REVISED NOFO DE-FOA0003437 ( MOD-0001-13FEB2025).pdf

DEPARTMENT OF ENERGY

NATIONAL NUCLEAR SECURITY ADMINISTRATION

OFFICE OF DEFENSE NUCLEAR NONPROLIFERATION

NUCLEAR SCIENCE AND ENGINEERING CONSORTIUM

FOR NONPROLIFERATION

NOTICE OF FUNDING OPPORTUNITY ANNOUNCEMENT (NOFO)

NUMBER: DE-FOA-0003437

NOFO TYPE: NEW AND RENEWAL

ASSISTANCE LISTING NUMBER: 81.113

NOFO Issue Date: January 02, 2025

NOFO Modification-0001 February 13, 2025

Applications Submission Deadline (Mandatory) April 04, 2025

Anticipated Selection Notifications September 16, 2025

Estimated Award Date June 24, 2026

*Full applications are due at 11:59 PM ET (or 2359 ET) on their respective deadlines.

NUCLEAR SCIENCE AND ENGINEERING CONSORTIUM FUNDING OPPORTUNITY: DE-FOA-NA0003437

TABLE OF CONTENTS

SECTION I – FUNDING OPPORTUNITY DESCRIPTION

A. PROGRAM DESCRIPTION

B. PRIMARY PURPOSE AND BACKGROUND

C. INTEGRATION WITH DNN R&D NEEDS

D. STATUTORY AUTHORITY

E. APPLICABLE REGULATIONS AND GUIDANCE

F. UNCLASSIFIED…

G. MISSION AREA REQUIREMENTS

H. COLLABORATION WITH DOE/NNSA NATIONAL LABORATORIES

I. LETTER OF SUPPORT FROM APPLICANT’S VICE PRESIDENT FOR RESEARCH

SECTION II – AWARD INFORMATION

A. AWARD INSTRUMENT

B. ESTIMATED FUNDING

C. AWARD SIZE

D. EXPECTED NUMBER OF AWARDS

E. PERIOD OF PERFORMANCE

F. TYPE OF APPLICATION

G. SELECTED APPLICANT REQUIREMENTS

SECTION III – ELIGIBILITY INFORMATION

A. APPLICANTS

B. PRINCIPAL INVESTIGATORS

C. RESTRICTED ELIGIBILITY

D. COST SHARING

E. PROGRAM INCOME

F. UNCLASSIFIED WORK

SECTION IV – APPLICATION AND SUBMISSION INFORMATION 18

A. APPLICATION (MANDATORY)

B. GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES (MANDATORY)

C. APPLICATION (MANDATORY)

D. SUBMISSION DATES AND TIMES

NUCLEAR SCIENCE AND ENGINEERING CONSORTIUM FUNDING OPPORTUNITY: DE-FOA-NA0003437

SECTION V - APPLICATION REVIEW INFORMATION

A. CRITERIA

B. APPLICATION ELIGIBILITY – COMPETITIVE APPLICATION REVIEW PROCESS

C. COMPREHENSIVE MERIT REVIEW

D. MERIT REVIEW CRITERIA

E. PROGRAM POLICY REVIEW

F. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY

G. ANTICIPATED SELECTION OF AWARD

H. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES

SECTION VI – FEDERAL AWARD ADMINISTRATION INFORMATION

A. AWARD NOTICES

B. NOTICE OF AWARD: COOPERATIVE AGREEMENT

C. TERMS, CONDITIONS, AND REQUIREMENTS

SECTION VII - QUESTIONS/AGENCY CONTACTS

A. QUESTIONS

B. AGENCY CONTACTS

C. UNAUTHORIZED COMMUNICATION

D. OTHER PERTINENT RESOURCES

Attachment 1. Applicant and Subapplicant Required Forms – For Reference Only

Attachment 2. DOE National Laboratories – For Reference Only

Attachment 3: Policy Provisions

Attachment 4. Administrative and National Policy Requirements

Attachment 5: Glossary of Terms and Conditions

Attachment 6: Reference Materials - WEBLINKS

NUCLEAR SCIENCE AND ENGINEERING CONSORTIUM FUNDING OPPORTUNITY DE-FOA-NA0003437

SECTION I – FUNDING OPPORTUNITY DESCRIPTION

A. PROGRAM DESCRIPTION

The U.S. Department of Energy, National Nuclear Security Administration (DOE/NNSA), Office of Defense Nuclear Nonproliferation Research and Development (DNN R&D) drives innovative research that develops technologies and expertise to detect foreign nuclear proliferation activities and produces technologies for integration into operational systems by leveraging capabilities at the DOE National Laboratories, Plants, and Other Field Sites, as well as at universities and within private industry. DNN R&D supports U.S. nuclear security objectives to reduce global nuclear security threats through the innovation of unilateral and multi-lateral technical capabilities to detect, identify, and characterize:

1. Foreign nuclear weapons development activities.

2. Illicit diversion of special nuclear materials.

3. Nuclear explosions globally.

Additionally, DNN R&D sustains and develops foundational nonproliferation technical capabilities by providing targeted, long-term support for enabling infrastructure, science and technology, and an expert workforce.

