FY19_INFRASTRUCTURE_FOA_-_DE-FOA-0001914.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

U. S. Department of Energy

Idaho Operations Office

Fiscal Year 2019

Scientific Infrastructure Support for Consolidated Innovative Nuclear Research

Funding Opportunity Announcement:

DE-FOA-0001914

Announcement Type: Initial: September 10, 2018

CFDA Number: 81.121

Informational Webinar: August 7-9, 2018 (video links and presentations will be available at www.neup.gov)

Issue Date: September 10, 2018

Application Due Date: November 15, 2018 at 5:00 p.m. Eastern Time http://www.neup.gov/

Fiscal Year 2019 Scientific Infrastructure Support for Consolidated Innovative Nuclear Research

Page ii of vi

TABLE OF CONTENTS

LIST OF ACRONYMS ................................................................................................................................ v

PART I – FUNDING OPPORTUNITY DESCRIPTION

STATEMENT OF OBJECTIVES

Background and Objectives Major NE-Funded Research Programs

RELATED COLLABORATIVE OPPORTUNITES

Nuclear Science User Facilities (NSUF)

FUNDING OPPORTUNITIES

University Research Reactor Upgrades Infrastructure Support

C.1.1 Statement of Objectives General Scientific Infrastructure Support for Universities

C.2.1 Statement of Objectives

PART II – AWARD INFORMATION

TYPE OF AWARD INSTRUMENT

ESTIMATED FUNDING

University Research Reactor Upgrades Infrastructure Support General Scientific Infrastructure Support for Universities and DOE National

Laboratories B.2.1 University General Scientific Infrastructure Support

MAXIMUM AND MINIMUM AWARD SIZE

University Research Reactor Upgrades Infrastructure Support General Scientific Infrastructure Support

C.2.1 University General Scientific Infrastructure Support

EXPECTED NUMBER OF AWARDS

ANTICIPATED AWARD SIZE

University Research Reactor Upgrades Infrastructure Support General Scientific Infrastructure Support

E.2.1 University General Scientific Infrastructure Support

PERIOD OF PERFORMANCE

TYPE OF APPLICATION

PART III – ELIGIBILITY INFORMATION

ELIGIBLE APPLICANTS

COST SHARING

COST MATCHING

Page iii of vi

OTHER ELIGIBILITY REQUIREMENTS

NSUF Partner Facilities

PART IV – APPLICATION AND SUBMISSION INFORMATION

ADDRESS TO REQUEST APPLICATION PACKAGE

LETTER OF INTENT AND PRE-APPLICATION

Letter of Intent Pre-applications

CONTENT AND FORM OF APPLICATION

SF 424 – Application for Federal Assistance Project/Performance Site Location(s) Project Summary/Abstract File Project Narrative File Project Team Curriculum Vitae (CV) SF 424A Excel, Budget Information – Non-Construction Programs File (University

Applicants) Budget Justification File Vendor Quotes Past, Current, and Pending Support

Conflict of Interest Statement (Required for All Applicants) Applicant Lighting Efficiency Additional Budget Justification SF-LLL Disclosure of Lobbying Activities (Required for All Applicants)

C.12.1 Environmental Checklist

SUBMISSIONS FROM SUCCESSFUL APPLICANTS

SUBMISSION DATES AND TIMES

Letter of Intent Due Date Pre-application Due Date Application Due Date

INTERGOVERNMENTAL REVIEW

FUNDING RESTRICTIONS

OTHER SUBMISSION AND REGISTRATION REQUIREMENTS

Where to Submit Application Validity Timeframe

PART V – APPLICATION REVIEW INFORMATION

CRITERIA

Initial Review Criteria Merit Review Criteria

A.2.1 University Research Reactor Upgrades Infrastructure A.2.2 University General Scientific Infrastructure Support

Page iv of vi

Other Selection Factors

REVIEW AND SELECTION PROCESS

Merit Review Selection Discussions and Award

ANTICIPATED NOTICE OF SECTION AND AWARD DATES

PART VI – AWARD ADMINISTRATION INFORMATION

AWARD NOTICES

Notice of Selection Notice of Award

ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

Administrative Requirements

B.1.1 DUNS and SAM Requirements B.1.2 Subaward and Executive Reporting

Special Terms and Conditions and National Policy Requirements

NO COST TIME EXTENSIONS

REPORTING

PART VII – QUESTIONS/AGENCY CONTACTS

QUESTIONS

AGENCY CONTACT

INFORMATIONAL WEBINAR

PART VIII – OTHER INFORMATION

MODIFICATIONS

GOVERNMENT RIGHT TO REJECT OR NEGOTIATE

COMMITMENT OF PUBLIC FUNDS

PROPRIETARY APPLICATION INFORMATION

EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL

INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM

NOTICE OF RIGHT TO REQUEST PATENT WAIVER

NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES

CONFERENCE SPENDING

Page v of vi

LIST OF ACRONYMS

ARC Advanced Reactor Concepts

ATR Advanced Test Reactor

CCR Central Contractor Registration

CFA Call for Application

CFDA Catalog of Federal Domestic Assistance

CFR Code of Federal Regulations

CINR Consolidated Innovative Nuclear Research

COI Conflict of Interest

CTD Crosscutting Technology Development

DE Department of Energy (FOA Number)

