FY25 Infrastructure Revitalization NOFO Part 1 - DE-NOFO-0003314 FINAL(1).pdf

Financial Assistance Notice of Funding Opportunity

Part 1

U.S. Department of Energy (DOE) Idaho Operations Office Fiscal Year 2025 University Nuclear Research Infrastructure Revitalization Notice of Funding Opportunity Number: DE-FOA-0003314

Application due: February 12, 2025, at 5:00 p.m. Eastern Time

Table of Contents

BEFORE YOU BEGIN

Navigating the Notice of Funding Opportunity

I. BASIC INFORMATION

A. Key Facts

1. Funding Details

2. Period of Performance

B. Executive Summary C. Agency Contact Information

II. ELIGIBILITY

A. Eligible Applicants

1. Restricted Eligibility

2. Domestic Entities

3. Foreign Entity Participation

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

1. Cost Share Requirements

2. Unallowable Cost Share Sources

D. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient

E. Other Eligibility Requirements

III. PROGRAM DESCRIPTION

A. Program Purpose B. Program Goals and Objectives C. Expected Performance Goals D. Applications Specifically Not of Interest E. Statutory Authority F. Energy, Equity and Environmental Justice Considerations

IV. APPLICATION CONTENT AND FORM

A. Summary B. Application Content Requirements

1. Covered Individual Definition, Designation, and Responsibility

2. Summary of Application Requirements

3. Technical Volume

C. Funding Restrictions

1. Build America Requirement for Infrastructure Projects

V. SUBMISSION REQUIREMENTS AND DEADLINES

A. Required Registrations

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

2. NEUP.gov

B. Application Package C. Submission Date and Times D. Intergovernmental Review

VI. APPLICATION REVIEW INFORMATION

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

1. Compliance Criteria

2. Technical Review Criteria

D. Other Selection Factors

VII. SELECTION AND AWARD NOTICES

VIII. AWARD ADMINISTRATION INFORMATION

A. Post-Award Requirements and Administration

1. Real Property and Equipment

2. Rights in Technical Data

3. Cost Share Payment

B. Questions and Support

1. Questions

2. Support

IX. OTHER INFORMATION

Notice of Funding Opportunity Part 1 Before You Begin

Before You Begin

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

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

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

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

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

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

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

Section I: Basic Information

I. Basic Information

A. Key Facts

Issuing Agency

Department of Energy, Idaho Operations Office

Funding Opportunity Title

Fiscal Year 2025 University Nuclear Research Infrastructure Revitalization

Announcement Type Initial

Number

DOE-FOA-0003314

Funding Instrument

Grant

Assistance Listing Number

81.121

Description

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

Program Goals & Objective(s)

This NOFO will award a university-led consortium which shall establish and/or enhance nuclear research capabilities at U.S.

universities, 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.

Eligible Applicants • In accordance with 2 CFR 910.126(b), prime applicant award eligibility is restricted to: U.S. Universities and Colleges.

• Other domestic entities including U.S. Universities and Colleges; for-profit entities; non-profit entities; state and local government entities and Indian Tribes; DOE federally funded research and development centers (FFRDC’s) and non-DOE FFRDCs and Federal Research Agencies are eligible as subrecipients.

Application Site and Helpdesk

Application Site: https://proposals.inl.gov Helpdesk: NEUP@inl.gov

KEY DATES

Notice of Funding Opportunity Issue Date:

November 20, Informational Webinar:

Week of December 2, 2024

Application Deadline:

February 12, 2025

Anticipated Selection Notification Date:

May 2025

Anticipated Award Date:

August 1, 2025

Estimated Period of Performance:

August 1, 2025 – July 31, 2029

1. Funding Details Single Topic Area

• Approximate total available funding: $6,000,000 in FY 2025

• Approximate number of awards: 0-1

• Approximate dollar amount of individual awards: $0 - $6,000,000

• Minimum cost share required: Cost Sharing is not required, but is encouraged

• Approximate award project period: 48 months

• Anticipated length of budget periods: 48 months

DOE reserves the right to make more or fewer (or even no awards) depending on funding availability and/or the quality of the applications.

2. Period of Performance DOE anticipates making a single award comprised of one budget period.

B. Executive Summary The intent of this NOFO is to award approximately one (1) grant, for up to four (4) years, to a consortium consisting of universities, national laboratories, industry partners and/or other stakeholders. The consortia must be university led.