For DNN R&D, the role of Institutions of Higher Education (as defined in Section III) is to innovate, develop, and prove some of the most challenging basic aspects of new technology and methods in coordination with the DOE National Laboratories, which can in turn fulfill their unique role to perform mission-specific research and development that improves on capabilities until they are either adopted by operational enterprises or transitioned into private industry for commercialization. Transparency and effectively linking the roles of these Institutions of Higher Education (IHEs) and DOE National Laboratories represents the core of how DNN R&D proposes to meet its objectives.

The DOE NNSA Office of Defense Nuclear Nonproliferation Research and Development (DNN R&D) Notice of Funding Opportunity (NOFO), DE-FOA-0003437, and succeeding awarded agreements, are made possible from NNSA’s statutory authority, and are managed by applicable guidance, regulations, and laws.

Throughout this document, the term DOE National Laboratories is used to collectively refer to DOE National Laboratories, Plants, Other Field Sites, and complexes.

B. PRIMARY PURPOSE AND BACKGROUND

The primary purpose of this opportunity is to direct-fund basic research at universities that complements applied research in nuclear nonproliferation at the DOE National Laboratories. This includes foundational disciplines of nuclear physics, science and engineering, radiation detection, nuclear material science, radiochemistry, and mass spectrometry. A secondary benefit to this research is the development of a diverse and highly talented cadre of technical professionals, including as scientists, engineers, technicians, and operational personnel, who become the next generation of technical leaders in nuclear missions, such as nonproliferation, arms control, incident response, intelligence, and energy. These professionals are expected to primarily benefit the DOE National Laboratories as future research staff but will also benefit academia, private industry, and U.S. government agencies, including Energy, State, Defense, Homeland

Security, Justice, and the Intelligence Community.

The intent of this NOFO is to award one (1) five-year cooperative agreement to a consortium consisting of accredited IHEs to provide the opportunity to receive and administer Federal financial assistance funds for student and faculty research, fellowships, and scholarship funding awarded by DOE/NNSA, DNN R&D.

The envisioned cooperative agreement will be awarded to a consortium of IHEs which will include the participation of DOE National Laboratories as consortium-member(s). Individual IHEs consortium-member shall make specific contributions and shall receive specified portions of the funding.

The consortium may include student and research fellows and must have a long-term objective of building expertise in scientific disciplines directly relevant to nuclear nonproliferation. Research results should be incorporated readily into IHE curricula. Students, faculty, and researchers must be able to work unencumbered while moving across organizational and bureaucratic boundaries of the academic and governmental facilities engaged in the consortium, while properly protecting critical information and materials. The consortium should establish reciprocal DOE National Laboratory arrangements between the lead IHE and other IHEs as well as relationships with appropriate DOE National Laboratories (See Attachment 2).

C. INTEGRATION WITH DNN R&D NEEDS

Integration of the research and development efforts provides the technical base for U.S. security agencies to meet their nonproliferation, counterproliferation, and counterterrorism responsibilities.

Sponsored research at the DOE National Laboratories conducted by small businesses and the academic community are leveraged to ensure the advancement of research. New research results and challenges continually emerge from the U.S. Government’s nuclear nonproliferation needs; thus, the management plan must detail innovative ideas with formal mechanisms for leveraging these capabilities. Where topically appropriate, DNN R&D encourages collaboration and innovative thinking across all nuclear science disciplines to develop technologies and approaches that will advance its mission.

DNN R&D management expects to be an active partner in the award. Therefore, the recipients and subrecipients will participate in DNN R&D’s annual University Program Review (UPR) and should budget accordingly. In addition to the participation, periodic assessments are conducted by DNN R&D to verify progress towards meeting the proposed topical/focus areas and applicable milestones. These assessments focus on but are not limited to the IHE's effective and efficient use of provided resources;

maintaining nonproliferation-related disciplines through research and development; and conducting work pertinent to current and emerging nonproliferation activities.

D. STATUTORY AUTHORITY

• Atomic Energy Act of 1954, as amended, Section 31, Public Law 83-703, 68 Stat. 919, 42 U.S.C.

• Energy Reorganization Act of 1974, Title 1, Section 107, Public Law 93-438, 88 Stat. 1240, 42 U.S.C.

• Federal Nonnuclear Energy Research and Development Act of 1974, Public Law 93-577;

Department of Energy Organization Act of 1977, as amended, Public Law 95-91, 42 U.S.C. 7101

et. seq.

E. APPLICABLE REGULATIONS AND GUIDANCE

Applicable regulations and guidance include, but is not limited to the following:

• Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, codified at 2 CFR 200.

• U.S. Department of Energy Financial Assistance Requirements, codified at 2 CFR 910.

• Department of Energy – Guide to Financial Assistance.

F. UNCLASSIFIED

All projects funded through the Office of Defense Nuclear Nonproliferation program announcement are required to be unclassified.

Reminders:

• The Technical Project Officer (TPO) and Grant Officer are the only NNSA federal staff members that are allowed to provide direction on the Nuclear Science and Engineering Consortium awarded cooperative agreements.

• Appropriated funds for the use under the cooperative agreement may not be used to pay for any

DOE NNSA staff to include those staff members of a DOE National Laboratory.