DOE Department of Energy

DUNS Data Universal Number System

EPAct Energy Policy Act of 2005

FC R&D Fuel Cycle Research and Development

FDO Federal Demonstration Partnership

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

GOGO Government Owned/Government Operated

GSI General Scientific Infrastructure

ICHMI Instrumentation, Control, Human, Machine Interface

ID Identification

IRP Integrated Research Project

LWRS Light Water Reactor Sustainability

M&O Management and Operating

M&TE Measuring and Test Equipment

MOOSE Multiphysics Object Oriented Simulation Environment

MS Mission Supporting

MSI Minority Serving Institution

NE Office of Nuclear Energy

NEAMS Nuclear Energy Advanced Modeling and Simulation

Page vi of vi

NEET Nuclear Energy Enabling Technologies

NEUP Nuclear Energy University Program

NS&E Nuclear Science & Engineering

NGNP Next Generation Nuclear Plant Demonstration Project

NSUF Nuclear Science User Facilities

NNSA National Nuclear Security Administration

NPPs Nuclear Power Plants

PD Program Directed

PDF Adobe Portable Document Format

PIE Post-irradiation Examination

PI Principal Investigator

POC Point of Contact

QA Quality Assurance

R&D Research and Development

RC RD&D Reactor Concepts Research, Development and Demonstration

RPA Request for Pre-Applications

RPS Radioisotope Power Systems

RPV Reactor Pressure Vessel

RTR Research and/or Test Reactor

SAM System for Award Management

SBIR Small Business Innovation Research

SF Standard Form

SMR Small Modular Reactors

STTR Small Business Technology Transfer

TAC Total Allowable Costs

U.S. United States

Fiscal Year 2019 Consolidated Innovative Nuclear Research PART I

PART I – FUNDING OPPORTUNITY DESCRIPTION

STATEMENT OF OBJECTIVES

This Funding Opportunity Announcement (FOA) is for Scientific Infrastructure Support for Consolidated Innovative Nuclear Research and university research reactor upgrades for the U.S.

nuclear research community. It is referred to in this document as the “Infrastructure FOA.”

Background and Objectives The Department of Energy’s (DOE) Office of Nuclear Energy (NE) provides funding to support crosscutting nuclear energy research and development (R&D) and associated infrastructure support activities, to develop innovative technologies that offer the promise of dramatically improved performance for advanced reactors and fuel cycle concepts, while maximizing the use of DOE resources.

The development of nuclear energy-related infrastructure and basic capabilities in the research community is necessary to promote R&D that supports nuclear science and engineering (NS&E), DOE-NE’s mission, and the Nation’s nuclear energy challenges. Accordingly, DOE intends to enable the education and training of nuclear scientists, engineers, and policy-makers in graduate and undergraduate study, and two-year programs, as well as R&D that is relevant to the Department and the nuclear energy industry in general.

The Nuclear Energy University Program (NEUP) utilizes up to 20 percent of funds appropriated to NE’s R&D program for university-based infrastructure support and R&D in key NE program-related areas:

• Fuel Cycle Research and Development (FC R&D)

• Reactor Concepts Research, Development and Demonstration (RC RD&D)

• Nuclear Energy Advanced Modeling and Simulation (NEAMS)

The infrastructure requested should be individual, discrete, and definable items or capabilities that will:

• Support, maintain, or enhance the institutions’ capacities to attract and teach high quality students interested in nuclear energy-related studies;

• Build the institutions’ research or education capabilities; or

• Enhance the institutions’ capabilities to perform R&D that is relevant to DOE-NE’s mission.

NE reserves the right to respond to potential shifts in priorities during FY2019 that may be driven by events, policy developments, or Congressional/budget direction. NE will factor such considerations into decisions related to the timing and scale of award announcements associated with this FOA.

Major NE-Funded Research Programs Information on the current DOE-NE research programs can be found at the Office of Nuclear Energy’s website: https://energy.gov/ne/mission.

RELATED COLLABORATIVE OPPORTUNITES

Utilization of equipment acquired as a result of this Infrastructure FOA may enhance or benefit currently funded or proposed NE R&D. Therefore, opportunities exist to leverage R&D applications as outlined below.

Nuclear Science User Facilities (NSUF) DOE-NE provides nuclear energy researchers access to world-class capabilities to facilitate the advancement of nuclear science and technology through the NSUF.

