NEUP.gov website submittal system. Research consortiums may be composed of diverse institutions including academia, national laboratories, non-profit research institutes, industry/utilities, and international partners. Research teams should strive to achieve the synergies that arise when individuals with forefront expertise in different methodologies, technologies, disciplines, and areas of content knowledge approach a problem together, overcoming impasses by considering the issue from fresh angles and discovering novel solutions.

https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww2.ed.gov%2Fabout%2Foffices%2Flist%2Fope%2Fidues%2Feligibility.html%23tips&data=05%7C01%7CAnna.Podgorney%40inl.gov%7C09966166ecf14700e46008da852233a1%7C4cf464b7869a42368da2a98566485554%7C0%7C0%7C637968680215395909%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=YoJeZjMg%2FXyS09AL2vqYp5cbpRwMZgCSoxCO%2BfhD%2BhU%3D&reserved=0 https://www2.ed.gov/about/offices/list/ope/idues/2022eligibilitymatrix.xlsx

While international partners are encouraged to participate, no U.S. Government funding will be provided to entities incorporated outside of the U.S. or to a foreign government or any entity owned or controlled by a foreign government. Foreign government ownership means direct ownership of the applicant entity, its parent organization (e.g., trust, holding company, corporation, etc.), and any and all other entities in the corporate structure regardless of the applicant entity’s place of incorporation and operation. NE will evaluate the benefit and contribution of any such proposed partnerships as part of its evaluation of the relevancy to the NE mission. A collaborator is an individual that makes a defined, material contribution that is critical to the success of the project and/or contributing to joint publications. Any individual appearing in the project summary, technical narrative, benefit of collaboration, coordination and management plan, or budget documents should be listed directly as collaborators on the application form. All collaborators must be added to the application form with complete information. Any individuals that do not meet these criteria should not be listed as collaborators on the application. NE has two designations for collaborators and personnel: 1) key/senior personnel and 2) ‘other personnel’. Document requirements will vary depending on whether an individual is designated as ‘key/senior personnel’ or as a general collaborator. Key/senior personnel should be listed in the first “collaborators” section on the application form. Other collaborators or personnel should be listed on the second “collaborators” section of the application form. Refer to the application requirements to provide needed information for all key/senior personnel. Applicants must have the full consent of each collaborator prior to listing them on an application form. Non-university collaborators and personnel, in composite, can have no more than 20% of the total funds provided by the Government. An employee with a joint appointment between a university and a DOE national laboratory can apply through the institute of higher education (IHE) if the institution pays his or her salary and provides his or her benefits.

What is a Disadvantaged Community (DAC)?

Defined by Executive Order 14008. Communities that are economically disadvantaged and overburdened by pollution and underinvestment in housing, transportation, water and wastewater infrastructure, and health care. A community qualifies as “disadvantaged” if the census tract is above the threshold for one or more environmental or climate indicators and the tract is above the threshold for the socioeconomic indicators.

What is an underrepresented community?

According to the Equity Executive Orders: 13985, 14020, and 14091, an “underrepresented” community refers to populations sharing a particular characteristic, as well as geographic communities, that have been systematically denied a full opportunity to participate in aspects of economic, social, and civic life, such as Black, Latino, Indigenous and Native American, Asian American, Native Hawaiian, and Pacific Islander persons and other persons of color; members of religious minorities; women and girls; LGBTQI+ persons; persons with disabilities; persons who live in rural areas; persons who live in United States Territories; persons otherwise adversely affected by persistent poverty or inequality; and individuals who belong to multiple such communities. Further, according to the National Science Foundation's 2023, report titled, Diversity and STEM: Women, Minorities, and Persons with Disabilities, (https://ncses.nsf.gov/pubs/nsf23315/report) the U.S. STEM workforce has gradually diversified between 2011 and 2021, with increased representation from these underrepresented communities. However, Hispanic workers represented 15% of the total STEM workforce in https://ncses.nsf.gov/pubs/nsf23315/report

2021, and Asian and Black workers were 10% and 9%, respectively. American Indians and Alaska Natives together made up less than 1% of the U.S. population and STEM workforce in 2021. DOE seeks to inspire underrepresented American to pursue careers in energy and support their advancement into leadership positions. (https://www.energy.gov/articles/introducing-minorities-energy-initiative).

B. COST SHARING

For university participants, cost sharing is not required, but it is encouraged.

C. OTHER ELIGIBILITY REQUIREMENTS

• Must be a multi-institutional consortium project.