The consortia project shall establish and/or enhance nuclear research capabilities at U.S. universities and colleges, 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 impacts of the investment and must foster the inclusion of underrepresented communities.

This NOFO does not provide any funds for the planning and/or construction of new university nuclear reactors.

Projects proposed under the Infrastructure Revitalization NOFO 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 clearly demonstrate the connection among requested pieces of equipment or other project elements toward a key objective or outcome.

C. Agency Contact Information U.S. Department of Energy Idaho Operations Office 1955 Fremont Avenue Idaho Falls, ID 83415

For questions relating to this specific NOFO, please send emails to NEUP@inl.gov.

DISCLAIMER: Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. If the application contains information that the applicant organization considers to be trade secrets, information that is commercial or financial, or information that is privileged or confidential, the pages containing that information must be identified as specified in the application instructions. When such information is included in the application, it will be withheld from public disclosure to the extent permitted by law, including the Freedom of Information Act, with the understanding that the information will be used or disclosed only for evaluation of the application. The information contained in the application will be protected by DOE from unauthorized disclosure, consistent with the need for merit review of applications of financial assistance awards to assure the integrity of the competitive process and the accuracy and completeness of the information. If a federal financial assistance award is made as a result of or in connection with an application, the federal government has the right to use or disclose the information to the extent authorized by law. This restriction does not limit the federal government’s right to use the information if it is obtained without restriction from another source.

mailto:email:neup@inl.gov

Section II: Eligibility

II. Eligibility

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

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

1. Restricted Eligibility In accordance with 2 CFR § 910.126(b), Competition, DOE is restricting prime applicant eligibility for this NOFO to U.S. Universities and Colleges to ensure the Nuclear Energy University Program supports university research, collaborations with industry and national laboratories, and training and educating the next generation nuclear workforce.

2. Domestic Entities The proposed prime recipient and subrecipient(s) must be domestic entities. To qualify as a domestic entity, the entity must be organized, chartered, or incorporated (or otherwise formed) under the laws of a particular state or territory of the U.S. or under the laws of the U.S.; have majority domestic ownership and control; and have a physical place of business in the U.S.

The following types of domestic entities are eligible to participate as a prime recipient of this NOFO:

• U.S. Universities and Colleges1

The following types of domestic entities are eligible to participate as a subrecipient of this NOFO:

• U.S. Universities and Colleges;

• For-profit organizations;

• Nonprofit organizations;

• State and local governmental entities; and

• Indian Tribes, as defined in section 4 of the Indian Self-Determination and Education Assistance

Act, 25 U.S.C. § 53042

1 “U.S. Universities and Colleges,” is defined consistent with the meaning of “institution of higher education” as set forth in 20 U.S.C. 1001(a).

2 “Indian Tribe,” for the purposes of this NOFO and as defined in in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. § 5304), means any Indian tribe, band, nation, or other organized group or community, including any https://uscode.house.gov/view.xhtml?req=(title:25%20section:5304%20edition:prelim)

3. Foreign Entity Participation

While international partners are encouraged to participate, foreign entities are not eligible to apply as either a recipient or subrecipient. 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.

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

• DOE FFRDCs3 are eligible to apply for funding as a subrecipient but are not eligible to apply as a recipient.

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

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

Performance of Work in the U.S.

All work for awards under this NOFO must be performed in the U.S.

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

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

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

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

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

Alaska Native village or regional or village corporation as defined in or established pursuant to the Alaska Native Claims Settlement Act (85 Stat. 688) [43 U.S.C. § 1601, et seq.], which is recognized as eligible for the special programs and services provided by the U.S. to Indians because of their status as Indians. Federally Recognized Indian Tribes are also considered disadvantaged communities for the purposes of Justice40 requirements in this NOFO per https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf.3 FFRDCs are public-private partnerships that conduct research for the U.S. government. A listing of FFRDCs can be found at http://www.nsf.gov/statistics/ffrdclist/.