• This mission is supported by providing access to state-of-the-art experimental irradiation testing and post-irradiation examination facilities, at no cost to the user, as well as technical assistance in design and analysis of reactor experiments.

• Through NSUF, university, national laboratory, and industry researchers and their collaborators are building on current knowledge to better understand the complex behavior of materials and fuels in the radiation environment of a nuclear reactor.

• Access to the NSUF and its partner facilities is granted through a separate competitive proposal process.

NSUF and its partner facilities represent a prototype laboratory for the future.

• This unique model is best described as a distributed partnership, with each facility bringing exceptional capabilities to the relationship, including reactors, beamlines, state-of-the-art instruments, hot cells, and, most importantly, expert mentors.

• Together, these capabilities and people create a nation-wide infrastructure that allows the best ideas to be proven using the most advanced capabilities.

NSUF performs an annual Nuclear Energy R&D capabilities gap analysis to identify areas needing investment. Proposals addressing these identified needs will be given higher priority.

• For FY 2019, specific areas of interest for this FOA are:

Establishing or improving capabilities for handling radioactive materials Nuclear fuels and materials examination (characterization)

• NSUF provides access to high-performance computational resources at INL at no charge to users. Because of this, proposals requesting to purchase high performance computing (HPC) equipment will not be entertained. See nsuf.inl.gov or hpc.inl.gov for information on accessing HPC resources.

• NSUF provides access to specialized capabilities to support nuclear energy research. In the area of materials research NSUF focuses on investigating the effects of irradiation on nuclear fuels and materials. Proposals for capabilities that can accommodate work with radioactive/irradiated materials (>5mr/hr @ 30 cm) will be given higher priority.

Awarding of infrastructure grants through this FOA is one of the methods to expand the NSUF to serve more users. This should be emphasized in an applicant’s proposal.

• To apply to any of the areas in this FOA, the applicant is required to be a current partner, or demonstrate the ability and willingness to join the NSUF as a partner facility, through the NSUF Partnership Program.

Reference the NSUF website for more information about the NSUF and becoming a partner (NSUF.inl.gov).

If NSUF determines the new equipment/capability adds significant value to DOE, the equipment/capability may be added as a DOE user facility, so the equipment is available to other researchers. For information about existing capabilities, review the Nuclear Energy Infrastructure Database (NEID) available at NSUF-infrastructure.INL.gov..

FUNDING OPPORTUNITIES

DOE is seeking applications under the Infrastructure FOA in the following areas:

1. University Research Reactor Upgrades Infrastructure Support

2. General Scientific Infrastructure (GSI) Support for Universities

Note: An application to either of these FOA areas is restricted to equipment or activities supporting research, teaching, and education, such as the purchase, set-up, and vendor installation costs for equipment and instrumentation, as well as building modifications that immediately support the installation and operation of the equipment.

• The application cannot include hiring or other human capital costs. Personnel or indirect costs are not allowed, except as specified in this FOA.

• The application cannot include the cost of routine operation and maintenance of equipment on the applicant’s research reactor.

• Non-standard installation costs for equipment and instrumentation that are beyond the vendor's standard installation cost are not allowed.

• Institution-specific costs, not specific to the equipment or instrumentation, are the responsibility of the applicant. For example, if a vendor needs to meet safety and health requirements to access the campus or a facility, then these costs are the responsibility of the applicant.

• Funds are restricted to equipment or activities supporting research, teaching, and education.

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

Note: DOE has initiated a priority effort to develop and maintain a national R&D framework to achieve NE’s research mission, and this requires 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.

Accordingly, although requests for infrastructure support in response to this FOA are not restricted, DOE reserves the right to inform its award decisions by the results of its ongoing evaluation of priorities.

http://nsuf.inl.gov/

University Research Reactor Upgrades Infrastructure Support C.1.1 Statement of Objectives This section describes the objectives for University Research Reactor Upgrades Infrastructure Support. This area of the FOA supports the NE program missions as previously described.

The following research reactors are eligible to submit applications under this section of the FOA:

1 Idaho State University 13 The Ohio State University

2 Kansas State University 14 University of California, Davis

3 Massachusetts Institute of Technology 15 University of California, Irvine

4 Missouri University of Science & Technology 16 University of Florida

5 North Carolina State University 17 University of Maryland, College Park

6 Oregon State University 18 University of Massachusetts, Lowell

7 Pennsylvania State University 19 University of Missouri, Columbia

8 Purdue University 20 University of New Mexico

9 Reed College 21 University of Texas at Austin

10 Rensselaer Polytechnic Institute 22 University of Utah

11 Rhode Island Nuclear Science Center 23 University of Wisconsin, Madison

12 Texas A&M University 24 Washington State University

Each institution is permitted to submit a single, separate application for each research reactor they operate.