G. MISSION AREA REQUIREMENTS

For DNN R&D, the role of IHEs is to innovate, develop, and demonstrate some of the most challenging basic aspects of new technology and methods in coordination with the DOE National Laboratories that in turn fulfill their unique role to perform mission-specific research and development that improves on capabilities until they are either adopted by operational enterprises or transitioned into private industry for commercialization. Transparency and effectively linking the roles of these IHE and DOE National Laboratories enables the attainment of DNN R&D’s objectives. To lead the investment in research and development of new technologies in support of the Nation’s nuclear security and nonproliferation goals, DNN R&D sponsors research and development across all disciplines of nuclear science and security.

A successful consortium must be comprised of a rich collaborative environment between university members, their student and faculty researchers, and the DOE National Laboratory scientists and staff. This environment should have a priority on building skill sets in the critical nuclear disciplines such as:

• nuclear physics, science and engineering

• radiation detector science

• nuclear material science

• nuclear chemical engineering

• computational and optimization methods for nuclear applications

Therefore, the proposed consortium must address:

• Producing research results in nuclear science or engineering of a basic or fundamental nature.

• Achieving the original congressional goals to support the continued development of the nuclear engineering and science disciplines.

• Enabling collaborative research relationships between universities, the DOE National

Laboratories, and other government agencies.

• Transitioning basic science and technology from universities to U.S. government applications.

• Motivating talented researchers toward careers in universities, the DOE National Laboratories, and government agencies with nuclear missions.

The application must contain:

• A minimum of three other university partners who meet the above definition of IHE as consortium members. An integrated approach to the work will be essential in tackling the proposed tasks under the consortium. The lead university is discouraged from including an overly large number of loosely connected university partners.

• A minimum of one or more DOE National Laboratories as consortium members in accordance with the “Other Eligibility Requirements” under Section III. It is essential that the IHEs engage DOE National Laboratory partners early in application development to forge a connection to collaborate on future work and have unique and innovative approaches to accomplish proposed tasks.

The proposed consortium may focus on other concepts and support:

• Creation of early-career professorial fellowships relating to nuclear science and engineering to include research support funds.

• Post-doctoral research fellowships relating to nuclear science and engineering, including nonproliferation research at DOE National Laboratories.

• Undergraduate basic research internships and graduate research fellowships relating to nuclear science and engineering.

• Improvements to university and college infrastructures for conducting basic research and development relating to nuclear science and engineering.

• Incorporation of outcomes of sponsored research into continuous nuclear science and engineering expertise development improvement (e.g. curriculum improvements).

H. COLLABORATION WITH DOE/NNSA NATIONAL LABORATORIES

The consortium is required to collaborate with DOE National Laboratories. The IHE’s prime applicant (lead) Principal Investigator (PI) must contact the Grants Officer immediately should they have any concerns or issues with any required or optional collaboration.

IHEs must engage with DOE National Laboratories as early as possible in their application process.

Universities are encouraged to engage with a moderate number of well-considered DOE National Laboratories identifying specific areas of collaboration rather than simply providing generic support partnership letters to the proposed consortium. The DOE National Laboratory members will leverage existing DNN R&D funding to support involvement – including any mentoring – to the extent it delivers mutual benefit. DNN R&D will provide management consortium support funds directly to DOE National Laboratory team members (as done for previous consortia awards) to assist in managing the Laboratory- University interactions and manage student and faculty rotations with the DOE National Laboratory.

The consortium should include student and early career research fellowships and have a long-term vision to build expertise in nuclear security and nonproliferation. Students, faculty, and researchers must be able to work unencumbered across organizational and bureaucratic boundaries of the academic and governmental facilities engaged in the consortium, while properly protecting critical information and materials. Thus, the consortium should establish reciprocal arrangements between the home academic institution and other degree-granting institutions as well as relationships with appropriate DOE National Laboratories.

DOE National Laboratory Rotations Postdoctoral (U.S. citizens and permanent residents) will be expected to conduct a lab/site/complex rotation with one of the partner DOE National Laboratories. A reasonable number of professors should expect to participate via a short detail, 4-8 weeks, at a Laboratory with their student(s). The intent is to motivate professor and student teams to forge new collaborative relationships with the DOE National Laboratories and provide access to varying degrees of professional knowledge, application, and equipment resources. Universities should plan accordingly and budget to participate in these rotations. In addition, cost efficiencies for travel should be considered for long-term stays (e.g., 4-8 weeks). For example, hotels similar to Extended Stay America at Affordable Short & Long-Term Hotels | Extended Stay America may offer better daily rates for longer stays (e.g., 4-8 weeks) than standard hotels or standard lodging per diem rates on GSA Travel.

Collaboration with DOE National Laboratories The collaborations with DOE National Laboratories may include but is not limited to DOE/NNSA staff serving in ancillary activities such as guest lectures or on doctoral committees; mentoring students and staff; and presenting congruent topics at symposia or workshops. Because NNSA staff are held to specific Code of Ethics and even NNSA staff may need to obtain approval by NNSA Office of the General Counsel to serve or collaborate in some requested areas.

While DOE National Laboratory staff may mentor the consortium’s participants (staff and students), DOE/NNSA staff are not authorized to perform any portion of the technical work or research authorized in the awards under this NOFO.

For all collaboration activities that have associated travel, applicants should use their entity’s travel and per diem policy when requesting the funding. If an entity does not have a travel per diem policy, they may use GSA’s guidelines for per diem rates which can be found at, https://www.gsa.gov/policy-regulations/policy/travel-management-policy-overview. The budget justification must reflect each cost requested.