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

https://sanctionslist.ofac.treas.gov/Home/SdnList https://uscode.house.gov/statutes/pl/92/203.pdf#:%7E:text=688%20PUBLIC%20LAW%2092-203-DEC.%2018%2C%201971%20%5B85%20STAT.,and%20for%20other%20purposes.%20Alaska%20Native%20Claims%20Settlement https://uscode.house.gov/view.xhtml?req=(title:43%20section:1601%20edition:prelim) https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf http://www.nsf.gov/statistics/ffrdclist/ http://www.nsf.gov/statistics/ffrdclist/

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

B. Limitation on Number of Applications Eligible for Review A prime applicant entity may submit only one application to this NOFO. If an entity submits more than one full application, the DOE will only review the last submission. This limitation does not prohibit an applicant from collaborating on other applications (e.g., as a potential subrecipient or partner) so long as the entity is listed as the prime applicant on only one application submitted under this NOFO.

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

1. Cost Share Requirements Cost sharing is encouraged but not required under this NOFO. Any cost sharing proposal must be included in the application. Applicants are bound by the cost share proposed in their application if selected for award negotiations.

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

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

D. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient

As long as they have no conflict, DOE and non-DOE FFRDCs may be proposed as a subrecipient on another entity’s application subject to the following guidelines:

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

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

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

Funding, Cost Share, and Subaward with FFRDCs The value of and funding for the FFRDC portion of the work will not normally be included in the award.

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

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

All DOE FFRDCs are required to enter into a Cooperative Research and Development Agreement4 (CRADA) or, if the role of the DOE FFRDC is limited to technical assistance and intellectual property is not anticipated to be generated from the DOE FFRDC’s work, a Technical Assistance Agreement (TAA), with at least the recipient. A fully executed CRADA or TAA must be in place or be compliant with a Master Scope of Work process prior to the FFRDC starting work directly allocable to the FA award.

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

The recipient will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to disputes and claims arising out of any agreement between the recipient and the FFRDC.

Limit on FFRDC Effort The effort by non-Universities and Colleges, in aggregate, shall not exceed 20% of the total project cost.5

E. Other Eligibility Requirements The following requirements must also be met:

• Must be a multi-institutional consortium project.

4 A cooperative research and development agreement is a contractual agreement between a national laboratory contractor and a private company or university to work together on research and development. For more information, see https://www.energy.gov/gc/downloads/doe-cooperative-research-and-development-agreements5 Total project cost is the sum of the government share, including FFRDC costs if applicable, and the recipient share of project costs.

5 Total project cost is the sum of the government share, including FFRDC costs if applicable, and the recipient share of project costs.

https://www.energy.gov/gc/downloads/doe-cooperative-research-and-development-agreements

• 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 and College 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.

Section III: Program Description

III. Program Description

A. Program Purpose 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 NOFO is in addition to the other NE Infrastructure investments and seeks a more holistic approach to improving U.S. university R&D capabilities.

B. Program Goals and Objectives The intent of this NOFO is to award approximately one (1) grant, for up to four (4) years, to a consortium consisting of universities, national laboratories, industry partners and/or other stakeholders. The consortia must be university led.

The consortia project shall establish and/or enhance nuclear research capabilities at U.S. universities and colleges, 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 the inclusion of underrepresented communities.

This NOFO does not provide any funds for the planning and/or construction of new university nuclear reactors.

It should be noted that 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.

• 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.

C. Expected Performance Goals Projects proposed under the Infrastructure Revitalization NOFO 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 clearly demonstrate the connection among requested pieces of equipment or other project elements toward a key objective or outcome.

NE reserves the right to respond to potential shifts in priorities during FY 2025 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 NOFO.

D. Applications Specifically Not of Interest The following types of applications will be deemed nonresponsive and will not be reviewed or considered (Please also refer to the Responsiveness Review section below):

• Applications that fall outside the technical parameters specified in the Program Goals and Objectives section above

• Applications that do not describe a consortium-style approach to revitalize existing university nuclear research infrastructure

• Applications including several uncorrelated equipment procurement, installation and/or upgrade requests

• Applications that describe performing actions that result in duplicating existing capabilities

• Applications involving the planning or construction of new university nuclear reactors will not be considered

• Applications including costs for the following activities will not be allowed:

o Routine operation and maintenance of equipment o Upgrades to increase operational profit or support for commercial activities o Indirect costs for the 50% of the budget that must go to equipment and upgrades (e.g., physical infrastructure/equipment)

• Applications focused specifically in areas not of interest to the NE mission, such as fusion energy, medical physics, nuclear forensics, or environmental management

E. Statutory Authority The programmatic authorizing statute is Section 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 apply to this NOFO.