Purposes of the program:

1. To upgrade and improve the U.S. university nuclear research and training reactors;

2. To contribute to strengthening the academic community’s nuclear engineering infrastructure

3. Applications should be directed to the upgrade of the research reactor, or to the purchase/maintenance of equipment and instrumentation or activities related to the safety, performance, control, or operational reliability of the research reactor, including security/safety enhancements required by the federal/state/local regulatory agencies; or

4. For equipment and instrumentation that significantly improve or expand the research, instruction, training capabilities, or operating capabilities related to NE program missions (e.g., utilization or handling of radiological or radioactive materials) of the research reactor facility, including radiation detection and measurement equipment.

Please note that the primary purpose of this funding opportunity annoucement is the safety, security, and operational reliability of the university research reactors (Item 1). Proposals addressing those needs will be given highest priority.

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

Requests for equipment and associated upgrades, specifically for general scientific laboratories, are addressed in Part I, Section C.2 of this FOA.

General Scientific Infrastructure Support for Universities C.2.1 Statement of Objectives This section describes the objectives for the General Scientific Infrastructure Support for the NE program missions as previously described. Additionally, universities can submit applications that support DOE-NE’s mission and objectives by specifically supporting or improving the instructional mission of the university.

Universities are permitted to submit one single application to this FOA area per institution.

General requirements:

• Under this FOA, applications can be submitted for equipment, software, instrumentation, and associated non-reactor upgrade requests that support nuclear energy-related R&D or education.

• Funding requests may include, but are not limited to, equipment and instrumentation for specialized facilities, classrooms and teaching laboratories, and non-reactor NS&E research.

• Infrastructure requests that support the sharing and use of equipment and instrumentation by multiple campuses of a university, multiple universities, or national laboratories are encouraged.

• Equipment and associated upgrades specifically for university research reactors are the subjects of the University Research Reactor Upgrades Infrastructure Support opportunity discussed in Part I, Section C.1.

Fiscal Year 2018 Consolidated Innovative Nuclear Research PART II

PART II – AWARD INFORMATION

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

TYPE OF AWARD INSTRUMENT

DOE anticipates awarding grants to universities, and utilizing work authorizations under DOE O 412.1A, Work Authorization System, for awards to national laboratories.

ESTIMATED FUNDING

The estimated amounts identified for each FOA area is contingent upon Congressional appropriations and is subject to significant change.

University Research Reactor Upgrades Infrastructure Support DOE currently estimates that it will fund approximately $2.5 million in awards in response to this FOA area.

General Scientific Infrastructure Support for Universities and DOE National Laboratories

B.2.1 University General Scientific Infrastructure Support DOE currently estimates it will fund approximately $2.5 million in awards for this FOA area.

MAXIMUM AND MINIMUM AWARD SIZE

Maximum and minimum award sizes are identified for the FOA areas below.

University Research Reactor Upgrades Infrastructure Support Ceiling (i.e., the maximum amount for an individual award made under this area):

• Up to $2.5 million

Floor (i.e., the minimum amount for an individual award made under this area): None.

General Scientific Infrastructure Support C.2.1 University General Scientific Infrastructure Support Ceiling (i.e., the maximum amount for an individual award made under this area):

• Up to $2.5 million

Floor (i.e., the minimum amount for an individual award made under this announcement): None.

EXPECTED NUMBER OF AWARDS

The estimated amounts identified for each FOA area is contingent upon Congressional appropriations and is subject to change. However, at this time, DOE anticipates making

Fiscal Year 2018 Consolidated Innovative Nuclear Research PART II numerous awards under each FOA area, depending on the quality of the submissions and availability of funds. DOE reserves the right to make fewer or no awards under this announcement.

ANTICIPATED AWARD SIZE

The anticipated award size for each of the FOA areas are identified below. (The anticipated award size ranges are estimated and actual awards may vary.)

University Research Reactor Upgrades Infrastructure Support This program can accommodate awards up to $2.5 million, depending on the quality of the submissions and availability of funds; however, DOE anticipates making several smaller awards.

General Scientific Infrastructure Support E.2.1 University General Scientific Infrastructure Support DOE anticipates awards will average $250,000 for the total project period.

PERIOD OF PERFORMANCE

DOE anticipates making awards with an estimated project period of one (1) year. Additional time, if needed, may be requested and justified in the application.

TYPE OF APPLICATION

DOE will accept only new applications under this announcement.

Fiscal Year 2018 Consolidated Innovative Nuclear Research PART III

PART III – ELIGIBILITY INFORMATION

identified.

ELIGIBLE APPLICANTS

Universities and Colleges: In accordance with 2 CFR 910.126(b), eligibility for award is restricted to U.S. universities and colleges. Underrepresented Groups and Minority-Serving Institutions (e.g., Historically Black Colleges and Universities, Hispanic Serving Institutions, Tribal Serving Institutions) are encouraged to apply. The following link provides the list of minority serving institutions: http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html.