DOE National Laboratories DOE National Laboratories are not eligible to compete as the prime or subapplicant under this NOFO;

however, each lead IHE application must propose one or more DOE Laboratories as collaborators subject to the below guidelines.

Authorization for DOE National Laboratories participation: The cognizant Contracting Officer for the DOE National Laboratory must authorize in writing the participation of the DOE National Laboratory(s) on the proposed project and this authorization is requested at selection and must be submitted upon request.

Further, collaboration letters from the collaborating DOE National Laboratory employee(s) must be submitted with the application to include a statement that no grant funds will be provided to the lab and/or site/complex from the awarded cooperative agreement.

https://www.extendedstayamerica.com/ https://www.extendedstayamerica.com/ https://www.gsa.gov/policy-regulations/policy/travel-management-policy-overview https://www.gsa.gov/policy-regulations/policy/travel-management-policy-overview

The following language is acceptable for the cognizant Contracting Officer authorization and may be used when selected and upon request:

"Authorization is granted for the [Name] Laboratory and/or Site/Complex to participate in the proposed project. The work proposed for the laboratory and/or Site/Complex is consistent with or complimentary to the missions of the laboratory and/or site/complex, will not adversely impact execution of the DOE/NNSA assigned programs at the laboratory and/or site/complex, and will not place the laboratory and/or site/complex in direct competition with the domestic private sector."

The portion of the effort to be performed by all DOE National Laboratory’s collaborators in aggregate shall not approach or exceed 50% of the total effort. In addition, the DOE National Laboratories’ effort should be well thought out rather than having all labs and/or site/complexes issue generic partnership letters to all university applicants. The intent is that the DOE Laboratories may not play a role comprising most of the teaming arrangement and work effort.

DOE National Laboratories are to provide a Draft of the Authorization discussed above and a Field Work Proposal in accordance with the Work Authorization System or NNSA SD 412.1, Work Authorizations as applicable, Work Authorization System with the lead university consortium application, and a Final to be submitted 30-45 days from notice of selection. This authorization is sought by and submitted by the Prime Applicant.

Funding for any work being done by a DOE National Laboratories will be funded directly by the program office. This funding will be transmitted to the laboratory via an internal Work Authorization Implementation Plan (IP) process. The amount of funds that a laboratory uses in teaming with the IHE will not be factored into the IHE’s total award amount.

• Value/Funding: The value of, and funding for, the DOE National Laboratories’ portion of the work should not be included in the prime IHEs proposed budget.

NNSA will examine the continuity and consistency of program objectives and assure that the objectives are responsive to all disciplines of nuclear science and security needs of NNSA and the nation. NNSA members will include the Program Manager and other senior NNSA officials as required.

The Proliferation Detection Office, as a part of DNN R&D, will directly fund the DOE National Laboratories to support the consortium. The funding will be resourced in accordance with a Life Cycle Plan (LCP) to be submitted by each participating DOE National Laboratory. The consortium can freely discuss participation with their DOE National Laboratory partners, but the Program Office retains control of funding and scope.

• Collaborative DOE National Laboratories will facilitate coordination of research between National Laboratories and the consortium.

• Laboratory employees may rotate through the IHE to aid in research and the laboratory will cover their associated fees that may include per diem, lodging, and travel expenses.

The following DOE/NNSA Roles and Responsibilities are not all-inclusive but are being highlighted to better define the expectations of participant organizations. Upon selection, the following will be added to the consortium’s award:

https://directives.nnsa.doe.gov/news/revcom-sd-412-1-work-authorizations

• DOE/NNSA will participate in overall program management of the Consortium and is primarily represented by the NNSA Program Manager. The Program Manager coordinates the activities of IHE with Headquarters and the Grants Officer.

• The DOE/NNSA Program Manager reviews all deliverables and reviews/recommends approval of any other changes on the Cooperative Agreement to the Grant Officer.

• The DOE/NNSA Program Manager also reviews, recommends, and submits a Purchase Requisition (PR) to the Grant Officer for annual incremental funding on the Cooperative Agreement and assures orderly progression of work from year-to-year which is referred to as the Continuation Application and included in the Terms and Conditions of the Cooperative Agreement.

Consortium Role and Responsibilities Consortium professor/student teams may detail to a DOE National Laboratory collaborator for forging new relationships and conducting research and the IHE will cover all associated fees that may include stipends, tuition, per diem, lodging and travel expenses.

Responsibility of Successful Applicant (Lead IHE) The selected applicant of the award (Prime or lead university) is the lead or prime recipient, and responsible for managing the entire scope, schedule, and cost of the project, to include all reporting. The selected Prime (lead) applicant 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 applicant and the DOE National Laboratories and other consortium members.

This cooperative agreement will ONLY provide funding to the university members of the consortium. The DOE National Laboratory members will leverage existing DNN R&D funding to support involvement – including any mentoring – to the extent it delivers mutual benefit. DNN R&D will provide management consortium support funds directly to DOE National Laboratory team members (as done for previous consortia awards) to assist in managing the laboratory-University interactions, managing:

• IHE Credit for Student: The lead IHE and consortium members should establish a program to acknowledge students who participate in DOE National Laboratory stints and working with DOE National Laboratory mentors. This can be done at the discretion of the IHE; for example, by providing a one semester credit or internship for that student.