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

F. Energy, Equity and Environmental Justice Considerations The Office of Nuclear Energy (NE) is committed to advancing environmental justice as a core component of our mission. Executive Order 14096, Revitalizing Our Nation's Commitment to Environmental Justice for All, underscores our responsibility to integrate environmental justice into every aspect of our work at

NE.

As part of our efforts to integrate environmental justice into our work and in compliance with Executive Order 14008, Tackling the Climate Crisis at Home and Abroad, which established the Justice40 https://www.whitehouse.gov/environmentaljustice/justice40/

Initiative,6 the Office of Nuclear Energy (NE) strives to contribute to the President’s goal that 40% of the overall benefits of certain Federal investments – including investments in clean energy and energy efficiency; clean transit; affordable and sustainable housing; training and workforce development; the remediation and reduction of legacy pollution; and the development of clean water infrastructure – flow to disadvantaged communities that are marginalized by underinvestment and overburdened by pollution. The goal is to spur economic development and job creation in disadvantaged communities throughout the U.S., 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 Council on Environmental Quality (CEQ) developed the Climate and Economic Justice Screening Tool (CEJST) tool to identify disadvantaged communities. CEJST can be found at https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5.7 Applicants are encouraged to use CEJST to illustrate how their project supports disadvantaged communities.

NE also strives to advance energy justice through effective teams and/or partnerships with Historically Black Colleges and Universities (HBCUs), Tribal Colleges and Universities (TCUs) and other Minority- Serving Institutions (MSIs). 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. The Office of Science has compiled a similar list of institutions: https://science.osti.gov/grants/Applicant-and-Awardee-Resources/Institution- Designations. These lists are not meant to represent an exhaustive summary of MSIs but will be used as a starting point for self-identifying MSIs. If applicants believe that their institution qualifies as an MSI and is not identified in either of these lists, please contact neup@inl.gov with an explanation for how the university meets the conditions of being considered an MSI.

Applicants are encouraged to describe how the establishment of their consortia will develop resources and programming that will specifically support disadvantaged communities and/or MSIs.

What is a Disadvantaged Community?

According to Executive Order 14008, a disadvantaged community is one that has been historically marginalized 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, or if they are a Federally Recognized Tribe whether or not they have land as defined by the White House Council on Environmental Quality (CEQ) Climate and Economic Justice Screening Tool (CEJST), https://screeningtool.geoplatform.gov/en/.

What is an underrepresented community?

6 Established by Executive Order 14008 on Tackling the Climate Crisis at Home and Abroad, the Justice40 Initiative sets the goal that 40% of the overall benefits of certain federal investments in climate, clean energy, and other areas flow to disadvantaged communities that are marginalized by underinvestment and overburdened by pollution. Consistent with Justice40 guidance, M- 21-28 and M-23-09, DOE recognizes disadvantaged communities as the census tracts defined and identified as disadvantaged by the Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/, as well as all Federally Recognized Tribes (whether or not they have land).

7 OMB, CEQ, & CPO, M-23-09, Addendum to the Interim Implementation Guidance for the Justice40 Initiative, M-21-28, on using the Climate and Economic Justice Screening Tool (CEJST) (Jan. 27, 2023), https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf.

https://www.whitehouse.gov/environmentaljustice/justice40/ https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5 https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html#tips.

https://science.osti.gov/grants/Applicant-and-Awardee-Resources/Institution-Designations https://science.osti.gov/grants/Applicant-and-Awardee-Resources/Institution-Designations mailto:neup@inl.gov mailto:neup@inl.gov https://screeningtool.geoplatform.gov/en/ https://www.federalregister.gov/documents/2021/02/01/2021-02177/tackling-the-climate-crisis-at-home-and-abroad https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://screeningtool.geoplatform.gov/ https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf

According to the Equity Executive Orders: 13985, 14020, and EO 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 U.S.

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 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 Americans to pursue careers in energy and support their advancement into leadership positions.

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

https://ncses.nsf.gov/pubs/nsf23315/report https://www.energy.gov/articles/introducing-minorities-energy-initiative

Section IV: Application Content and Form

IV. Application Content and Form

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

A. Summary The application process includes one submission phase: Full Application. Neither letters of intent nor concept papers are required.