COST SHARING

For university participants, cost sharing is not required, but is encouraged, for awards under $250,000.

COST MATCHING

To maximize the use of available NE funding, cost matching is required for universities on a 1:1 dollar match for requests above $250,000, for applications under the General Scientific Infrastructure Support for research or teaching. For example, if a $300,000 project is proposed, cost matching requirements apply to $50,000 of this amount (the amount over $250,000), and the recipient would be required to match $25,000. This requirement may not be waived.

OTHER ELIGIBILITY REQUIREMENTS

NSUF Partner Facilities To apply to any of the areas in this FOA, the applicant is required to be a current partner, or demonstrate the ability and willingness to join the NSUF as a partner facility, through the NSUF Partnership Program.

• Reference the NSUF website for more information about the NSUF and becoming a partner (NSUF.inl.gov).

• If NSUF determines the new equipment/capability adds significant value to DOE, the equipment/capability may be added as a DOE user facility so the equipment is available to other researchers.

• For information about existing capabilities, review the Nuclear Energy Infrastructure Database (NEID) available at NSUF-infrastructure.INL.gov.

Table 1 provides a summary of Parts II and III of this FOA.

http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html

Fiscal Year 2018 Consolidated Innovative Nuclear Research PART III

Table 1. Summary of Parts II and III.

Estimated Available Budget

Eligibility Maximum Award Size

Anticipated Award Range

Cost Match

Research Reactor Upgrades

$2,500,000 University $2,500,000 Up to $1,500,000 N/A

GSI $2,500,000 University $2,500,000 $250,000 1:1 >$250,000

Fiscal Year 2018 Consolidated Innovative Nuclear Research PART IV

PART IV – APPLICATION AND SUBMISSION INFORMATION

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

ADDRESS TO REQUEST APPLICATION PACKAGE

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. Apply at www.NEUP.gov.

LETTER OF INTENT AND PRE-APPLICATION

Letter of Intent

Letters of Intent are not required.

Pre-applications Pre-applications are not required.

CONTENT AND FORM OF APPLICATION

Applicants must complete the mandatory forms, and any applicable optional forms (e.g., Disclosure of Lobbying Activities), in accordance with the instructions on the forms and the additional instructions below. Files attached to the forms must be in Adobe Portable Document Format (PDF) and merged into a single PDF file, unless otherwise specified in this announcement.

SF 424 – Application for Federal Assistance Complete all required fields in accordance with the pop-up instructions on the form. The correct form to use is OMB 4040-0004. The list of certifications and assurances referenced in Field 21 can be found on the DOE Financial Assistance page at http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms under Certifications and Assurances.

Save form as “SF424 Fed Assist.pdf.”

Project/Performance Site Location(s) Insert the primary site where the work will be performed. If a portion of the project will be performed at any other site(s), identify the site location(s) in the blocks provided.

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

001. Hover over this field for additional instructions.

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

http://www.neup.gov/ http://www.neup.gov/ http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms

Save form as “Performance Site.pdf.”

Project Summary/Abstract File The project summary/abstract must contain a summary of the proposed activity suitable for dissemination to the public. It should be a self-contained document that identifies the name of the applicant, the 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. The project summary must not exceed one (1) page when printed using standard 8.5" by 11" paper with 1" margins (top, bottom, left and right) [select single or double spaced] with font no smaller than 11 point.

Save this information in a file named "Summary Abstract.pdf.” and save to “other attachments form”

Project Narrative File The project narrative must not exceed eight (8) printed pages, including cover page, table of contents, charts, graphs, maps, photographs, and other pictorial presentations. The project narrative page must be on standard 8.5" by 11" paper, with 1” margins (top, bottom, left, and right) [single spaced], and with font no smaller than 11 point for general text; fonts no smaller than 8 may be used for figures, charts, graphs, maps, photographs, and other pictorial presentation. EVALUATORS WILL REVIEW ONLY EIGHT PAGES, AS SPECIFIED ABOVE. Do not include any Internet addresses (URLs) that provide information necessary to review the application. See Part VIII, Section D, for instructions on how to mark proprietary application information.

Save the information in a single file named "Project Narrative.pdf.” and save to “other attachments form”

The project narrative must include the following:

1. Narrative Cover Page which must include:

a. Name of organization;

b. Announcement number;

c. FOA Opportunity Title (e.g., University Research Reactor Upgrades Infrastructure

Support, General Scientific Infrastructure Support);

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 or partnerships.

2. Project Objectives

This section should provide a clear, concise statement of the specific objectives/aims of the proposed project.

a. For universities, briefly describe the NS&E program(s) at your school; if you do not have a current program, describe your plans to establish such a program.

b. Provide a narrative that describes how your application will further NS&E R&D and education.

c. Discuss the proposed objectives and goals for use of the equipment.

d. Discuss how the request enables the university's learning mission.

e. Discuss how the request fills institutional and/or national infrastructure gaps, and complements existing infrastructure and personnel capabilities.

f. Discuss ties to the DOE-NE mission and/or NSUF.