• Eligible Students for Direct Benefit: Students who are directly funded and/or provided benefit by assisting with research and associated projects should be in their junior year or beyond for undergraduate academic studies or a graduate student who is pursuing studies toward a subject pertaining to the topic(s) being supported by their group. The program will periodically request corroborating eligibility data when assembling metrics and various internal reports.

I. LETTER OF SUPPORT FROM APPLICANT’S VICE PRESIDENT FOR RESEARCH

Applicants are required to include a letter of support from the applicant’s Vice President for Research, or someone in a comparable position, which affirms the proposed Consortium will comply with the following performance requirements:

• The IHE’s Prime (Lead) Principal Investigator and all personnel on the award will actively participate in an annual meeting with NNSA staff involved with Nuclear Science and Engineering Consortium on an DNN R&Ds Annual University Program Review (UPR) and interface with the DOE National Laboratories.

• The Principal Investigator will provide a minimum of an annual progress report that describes key advances in their scientific discipline and/or enabling technology development, and other issues, in addition to responses to the recommendations of the annual consortium review meetings.

Reports will include the consortium’s technical goals for the coming year and provide an updated project plan, as appropriate.

• The Prime (Lead) awarded entity will be held responsible for managing the entire scope, schedule, and cost of the project, to include all financial and program reporting, per DOE F-4600.2, Federal Assistance Reporting Checklist and Instructions.

• The Prime (Lead) will provide a list of major items of equipment already available to the personnel on the application/award as well as annually provide a list of any new items of equipment purchased through this award.

SECTION II – AWARD INFORMATION

A. AWARD INSTRUMENT

DOE/NNSA will award a cooperative agreement under this NOFO. DOE/NNSA seeks a multi-institution team submitted as a prime and subaward model with one application submitted by the lead institution (prime applicant). For definition of an cooperative agreement, please see 2 CFR 200.1.

DOE/NNSA will be substantially involved with each awarded Consortium and will collaborate with each recipient in evaluating, accepting, and achieving proposed milestones. The DOE/NNSA Federal Technical Project Officer will provide technical direction to the overall program, as well as the individual program elements as it is determined to be necessary and appropriate by DOE/NNSA. DOE/NNSA subject matter experts will meet with recipients at least annually to provide set-aside time to collaborate and exchange ideas and best practices. DOE/NNSA will also have the right to have DOE National Laboratories perform independent tests and evaluations of each cooperative agreement's deliverables to provide an additional measure of technical progress.

The DOE/NNSA Grants Officer/Specialist, and DOE/NNSA Federal Technical Project Officer will negotiate a Statement of Substantial Involvement with each selected Consortium and resulting cooperative agreement award recipient prior to award in respect to individual needs beyond what is listed above. The substantial involvement by DOE/NNSA under each Award will remain in effect for the term of the cooperative agreement unless otherwise amended in writing by the Grants Specialist/Officer. The statement of substantial involvement by DOE/NNSA does not increase the Department of Energy's liability under the Agreement award.

B. ESTIMATED FUNDING

Approximately $25,000,000 is available for a cooperative agreement for award under this NOFO. Funding for all awards and future budget periods are contingent upon the availability of funds appropriated by Congress for the purpose of this program and the availability of future-year budget authority.

DOE/NNSA will not provide funding for any costs associated with preparing or of work related to submission of an application and reserves the right to fund, in whole or in part, any, all, or none of the applications submitted in response to this NOFO.

NOTE: Federal funds, including any funds of current NNSA awards, are not allowed to be used to prepare or submission of an application under this NOFO.

C. AWARD SIZE

Maximum and Minimum Award Size Ceiling (i.e., the maximum amount for an individual award made under this NOFO): $25,000,000 and is expected to be available contingent upon the availability of funds for all five years for awards under this announcement.

It is expected that the award will be incrementally funded approximately $5 million per year and is expected to be available for an award under this announcement and is contingent upon the availability of appropriated funds.

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-A/subject-group-ECFR2a6a0087862fd2c/section-200.1

D. EXPECTED NUMBER OF AWARDS

DOE/NNSA anticipates making no more than one (1) award from this NOFO and is dependent on the availability of appropriated funds, the meritorious application, and other program policy factors. NNSA reserves the right to make no awards or to make fewer awards than would be possible at the grand-total level at its sole discretion.

E. PERIOD OF PERFORMANCE

DOE/NNSA anticipates making an award with an estimated project period of up to five (5) years from the date of award. The overall project duration will be subdivided into annual budget periods. Continuation funding (funding for subsequent budget periods, past year 1 of the base award) is contingent on the following: 1) availability of funds appropriated by Congress and future year budget authority; 2) substantial progress towards meeting the objectives of the approved Statement of Work; 3) submittal of required reports; and 4) compliance with the terms and conditions of the award.

DOE/NNSA anticipates notifying the applicants selected for award as per the NOFO Cover Page. The awards are estimated to be awarded as noted on the Cover Page of this NOFO, depending on availability of Federal government funds. DOE/NNSA anticipates making awards that will not exceed a 5-year period of performance.

F. TYPE OF APPLICATION

DOE/NNSA will accept new and renewal applications under this announcement. Renewal applications are requests for additional funding for a period after that provided by a current award. Renewal applications compete with all other applications and must be submitted by the established due date/deadline. In preparing a renewal application, applicants should assume that reviewers will not have access to previous applications.