• A minimum of 50% of the budget must go to equipment and upgrades (e.g., physical infrastructure/equipment). The remaining portion of the budget may be used for research costs including faculty, students, and staff support.

• Non-university collaborators and personnel, in composite, can have no more than 20% of the total funds provided by the Government.

Note: It is anticipated that consortium funds will be used to support physical infrastructure and related research activities.

https://www.energy.gov/articles/introducing-minorities-energy-initiative https://www.energy.gov/articles/introducing-minorities-energy-initiative

PART IV - APPLICATION AND SUBMISSION INFORMATION

Note: The requirements apply to all FOA areas unless specific requirements are identified.

A. ADDRESS TO REQUEST APPLICATION PACKAGE

Electronic applications and instructions are available at the www.NEUP.gov website. To access these materials:

(1) Go to www.NEUP.gov;

(2) Select “Sign In” from the top right-hand corner of the screen;

(3) Enter your user credentials;

(4) Select “Applications” from the menu; and

(5) Click on “Create New Application” for the type of application you are creating.

B. DOCUMENT FORMAT REQUIREMENTS

All non-budget documentation (use templates where provided) is to be prepared using standard 8.5” × 11” paper with 1-inch margins (top, bottom, left, right), using a font size no smaller than Times New Roman 11 point. This is a requirement for all pages included in the document, (i.e., table of contents, references, etc.). The preferred file format is Adobe Portable Document Format (PDF) for all documents except for spreadsheets. All spreadsheets are to be uploaded in Excel file format to the online application. Do NOT lock any cells in the spreadsheet.

Applicants must comply with all pertinent page limitations. Any text (including references and data tables) in a document that does not adhere to the requirements listed above (except graphics, graphs, charts, and equations) will be removed from the document and will not be reviewed.

DOE reserves the right to dismiss applications that violate formatting requirements. Signature blocks must be signed by the designated official.

Documents should be saved using the document naming suggestion at the bottom of each document description. The tracking ID will automatically be generated by the application system and can be found at the top of the application form under “Tracking ID.”

DOE reserves the right to dismiss applications, which it deems, after initial review, to lack enough detail for reviewers to adequately judge technical merit. Applications submitted with corrupted, incomplete, or incorrect files may be dismissed without further review.

C. LETTER OF INTENT AND PRE-APPLICATION

C.1 Letter of Intent Letters of Intent are not required.

C.2 Pre-applications Pre-applications are not required.

D. CONTENT AND FORM OF APPLICATION

Applicants must provide all information requested. Forms and optional templates may be used to provide the information in accordance with the instructions below. Files that are attached must be in PDF format, unless otherwise specified in this announcement. Optional document templates can be found on the NEUP.gov website by clicking the ‘Documents’ button at the bottom of the front page (https://neup.inl.gov/SitePages/Related_Documents.aspx).

The following table summarizes all the required forms and files for an application.

Required Form/File Format File Name Signature Required

Conflict-of-Interest Checkbox Certified by Lead Applicant for all Participants

Application for Federal Assistance – SF-424 Research and Related (R&R)

Form FY24 SF424RR [TRACKING ID#].pdf

Yes

R&R Other Project Information Form FY24 R&R Other [TRACKING ID#].pdf

Project Summary/Abstract File Form FY24 Summary Abstract

Project Narrative File (limit of 25 pages)

PDF FY24 Project Narrative

Project Team Curriculum Vitae (limit of 3 pages per Vitae)

PDF FY24 CV [PI NAME]

Benefit of Collaboration PDF FY24 BOC [TRACKING ID#].pdf

Required Infrastructure Capabilities (limit 5 pages)

PDF FY24 Capabilities

Project Commitment to Energy Equity and Justice40 Initiative

PDF FY24 EEandJustice40

R&R Lead Budget Form Excel FY24 Budget [TRACKING ID#].xls

Budget Justification File PDF FY24 Budget Justification

Vendor Quotes (applicable if over $5K)

PDF FY24 Vendor Quotes

Current and Pending Support PDF FY24 Support [TRACKING

Potentially Duplicative Funding Notice (if applicable)

PDF FY24 PDFN [TRACKING

Project/Performance Site Location(s) PDF FY24 Site Location

Disclosure of Lobbying Activities

(SFLLL)