3. Merit Review Criterion Discussion The section should be formatted to address each of the merit review criterion and sub-criterion listed in greater detail in Part V, Section A.2, as well as Other Selection Factors. Applicants shall provide sufficient information to enable reviewers to evaluate the application in accordance with the merit review criteria and other selection factors.

4. Project Timetable and Description of Work This section should outline as a function of time, year by year, all the important activities or phases of the project, including any activities planned beyond the project period. 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 listed in Section V.A.2.1.3 and V.A.2.2.3.

5. Relevance and Outcomes/Impacts This section should explain the relevance of the effort to the mission of DOE-NE and the expected outcomes and/or impacts.

This justification for the proposed project should include a clear statement of the importance of the project in terms of 1) the utility of the outcomes, and 2) 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. This information can be found at:

https://energy.gov/ne/mission.

6. 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 if there is any expertise that must be acquired to complete the project and the plan to acquire the expertise (new hires, consultants, etc.).

https://energy.gov/ne/mission

7. Facilities and Other Resources Identify the facilities (e.g., office, laboratory, computer, etc.) to be used at each performance site listed, and, if appropriate, indicate their capacities, pertinent capabilities, relative proximity, and extent of availability to the project. Describe only those resources that are directly applicable to the proposed work. Provide any information describing the other resources available to support the project such as machine and electronics shops.

8. Equipment

a. List important items of equipment already available for this project, and, if appropriate, note the location and pertinent capabilities of each.

b. If you are proposing to acquire equipment, describe comparable equipment, if any, already at your organization or within the DOE complex, and explain why it cannot be used. Review the Nuclear Energy Infrastructure Database (NEID) available at NSUF-infrastructure.INL.gov for information about existing capabilities.

9. Utilization

a. Provide a narrative that describes how your application will allow for researcher usage, both within the institution and by other entities.

b. Provide a measure of the amount of use expected for the requested equipment and instrumentation, by both the proposing institution and others within the research community.

c. If there is a preexisting capability, provide a description of how readily accessible and/or currently utilized the resource is by other entities.

Project Team Curriculum Vitae (CV) Applicants shall provide a CV from the PI. CVs are limited to a 2-page maximum. CV must include the following:

• Contact Information.

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

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

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

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

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

CVs should be provided for all staff providing significant and required expertise on the project, following the instructions provided above.

Save each CV as a separate file titled, “CV ‘Insert PI Name’.pdf.” and save to “other attachments form”

SF 424A Excel, Budget Information – Non-Construction Programs File (University Applicants)

Applicants must provide a separate budget for each year of support requested, and a cumulative budget for the total project period. Use the SF 424A Excel, "Budget Information - Non Construction Programs" form on the DOE Financial Assistance Forms Page at http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms.

Applicants may request funds under any of the Object Class Categories, as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions in this announcement (see Part IV, Section G).

Save this information in a single file named "Budget (SF424A).xls."

Budget Justification File Applicants must justify the costs proposed in each Object Class Category/Cost Classification category (e.g., provide a list of equipment and cost of each item, and provide any other information you wish to support your budget).

If cost sharing is proposed, applicants must have a letter from each third party contributing to the cost sharing (i.e., a party other than the organization submitting the application), stating that the third party is committed to providing a specific minimum dollar amount of cost sharing.

The budget justification file should also identify the following information for each third party contributing cost sharing: 1) the name of the organization; 2) the proposed dollar amount to be provided; 3) the amount as a percentage of the total project cost; and 4) the proposed cost sharing - cash, services, or property.

By submitting your application, you are providing assurance that you have signed letters of commitment. Successful applicants will be required to submit these signed letters of commitments.

Note there are restrictions on the use of funds under this FOA:

1. The application cannot include hiring or other human capital costs. Personnel or indirect costs are not allowed, except as specified in this FOA.

2. The application cannot include the cost of routine operation and maintenance of equipment on the applicant’s research reactor.

3. Non-standard installation costs for equipment and instrumentation that are beyond the vendor’s standard installation cost are not allowed.

4. Institution-specific costs, not specific to the equipment or instrumentation, are the responsibility of the applicant. For example, if a vendor needs to meet safety and health http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms requirements to access the campus or a facility, these costs are the responsibility of the applicant.

5. Funds are restricted to equipment or activities supporting research, teaching, and education.

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

Save the budget justification information in a single file named “Budget Justification.pdf.” and save to “other attachments form”

Vendor Quotes Submit vendor quotes, referenced costs (catalog pricing), or other basis for estimate for any single item over $5,000. This is required even though the proposer may intend to submit the contract for open bids following the award.