The application whether a renewal or new application should be developed as fully and as thoroughly as is possible and as though the applicant is applying for the first time. The application must include all the information required for a new project as well as include within the project narrative element a discussion of the results from previous awards and whether there is a current funded award currently in process.

G. SELECTED APPLICANT REQUIREMENTS

The selected PRIME (Lead) recipient of the award is considered the lead university and responsible for managing the entire scope, schedule, and cost of the project, to include all reporting. This cooperative agreement will ONLY provide funding to the university members of the consortium.

SECTION III – ELIGIBILITY INFORMATION

A. APPLICANTS

In accordance with 2 CFR 910.126(b) and DNN’s mission, eligibility for award is restricted to U.S. Institutes of Higher Education (IHE), defined at 20 USC 1001: General definition of institution of higher education, with professional doctorate degrees.

Eligible Entities

For this funding opportunity, an applicant must be an IHE that offers programs for graduate students to earn professional doctorate degrees. It must be an IHE in any State, Federal District, or United States (U.S.)

territory that is a public or private nonprofit educational institution that:

• Is in a State.

• Admits as regular students only persons who

- Have a high school diploma.

- Have the recognized equivalent of a high school diploma; or

- Are beyond the age of compulsory school attendance in the State in which the institution is physically located.

• Is legally authorized to provide an educational program beyond secondary education in the State in which the institution is physically located.

• Provides an educational program —

- For which it awards an associate, baccalaureate, graduate, or professional degree.

- That is at least a two-academic-year program acceptable for full credit toward a baccalaureate degree; or

- That is at least a one academic year training program that leads to a certificate, or other non-degree recognized credential, and prepares students for gainful employment in a recognized occupation; and

- May provide a comprehensive transition and postsecondary program, as described in eCFR :: 34 CFR Part 668 Subpart O -- Financial Assistance for Students With Intellectual Disabilities; and is an accredited or pre-accredited entity; or approved by state agency listed in the FEDERAL REGISTER in accordance with eCFR :: 34 CFR Part 603 - Secretary's Recognition Procedures for State Agencies, if the institution is a public postsecondary vocational educational institution that seeks to participate only in Federal student assistance programs.

The following types of Higher Education Institutions are always encouraged to apply for NNSA support as Public or Private Institutions of Higher Education:

• Hispanic-serving Institutions

• Historically Black Colleges and Universities (HBCUs)

• Tribally Controlled Colleges and Universities (TCCUs)

• Alaska Native and Native Hawaiian Serving Institutions https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-B/section-910.126 https://uscode.house.gov/view.xhtml?req=granuleid:USC-2010-title20-section1001&num=0&edition=2010 https://www.ecfr.gov/current/title-34/subtitle-B/chapter-VI/part-668/subpart-O https://www.ecfr.gov/current/title-34/subtitle-B/chapter-VI/part-668/subpart-O https://www.ecfr.gov/current/title-34/subtitle-B/chapter-VI/part-668/subpart-O https://www.ecfr.gov/current/title-34/subtitle-B/chapter-VI/part-603

Restricted Eligibility Should an award result from this NOFO, the recipient must exercise ongoing due diligence to reasonably ensure that no individuals participating on the DOE/NNSA-funded project are participating in a Foreign Government-Sponsored Talent Recruitment Program of a Foreign Country of Risk. Consequences for violations of this prohibition will be determined according to applicable law, regulations, and policy.

Further, the recipient must notify the DOE/NNSA Federal Technical Project Officer and Grants Officer/Specialist within five (5) business days upon learning that an individual on the project team is or is believed to be participating in a foreign government talent recruitment program of a foreign country of risk.

DOE/NNSA may modify and add requirements related to this prohibition to the extent required by law.

NOTE: At the time of this NOFO publication, DOE/NNSA has designated the following countries as foreign countries of risk: Iran, North Korea, Russia, and China. This list is subject to change.

Federally Funded Research and Development Centers (FFRDC) Federally Funded Research and Development Centers (FFRDC) (both DOE National laboratories and other Federal Agency-Sponsored FFRDCs) are not eligible for a direct award under this NOFO. However, FFRDCs may participate as collaborators to:

• Promote and sustain scientific interactions between the academic community and scientists at the FFRDC Laboratories through exchange of information and/or personnel.

• Increase the availability of unique experimental facilities sited at the FFRDC Laboratories to the academic community, particularly for collaborations in areas of relevance to stockpile stewardship.

• Develop and maintain a long-term recruiting pipeline to the DOE/NNSA FFRDC’s by increasing the visibility of the DOE/NNSA scientific activities to the U.S. faculty and student communities.

NOTE: FFRDCs are not eligible to receive any funding under this NOFO.

B. PRINCIPAL INVESTIGATORS

Individuals with the skills, knowledge, and resources necessary to carry out the proposed research as a Principal Investigator (PI) are invited to work with their entity to develop an application. The Lead (Prime Applicant) is responsible for the submitting the application and coordinating with subapplicants.

Individuals from underrepresented groups and individuals with disabilities are encouraged to serve as PIs.

Co-PIs may serve under this NOFO.

• Each prime applicant is required to have an identified Lead PI from the prime applicant’s entity.