Application Submission Phase Eligibility for Submission

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

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

1. Covered Individual Definition, Designation, and Responsibility Several of the Application Content Requirements listed below and in the NOFO Part 2 are required of covered individuals.

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

DOE designates as covered individuals any principal investigator (PI); project director (PD); co-principal investigator (Co-PI); co-project director (Co-PD); project manager; and any individual regardless of title that is functionally performing as a PI, PD, Co-PI, Co-PD, or project manager. Status as a consultant, graduate (master’s or PhD) student, or postdoctoral associate does not automatically disqualify a person from being designated as a “covered individual” if they meet the definition in (a) above.

The applicant is responsible for assessing the applicability of (a) above, against each person listed on the application. Further, the applicant is responsible for identifying any such individual to DOE for designation as a covered individual, if not already designated by DOE as described above.

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

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

2. Summary of Application Requirements

Component File Format

Page Limit

File Name

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

Application for Federal Assistance

(SF-424)

PDF n/a FY25 SF424 [Tracking ID#].pdf

Research & Related Other Project Information

PDF n/a FY25 R&R Other [Tracking ID#].pdf

Project Summary/Abstract File PDF 2 pages FY25 Summary Abstract [Tracking ID#].pdf

Project Summary Slide PDF 1 page FY25 Summary Slide [Tracking ID#].pdf

Technical Volume PDF 25 pages

FY25 Technical Volume [Tracking ID#].pdf

Resumes (Research and Development (R&D))

PDF 3 pages each

FY25 CV [Last Name] [Tracking ID#].pdf

Current and Pending Support (for each covered individual)

PDF n/a FY25 CPS [Tracking ID#].pdf

Benefit of Collaboration PDF 4 pages FY25 BOC [Tracking ID#].pdf Required Infrastructure Capabilities PDF 5 pages FY25 Capabilities [Tracking

ID#].pdf Letters of Commitment and Support PDF 1 page each FY25 Letters [Tracking ID#].pdf

Impacted Indian Tribes Documentation PDF n/a FY25 Impacted Indian Tribes [Tracking ID#].pdf

Research and Related (R&R) Lead Budget Form

MS Excel n/a FY25 RR Budget [Tracking ID#].xlsx

Budget Justification PDF n/a FY25 Budget Justification [Tracking ID#].pdf

Vendor Quotes PDF n/a FY25 Vendor Quotes [Tracking ID#].pdf

Subrecipient Budget Form MS Excel n/a FY25 Subrecipient Budget [Tracking ID#].xlsx

Subrecipient Budget Justification MS Excel n/a FY25 Subrecipient Budget [Tracking ID#].pdf

Work Proposal for DOE FFRDC PDF n/a FY25 FFRDC [Tracking ID#].pdf Authorization for Non-DOE or DOE FFRDCs

PDF n/a FY25 CO Authorization [Tracking ID#].pdf

Coordination and Management Plan PDF n/a FY25 CMP [Tracking ID#].pdf

Lobbying Activities PDF n/a FY25 SF-LLL [Tracking ID#].pdf Community Benefits Plan for Research and Development (R&D) (Optional)

PDF 5 pages FY25 CBP [Tracking ID#].pdf

Community Partnership Documentation (If Applicable)

PDF 1 page each

FY25 CPD [Tracking ID#].pdf

Transparency of Foreign Connections PDF n/a FY25 TCF [Tracking ID#].pdf Potentially Duplicative Funding Notice PDF n/a FY25 PDFN [Tracking ID#].pdf Project/Performance Site Location(s) PDF n/a FY25 Site Location [Tracking

ID#].pdf

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

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

The Technical Volume to the application may not be more than 25 pages, including the cover page, table of contents, and all citations, charts, graphs, maps, photos, or other graphics, and must include all information below. The applicant should consider the weighting of each of the technical review criteria (see Technical Review Criteria) when preparing the Technical Volume.

The Technical Volume should clearly describe and expand upon information provided in the concept paper.