Form FY24 SF-LLL [TRACKING ID #].pdf

Yes mailto:https://neup.inl.gov/SitePages/Related_Documents.aspx

Required Form/File Format File Name Signature Required

Certifications and Assurances Form FY24 Cert & Assurances [TRACKING ID#].pdf

Yes

Transparency of Foreign Connections

PDF FY24 [LEAD

UNIVERSITY] TFC

D.1 Conflict-of-Interest (COI) Acknowledgement

The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy) can be found at Financial Assistance Letter No. FAL 2022-02 | Department of Energy. This policy is applicable to all non-Federal entities applying for, or that receive, DOE funding by means of a financial assistance award (e.g., a grant, cooperative agreement, or technology investment agreement) and, through the implementation of this policy by the entity, to each Investigator who is planning on participating in, or is participating in, the project funded wholly or in part under the DOE financial assistance award. DOE’s interim COI Policy establishes standards that provide a reasonable expectation that the design, conduct, and reporting of projects funded wholly or in part under DOE financial assistance awards will be free from bias resulting from financial conflicts of interest or organizational conflicts of interest. The applicant is subject to the requirements of the interim COI Policy and within each application for financial assistance, the applicant must certify that it is, or will be by the time of receiving any financial assistance award, compliant with all requirements in the interim COI Policy. The applicant must flow down the requirements of the interim COI Policy to any subrecipient non-Federal entities.

The applicant is required to disclose, manage, and report conflicts of interest as per the DOE interim COI Policy. Check the appropriate box on the application form certifying compliance with the COI Policy. If any disclosures need to be made, upload a COI document to the COI disclosure area of the application form.

Save document as: FY24 COI [TRACKING ID #].pdf

D.2 SF-424 Research and Related (R&R) – Application for Federal Assistance

Applicants shall complete the SF-424, R&R form, available at www.NEUP.gov and upload a completed and signed PDF copy of the form with the application.

Save form as: FY24 SF424RR [TRACKING ID#].pdf

D.3 R&R Other Project Information

Applicants shall complete items 1–6 on the R&R Other Project Information form available at www.NEUP.gov and upload a completed PDF copy of the form. Items 7-12 will be completed in the application form and do not need to be completed here.

Save form as: FY24 R&R Other [TRACKING ID #].pdf https://www.energy.gov/management/financial-assistance-letter-no-fal-2022-02 https://neup.inl.gov/SiteAssets/General%20Documents/Full_App_Documents/RR_SF424_5_0-V5.0%20(16)%5b1%5d.pdf https://www.neup.inl.gov/

D.4 Project Summary/Abstract File (Use provided Template on Application Site)

The one (1) page project summary/abstract must contain a summary of the proposed activity suitable for dissemination to the public. It should be a self-contained document that identifies the name of the applicant, the project director/principal investigator(s), the project title, the objectives of the project, a description of the project, including methods to be employed, the potential impact of the project (i.e., benefits, outcomes), and major participants (for collaborative projects). Do not include any proprietary or sensitive business information in this document, because, if an award is made, the Department may make it available to the public.

Save template as: FY24 Summary Abstract [TRACKING ID#].pdf

D.5 Project Narrative File Applicant shall provide a written narrative addressing project execution strategy. The project narrative must not exceed twenty-five (25) printed pages, including cover page, table of contents, charts, graphs, maps, photographs, references, and other pictorial presentations while complying with all document format instructions. The document shall include the items specified below:

(1) Cover Page: containing the following information:

a. Name of organization(s);

b. Announcement number;

c. FOA Opportunity Title (e.g., University Nuclear Research Infrastructure Revitalization);

d. Technical and business points-of-contact for the applicant, denoting the names, titles, addresses, telephone and facsimile numbers, and electronic mail addresses;

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

f. Names of team members and partnerships.

(2) Project Goals and Objectives: This section should provide a clear, concise statement of the specific objectives/aims of the proposed project. For this FOA, a "goal" is an outcome the proposed team would like to achieve, while an objective is an action or outcome related to a metric. Including the following in no specific order:

a. A narrative that describes how the proposed effort will further NS&E R&D and education.

b. Describe the NS&E program(s). If a partner does not have a current program, describe plans to establish such a program.

c. Describe comparable capabilities, if any, already at your organization or partner organizations.

d. Overall goal(s) of the proposed revitalization effort. The proposed goal(s) may include multiple components or aspects and may be linked to specific measurable objectives. Goals and objectives must encompass the following (in no particular order):

i. How the request fills multiple institutional and national infrastructure gaps and complements existing infrastructure and personnel capabilities.

ii. How the new equipment and partnerships will enable all partners learning and research missions.