• Applications may have co-PIs from the prime applicant or subapplicant’s IHE.

• Each identified PI and Co-PI for proposed agreements are required to be a U.S. Person and must be an active member of the teaching/research faculty of an IHE (see Section III(A)1).

• Adjunct professors, visiting professors, and post-doctoral fellows are ineligible to be PIs or Co- PIs.

• Individuals employed by foreign entities, irrespective of citizenship, are ineligible to be PIs or Co-

PIs.

C. RESTRICTED ELIGIBILITY

The DNN R&D University Consortium Program seeks the long-term development of expertise in academic fields supporting nuclear nonproliferation. Furthermore, one of DNN R&D’s goals within this program is to support a pipeline of talent that is well- prepared for nuclear nonproliferation careers in the DOE National Laboratories and with the U.S. Government.

These careers require the ability to attain and maintain a national security clearance. As such, it is important to restrict the eligibility for Senior/Key Persons, such as Principal Investigators, to U.S. citizens or permanent residents. Several of the DOE/NNSA goals are not achievable by foreign nationals.

In conformity with the Guidance on Department of Energy (Guidance on Department of Energy Order 142.3A (lbl.gov)), applicants selected for award are required to submit and complete a form prior to award whereby the Principal Investigator and Co-Principal Investigator(s) are U.S. citizens or permanent residents (refer to “Research & Related Personal Data” form found at Grants.gov R&R Family Forms and resubmit as needed (example: Replacement of a Principal Investigator or Co-Principal Investigator. The NOFO further restricts the eligibility of scholarships and fellowships (Post-doctoral Fellows, graduate students, and undergraduate students) to U.S. citizens or permanent residents.

NOTE: Non-U.S. Persons are prohibited from receiving direct government or cost share funding under the cooperative agreement.

A “U.S. Person” is defined as an individual that is a citizen of the United States or an alien lawfully admitted for permanent residence.

Adjunct professors, visiting professors, and post-doctoral fellows are ineligible to be PIs. Investigators from foreign universities or academic institutions, irrespective of citizenship, are ineligible to be PIs.

Such individuals may receive funding under a subaward if the Principal Investigator requests and receives written permission for such funding from the Technical Project Officer of DNN R&D. There may be security restrictions on participation by foreign nationals at certain facilities and conferences, in accordance with applicable U.S. Department of Energy Security Policy, Directives, Regulations, or Requirements.

All persons receiving funding or direct involvement in the activities supported under this cooperative agreement must be a U.S. Person or the Director/Principal Investigator must request and receive written permission for such funding from the program official of DNN. Requests for addition of non-US-persons is required throughout the period of award.

D. COST SHARING

This award does not require cost sharing but may be offered. Cost share must come from non-federal sources, offering cost share will not bolster chances of selection since, under 2 CFR 200, Federal agencies are no longer allowed to use voluntary committed cost share as a consideration in the merit review process. For further information, there are two types of cost share:

• Voluntary Cost Sharing: Cost share is considered “voluntary” when the applicant describes a quantifiable amount of resources it will contribute to the project.

• Voluntary Committed Cost Sharing: NNSA will consider any voluntary cost sharing offered at the application stage as “committed” cost sharing at the award stage and occurs when the applicant/subapplicant pledges cash or in-kind resources towards a project but is not obligated to do so by the NOFO.

https://www.grants.gov/forms/forms-repository/r-r-family

Any quantified cost sharing offered in submitted applications becomes fiscally and/or programmatically auditable and must be documented and reported to DOE/NNSA, if the application is funded.

If voluntary committed cost share is provided, the R&R Fed + NonFed Budget Form must be utilized by both the Prime applicant and subapplicant. This form may be found at R&R Family | Grants.gov.

In addition, some universities at their discretion may require subapplicants to cost share. Voluntary committed cost-share occurs when applicant/subapplicant pledges cash or in-kind resources towards a project but is not obligated to do so by the program solicitation/announcement.

E. PROGRAM INCOME

Program income is allowable under this NOFO. Applications that choose to use program income are to include estimated income and source of income planned to be used with this project.

Any program income funds with the award must be used to further project directives and in accordance with the terms and conditions of the award.

If program income is not reviewed at the time of award, post-award prior approval for the use of program income must be received and approved prior to use by the Grants Officer/Grants Specialists.

F. UNCLASSIFIED WORK

All proposed work to be funded through this NOFO is required to be UNCLASSIFIED. No applications for CLASSIFIED work will be accepted.

https://grants.gov/forms/forms-repository/r-r-family

SECTION IV – APPLICATION AND SUBMISSION INFORMATION

NNSA is accepting full applications under this NOFO. A full application is required to be submitted via Grants.gov to be considered for merit review and award.

A. APPLICATION (MANDATORY)

The applications should include the following information, with the font size NOT any smaller than Times New Roman 11 and in a Portable Document Format (PDF). An entity may submit more than one application, given that it meets all the required and following conditions:

• Each submission must have a different lead Principal Investigator (PI) or Prime Applicant (Lead).

• Each submission must target a significantly different application and/or enabling research and development.

• A letter acknowledging and supporting the application submission from the Vice President for

Research, or someone in a comparable position. See Section I, I.