Technical Volume Content Requirements Overview

Section Approximate Percent Content of the Technical Volume

Cover Page N/A

Project Overview 10%

Technical Description, Innovation, and Impact 30%

Workplan 40%

Technical Qualifications and Resources 20%

Cover Page:

The cover page must include all of the following:

• The project title

• Specific NOFO topic areas (if applicable)

• Technical and business POCs

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

• The project location(s)

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

• Senior/key personnel and other covered individuals

• Statements regarding confidentiality

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

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

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

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

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

• Relevance and Outcomes: The applicant should provide a detailed description of the technology or focus area, including the scientific and other principles and objectives that will be pursued during the project. This section should describe the relevance of the proposed project to the goals and objectives of the NOFO, including the potential to meet specific DOE technical targets or other relevant performance targets. The applicant should clearly specify the expected outcomes of the project.

• Feasibility: The applicant should demonstrate the technical feasibility of the proposed technology and capability of achieving the anticipated performance targets, including a description of previous work done and prior results. This section should also address the project’s access to necessary infrastructure (e.g., transportation, water, electricity transmission), including any use of existing infrastructure, as well as to a skilled workforce.

• Innovation and Impacts: The applicant should describe the current state-of-the-art in the applicable field, the specific innovation of the proposed technology or focus area, the advantages of proposed technology over current and emerging technologies, and the overall impact on advancing the state-of-the-art/technical baseline if the project is successful.

Workplan (Approximately 40% of the Technical Volume) The Workplan should include a summary of the Project Objectives, Technical Scope, Work Breakdown Structure (WBS), Project Tasks, Milestones, and project schedule. The Workplan should contain the following information:

• Project Objectives: The applicant should provide a clear and concise (high-level) statement of the goals and objectives of the project as well as the expected outcomes.

• Technical Scope Summary: The applicant should provide a summary description of the overall work scope and approach to achieve the objective(s). The applicant should describe the specific expected end result of each performance period, including milestones in the Community Benefits Plan, if applicable.

• WBS and Task Description Summary: The Workplan should describe the work to be accomplished and how the applicant will achieve the milestones, will accomplish the final project goal(s), and will produce all deliverables. The Workplan is to be structured with a hierarchy of performance period (approximately annual), task and subtasks, which is typical of a standard WBS for any project. The Workplan shall contain a concise description of the specific activities to be conducted over the life of the project. The description shall be a full explanation and disclosure of the project being proposed (i.e., a statement such as “we will then complete a proprietary process” is unacceptable). It is the applicant’s responsibility to prepare an adequately detailed task plan to describe the proposed project and the plan for addressing the objectives of this NOFO.

• Milestone Summary: A milestone may be either a progress measure (which can be activity based) or a SMART technical milestone. SMART milestones should be Specific, Measurable, Achievable, Relevant, and Timely, and must demonstrate a technical achievement rather than simply completing a task. Unless otherwise specified in the NOFO, the minimum requirement is that each project must have at least one milestone per quarter for the duration of the project with at least one SMART technical milestone per year (depending on the project, more milestones may be necessary to comprehensively demonstrate progress). The applicant should also provide the means by which the milestone will be verified.

• End of Project Goal: The Workplan should include a summary of the end of project goal(s). At a minimum, each project must have one SMART end of project goal.

• Project Schedule (Gantt Chart or similar): The applicant should provide a schedule for the entire project, including task and subtask durations, and any milestones.

• Build America Buy America (BABA) Requirements for Infrastructure Projects: Within the first two pages of the Workplan, include a short statement on whether the project will involve the construction, alteration, maintenance and/or repair of public infrastructure in the U.S. See Build America, Buy America | Department of Energy and 2 CFR 184 for applicable definitions and other information regarding Infrastructure Projects and the Buy America Requirement.

• Project Management: The applicant should discuss the team’s proposed management plan, including the following:

o The overall approach to and organization for managing the work;

o The roles of each project team member;

o Any critical handoffs/interdependencies among project team members;

o The technical and management aspects of the management plan, including systems and practices, such as financial and project management practices;

o The approach to project risk management, including a plan for securing a qualified workforce and mitigating risks to project performance including but not limited to community or labor disputes or conflicts related to siting;

o Approach to addressing permits and tory approvals, including compliance with any current permits, and any permits and natural or cultural resource issues that could require discretionary permits or approvals;

o A description of how project changes will be handled;

o If applicable, the approach to Quality Assurance/Control;

o How communications will be maintained among project team members.

• Market…