iii. Utilization of the upgrades and/or equipment by researchers within and external to your organization. It is recommended to include target metrics of utilization by the proposing institution and others in the research community. If there is a preexisting capability, provide a description of how the upgrade or equipment will improve utilization.

iv. How the request enhances infrastructure and associated research in the following areas: 1) nuclear cyber-physical protection, 2) new digital technologies in advanced nuclear reactors, and 3) the development and safety assessments of small modular reactors.

e. Address the Buy America Requirements for Infrastructure Projects. Include a short statement on whether the project will involve the construction, alteration, and/or repair of infrastructure in the United States. The applicant must assume that the Buy America Requirements are applicable to purchase of equipment. See Appendix A for applicable definitions and other information to inform this statement.

(3) Schedule and Description of Tasks: This section should provide a breakdown of individual tasks related to the overall effort. Successful applicants must use this project timetable to report progress. This section should also include a scope of work and execution plan with detail appropriate to the complexity of the project. This will form the basis for the Project Implementation merit review criteria listed in Part V, A.3. Include the following:

a. An overall timeline and key milestones of the proposed tasks (e.g., Gantt chart, timeline, etc.).

b. Applicants must demonstrate a clear educational or R&D objective for new or revitalized infrastructure upgrades. Equipment and other infrastructure improvements should tie back to the original educational or R&D objective.

(4) Relevance and Outcomes/Impacts: This section is a justification for the proposed project and should explain the relevance of the effort to the mission of DOE-NE and the expected outcomes and/or impacts. This section should include a clear statement of the importance of the project in terms of the utility of the outcomes and the target community of beneficiaries. List all applicable DOE-NE funded R&D projects in this section.

Specifically list any DOE-NE R&D program relevance.

(5) Roles of Participants: Describe the capabilities and qualifications of the PI and application team to accomplish the proposed work. This should include personnel information for any expertise required to accomplish the proposed project. References should be specific to individuals. The PI should state explicitly whether there is any expertise that must be acquired to complete the project and the plan to acquire the expertise (new hires, consultants, etc.).

(6) Facilities, Complementary Equipment, and Other Resources: Identify the facilities (e.g., office, laboratory, computer, etc.), equipment (computers, oscilloscopes, etc.), and other resources (machine shops, electronic shops, etc.) to be used at each performance site.

Describe utilization of facilities, equipment, and other resources that are directly applicable to the proposed work. Include pertinent capabilities, capacities, relative proximity, and extent of availability to the project.

Page limits include cover page, table of contents, charts, graphs, maps, photographs, tables, references and other pictorial presentations while complying with the document format requirements. Do not include any internet addresses (URLs) that provide information necessary to review the application; information contained in these sites will not be reviewed.

Save file as: FY24 Project Narrative [TRACKING ID#].pdf

D.6 Vitae (Technical Expertise and Qualifications) (Required Lead PI, key/senior personnel)

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 brief vitae that list the following:

(1) Contact Information.

(2) Education and Training: Undergraduate, graduate, and postdoctoral training. Identify institution, major/area, degree, and year.

(3) Research and Professional Experience: Beginning with the current position, list, in chronological order, professional/academic positions with a brief description. List all current academic, professional, or institutional appointments, foreign or domestic, at the applicant institution or elsewhere, whether or not remuneration is received, and, whether full-time, part-time, or voluntary.

(4) 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.

(5) Patents, copyrights, and software systems developed: may be provided in addition to or substituted for publications.

(6) Synergistic Activities: List no more than 5 professional and scholarly activities related to the effort proposed.

Pages outside the specified page limits and font size, including reference, will be redacted and unavailable for evaluators to review.

Page limit: 3 pages

Save each CV as a separate file named: FY24 CV [PI LAST NAME] [TRACKING ID#].pdf.”

Note: Technical expertise and qualifications are to be provided for all senior/key personnel. All participants making a defined, material contribution that is critical to the success of the project must be listed as collaborators on the online application. Applicants must have the full consent of all collaborators prior to submitting the application.

D.7 Benefit of Collaboration The applicant shall provide a narrative that includes an explanation of the contribution that will be made by the collaborating organizations and/or facilities to be utilized. Please indicate within this section whether the application has benefit or influence on other ongoing or proposed NE R&D projects (e.g., modeling and simulation in one application and effect validation in a separate application).

This document is required unless the application only has a single principal investigator.

Pages outside the specified page limits and font size, including references, will be redacted and unavailable for evaluators to review.