Save file as “Vendor Quotes.pdf.” and save to “other attachments form”

Past, Current, and Pending Support Identify funding that is pending or has been awarded, for similar activities related to nuclear infrastructure/curriculum within the last three years. Please identify by source and amount requested/awarded.

Save this information in a file named “Support.pdf.” and save to “other attachments form”

Conflict of Interest Statement (Required for All Applicants) Conflicts of interest may exist due to previous efforts performed by the National Laboratories, or assistance provided in program direction and other mission related activities. Accordingly, for each subapplicant that is a National Laboratory or DOE and/or non-DOE FFRDC, identify any potential conflicts of interest, fully explain the conflict, whether you believe it is significant, along with your rationale. If significant, explain how you will avoid, neutralize, or mitigate the potential conflict.

Save this sheet in a single file named “COI.pdf.” and save to “other attachments form”

Applicant Lighting Efficiency Additional Budget Justification If the resulting award is a grant exceeding $1,000,000, the applicant shall be required to identify the facility (the rooms or areas where a majority of the proposed project work will occur). In the applicants budget justification, they must identify and justify the costs associated with upgrading the light bulbs to meet or exceed the energy efficiency standard for incandescent light bulbs, as required by Section 325 of the Energy Policy and Conservation Act (42 U.S.C. 6295), prior to the end of the Federal fiscal year.

SF-LLL Disclosure of Lobbying Activities (Required for All Applicants) Identify any funds, other than Federal appropriated funds, that have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the grant/cooperative agreement.

Save this form as “SF-LLL.pdf.”

C.12.1 Environmental Checklist Applicants must complete the Environmental Checklist. Click here for a copy.

Save this sheet in a single file named “EC.pdf” and save to “other attachments form”

Applications must include the following documents, which are located at http://www.NEUP.gov.

Required Form/file Format File Name Application for Federal Assistance – SF424 Form SF424 Fed Assist.pdf Project/Performance Site Location(s) Form Performance Site.pdf Project Summary/Abstract File PDF Summary Abstract.pdf Project Narrative File PDF Project Narrative.pdf Project Team Vitae PDF CV “Insert PI Name”.pdf SF 424A File - Budget Information for Non- Construction Programs Excel Budget (SF424A).xls

Budget Justification File PDF Budget Justification.pdf Vendor Quotes PDF Vendor Quotes.pdf Current and Pending Support PDF Support.pdf Conflict of Interest Statement PDF COI.pdf SF-LLL Disclosure of Lobbying Activities, if applicable. Form SF-LLL.pdf

Certifications and Assurances Form Cert & Assurances.pdf

SUBMISSIONS FROM SUCCESSFUL APPLICANTS

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

• Indirect cost information

• Other budget information

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

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

• Commitment Letter from Third Parties Contributing to Cost Sharing, if applicable

SUBMISSION DATES AND TIMES

Letter of Intent Due Date

Letters of Intent are not required.

https://neup.inl.gov/_layouts/15/WopiFrame.aspx?sourcedoc=/SiteAssets/General%20Documents/Full_App_Documents/Environmental_Checklist.docx&action=default

Pre-application Due Date Pre-applications are not required.

Application Due Date Applications must be received by November 15, 2018, no later than 5:00 PM Eastern Time.

Applicants are encouraged to transmit applications well before the deadline. APPLICATIONS

RECEIVED AFTER THE DEADLINE WILL NOT BE REVIEWED OR CONSIDERED FOR

AWARD.

INTERGOVERNMENTAL REVIEW

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

FUNDING RESTRICTIONS

Funding for all awards is contingent upon the availability of funds appropriated by Congress for the purpose of this program.

• Cost Principles. Costs must be allowable, allocable, and reasonable, in accordance with the applicable Federal cost principles referenced in 2 CFR 200.

• Pre-award Costs. Recipients may charge, to an award resulting from this announcement, pre-award costs incurred within the ninety (90) calendar day period immediately preceding the effective date of the award, providing the costs are allowable in accordance with the applicable Federal cost principles referenced in 2 CFR 200. Recipients must obtain the prior written approval of the contracting officer for any pre-award costs that are for periods greater than this 90-day calendar period.

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

OTHER SUBMISSION AND REGISTRATION REQUIREMENTS

Where to Submit

Applications must be submitted through www.neup.gov.

Application Validity Timeframe By submitting an application in response to this FOA, applicants agree that their applications are valid for at least 1-year from the date set forth for receipt of applications to this FOA. DOE reserves the right (with the concurrence of the applicant) to use the submitted application(s) to make additional awards during this 1-year time frame, even after DOE’s initial selection announcement has occurred.

Fiscal Year 2018 Consolidated Innovative Nuclear Research PART V

PART V – APPLICATION REVIEW INFORMATION

identified.