Page limit: 4 pages

Save file as: FY24 BOC [TRACKING ID#].pdf

D.8 Required Infrastructure Capabilities Provide information on the following, as applicable:

• Infrastructure Requirements: The applicant shall identify the infrastructure (e.g., facilities, equipment, instrumentation, and other resources) required to execute the proposed scope of work, including applicant’s location, availability, capabilities, and how they will be used in the project. Describe the non-labor (e.g., facilities, equipment, and instrumentation) resources that are available and accessible to the applicant and are required to execute the scope of work. Describe any unique equipment and facilities that are needed, are accessible, and will be used to execute the scope of work. Discuss the adequacy of these resources and identify any gaps and how these will be addressed.

• Adequate financial resources (if cost sharing).

• Ability to comply with the required or proposed performance schedule, taking into consideration all existing commercial and governmental business commitments.

• A satisfactory record of performance, integrity, and business ethics.

• Necessary organization, experience, accounting and operational controls, or the ability to obtain them (including, as appropriate, such elements as property control systems, quality assurance measures, and safety programs).

This Infrastructure Revitalization FOA allows the applicant to propose the purchase of any needed equipment to conduct the proposed work. If equipment purchases are proposed, describe comparable equipment, if any, already at the institution and explain why it cannot be used. Pages outside the specified page limits and font size, including references, will be redacted and unavailable for evaluators to review.

Pages outside the specified page limits and font size, including references, will be redacted and unavailable for evaluators to review.

Page limit: 5 pages

Save file as: FY24 Capabilities [TRACKING ID#].pdf

D.9 Project Commitment to Energy Equity and Justice40 Initiative (Required)

Applicants are encouraged to describe how their projects or project teams will: (1) contribute to the Justice40 Initiative (as described in Part III Section A of this FOA); and/or (2) advance energy justice through effective teams and/or partnerships with MSIs including Historically Black Colleges and Universities (HBCUs) and Tribal Colleges and Universities (TCUs), or institutions located in a disadvantaged community.

Justice40 Initiative. Applicants may include information on how the projects support the Justice40 Initiative, including for example:

• Extent to which the applicant identifies the following: specific and measurable benefits for DACs; how the benefits will flow to DACs; and how negative environmental impacts affecting DACs would be mitigated. Benefits include (but are not limited to) measurable direct or indirect investments or positive project outcomes that achieve or contribute to the following in DACs: (1) a decrease in energy burden; (2) a decrease in environmental exposure and burdens; (3) an increase in access to low-cost capital; (4) an increase in high-quality job creation, the clean energy job pipeline, and job training for individuals;

(5) increases in clean energy enterprise creation and contracting (e.g., minority-owned or disadvantaged business enterprises); (6) increases in energy democracy, including community ownership; (7) increased parity in clean energy technology access and adoption; and (8) an increase in energy resilience.

• Extent to which the project would contribute to meeting the objective that 40% of the benefits of climate and clean energy investments will flow to DACs;

• The degree to which the proposed project provides funding to DACs or seeks to address communities with environmental justice concerns that experience disproportionate and adverse human health or environmental burdens in accordance with Executive Order 14096;

• Whether the entity is located in a DAC. The onus is on the applicant to self-identify whether it is located in a DAC or partners with an entity, located in a DAC;

• The degree to which the proposed project incorporates applicant or team members from DACs; and

• Whether the proposed project may directly or indirectly benefit DACs or has team member participants from DACs.

Advance Energy Equity. (NOTE: Energy equity centers the concerns of disadvantaged communities and aims to make energy more accessible, affordable, clean, and democratically managed for all communities.) Applicants are also encouraged to describe how their projects or project teams contribute to energy equity. Applicants may include a section on how the projects advance energy equity, including for example: the degree to which the proposed project incorporates team member diversity with participants from MSIs, including HBCUs and TCUs;

and/or partnerships with Minority Business Enterprises, Minority Owned Businesses, Woman Owned Businesses, Veteran Owned Businesses, or Tribal nations.

Save file as: FY24 EEandJustice40 [TRACKING ID#].pdf

D.10 Budget Documents D.10.1 R&R Lead Budget Form: (TOTAL FED & NON-FED)

Complete the Research and Related Budget (Total Fed & Non-Fed) form in accordance with the following instructions.

A separate budget must be completed for each year of requested support. The form will generate a cumulative budget for the total project period. Complete all the mandatory information on the form. Funds may be requested under any of the categories listed if 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 (see Part IV, Section I.2 of this Infrastructure…