CRITERIA

Initial Review Criteria

Prior to a comprehensive merit evaluation, DOE will perform an initial review to determine that

1) the proposed work is relevant to the DOE-NE mission; 2) the applicant is eligible for an award; 3) the information required by the FOA has been submitted; and 4) no more than one application per institution has been submitted. Applications that fail to pass the initial review will not be forwarded for merit review and will be eliminated from further consideration.

Merit Review Criteria The following evaluation criteria and weights will be used to evaluate applications submitted in response to this FOA. Rating criteria include showing increasing or enhancing research or teaching capabilities. The below criteria are dependent on the program area.

A.2.1 University Research Reactor Upgrades Infrastructure

1. (55%) Safety and/or Security – Potential of the requested equipment, instrumentation, or modification to:

a. Enhance the safety, performance, control, or operational reliability of research reactor systems; or

b. Increase the quality, safety/security, or efficiency of the operation of the research reactor facility.

2. (15%) Impact – Potential of the requested equipment, instrumentation, or modification to facilitate, improve, or expand ongoing Office of Nuclear Energy research and training capabilities;

3. (15%) Utilization – As a result of the proposed equipment, the amount of student and faculty usage of the research reactor facility, and the amount and variety of research and/or services actually provided by the facility.

4. (15%) Execution – Capability to implement the full scope of the project, including timely project completion, personnel qualifications, budget, and feasibility.

A.2.2 University General Scientific Infrastructure Support

1. (25%) Impact – Potential of the requested equipment, instrumentation, or modification to facilitate, improve, or expand ongoing Office of Nuclear Energy research and training capabilities;

2. (25%) Utilization – As a result of the proposed equipment, the amount of student, faculty, or researcher usage of the capabilities, and the amount and variety of research and/or services actually provided by the facility;

3. (25%) NSUF Priority – Importance of the proposed upgrade to the Nuclear Science User Facilities as either improving an existing partner facility or as a potential partner facility;

4. (25%) Execution – Capability to implement the full scope of the project including timely project completion, personnel qualifications, budget, and feasibility.

Other Selection Factors Program Policy Factors. The selection official may also consider the following program policy factors in the selection process under all FOA areas, as appropriate (not listed in order of importance):

• Degree to which proposed project optimizes/maximizes use of available DOE-NE funding to achieve DOE program goals and objectives. This includes how those infrastructure projects support DOE-NE research; it may also include how the infrastructure project supports other complementary efforts or projects, which, when taken together, will best achieve program research goals and objectives.

• Application selection may optimize appropriate mix of projects to achieve DOE-NE research goals and objectives.

• Impact of the proposed project on the NSUF.

• Other Cost/Budget considerations, including how well the proposed budget for the equipment or instrumentation will achieve the proposed objectives, and availability of funding.

• The demonstrated ability of the applicant to complete projects in the specified timeframe.

This includes prior year DOE applicant awards in progress or not yet completed, as well as any existing or pending no-cost extensions.

• Existing Nuclear Science and Engineering (NS&E) Program, or realistic plan to establish NS&E program.

• Underrepresented Groups and Minority-Serving Institutions that submit a competitive application.

• Cost share or cost match, if any, proposed.

• Extent or degree to which projects provide a balanced programmatic effort, a variety of research capabilities among various sizes and kinds of organizations, and their geographic distribution.

The above program policy factors may be used by the Selection Official to assist in determining which application(s) shall receive DOE funding support. These factors, while not indicators of the application’s technical excellence, applicant’s ability, etc., are essential to the process of selecting the application that, individually or collectively, will best achieve the program objectives and maximize public benefits.

REVIEW AND SELECTION PROCESS

Merit Review

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

http://energy.gov/management/office-management/operational-management/financial-assistance http://energy.gov/management/office-management/operational-management/financial-assistance

Selection The Selection Official will consider the merit review recommendation, program policy factors, and the amount of funds available.

Discussions and Award The Government may enter into discussions with a selected applicant for any reason deemed necessary, including but not limited to: 1) the budget is not appropriate or reasonable for the requirement; 2) only a portion of the application is selected for award; 3) the Government needs additional information to determine whether the recipient is capable of complying with the requirements in 2 CFR 200; and/or 4) special terms and conditions are required. Failure to resolve satisfactorily the issues identified by the Government will preclude award to the applicant.

ANTICIPATED NOTICE OF SECTION AND AWARD DATES

DOE anticipates notifying applicants selected for award, and making awards, by July 31, 2019.

DOE reserves the right to make additional award selections using applications submitted in response to this FOA. Award(s) for this project are subject to the availability of Federal funding.

Fiscal Year 2018 Consolidated Innovative Nuclear Research PART VI

PART VI – AWARD ADMINISTRATION INFORMATION

AWARD NOTICES

Notice of Selection

DOE will notify applicants selected for award.