Registrations NNSA is participating in the Grants.gov initiative to provide the financial assistance community with a single site to find and apply for funding opportunities for grants and cooperative agreements. Applicants are required to complete a series of registrations to submit applications in response to this NOFO via grants.gov. These registrations include SAM.gov, Grants.gov, FedConnect, and the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS). It is encouraged that the Prime (Lead) applicant register with FSRS and also register subapplicants, prior to award.

Applicants are encouraged to read the registration instructions carefully and prepare the requested information prior to beginning the registration process. Reviewing and assembling the required documentation and information before beginning the registration process may alleviate last-minute searches for required information. Registration in each of the below is mandatory.

System for Award Management (MANDATORY) Applicants MUST register and maintain an active registration at https://sam.gov/content/home. The website SAM.gov issues registered entities a Unique Entity Identifier (UEI) Number and a Grants.gov account to apply under this NOFO. Failure to register with SAM will prevent an entity from applying through Grants.gov. (There are NO fees to register.) Applicants must have or obtain a Unique Entity ID (UEI) at https://sam.gov/content/entity-registration to complete the application in Grants.gov. Applicants not currently registered with SAM.gov should allow at least four weeks to complete these requirements.

Additionally, applicants are required to provide a Taxpayer Identification Number (TIN) to complete a registration in www.SAM.gov. An applicant’s TIN is an Employer Identification Number (EIN) assigned by the Internal Revenue Service (IRS). Entities may apply for an EIN from the IRS at https://www.irs.gov/businesses/small-businesses-self-employed/employer-id-numbers. Registration in SAM.gov must be renewed annually for all prime recipients. SAM.GOV may have its own requirements for a preferred Internet Browser. Contact SAM.Gov at https://sam.gov/content/about/contact. DOE/NNSA staff are not able to provide substantive support to the database.

GRANTS.Gov (MANDATORY) Applicants MUST have an active account on Grants.gov to apply. Applicants not currently registered with Grants.gov should allow up to four weeks to complete these requirements. There is no charge to create https://sam.gov/ https://grants.gov/ https://www.fedconnect.net/FedConnect/Default.htm https://usdoe-my.sharepoint.com/personal/virginia_hernandez_nnsa_doe_gov/Documents/Desktop/A.%20STAFF/Jeff%20Rivas/Federal%20Funding%20Accountability%20and%20Transparency%20Act%20Subaward%20Reporting%20System https://usdoe-my.sharepoint.com/personal/virginia_hernandez_nnsa_doe_gov/Documents/Desktop/A.%20STAFF/Jeff%20Rivas/Federal%20Funding%20Accountability%20and%20Transparency%20Act%20Subaward%20Reporting%20System https://sam.gov/content/home https://sam.gov/content/entity-registration https://www.sam.gov/ https://www.irs.gov/businesses/small-businesses-self-employed/employer-id-numbers https://sam.gov/content/about/contact https://grants.gov/ an account. To create an account in Grants.gov, applicant(s) registration is required. All entities applying for funding must have a UEI Number to submit their application in grants.gov. Instructions for obtaining a UEI may be found at SAM.gov. Note that Grants.gov may have its own requirements for a preferred Internet Browser. Grants.gov provides detailed instructions and offers trainings and FAQs for applicants on their website at https://www.grants.gov/applicants. Grants.gov support center is available at https://www.grants.gov/support. Contact Grants.gov directly for technical assistance. DOE/NNSA staff are not able to provide substantive support to the database.

FEDConnect (MANDATORY) Applicants MUST register with FedConnect to obtain updates on the NOFO and be able to submit questions to NNSA through the FedConnect portal. There is no charge for creating an account. Applicants may register with FedConnect at https://www.fedconnect.net/FedConnect/PublicUserRegistration.aspx via www.FedConnect.net. For support see Support : Unison FedConnect Support.

Federal Funding Accountability & Transparency Act Subaward Reporting System (FSRS) Prime Recipients awarded a Federal grant or cooperative agreement greater than or equal to $30,000 will be subject to FFATA sub-award reporting requirements. There is no charge for creating an account. Prime Recipients are required to file a FFATA subaward report by the end of the month following the month in which the prime recipient awards any sub-award greater than or equal to $30,000. Prime applicants that are applying with sub-applicants are encouraged to register with https://www.fsrs.gov/ prior to award.

B. GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES (MANDATORY)

Grants.gov Application Submission Applicants are required to submit an electronic application to this NOFO through Grants.gov at https://www.Grants.gov/.

To start the application: Go to https://www.Grants.gov; Select “Search Grants.” Enter the Assistance Listing Number (formerly known as Catalog of Federal Domestic Assistance (CFDA)) number (81.113) or the NOFO number, DE-FOA-0003437. Select the “Apply” button to access the application package.

Applicants are required to use the compatible version of Adobe Reader software to complete an application package. Verify your compatible version of Adobe Acrobat Reader at https://www.grants.gov/applicants/adobe-software-compatibility.

Applicants may use the online Grants.gov Workspace. Workspace is a shared, online environment where members of a team may simultaneously access and edit different webforms within an application for each NOFO. The Workspace Overview is located at https://www.grants.gov/applicants/workspace-overview.

The Workspace is the standard way for organizations or individuals to apply for federal grants in Grants.gov. Workspace allows a grant team to simultaneously access and edit different forms within an application. Plus, the forms can be filled out online or offline — your choice.

Workspace Tips: Add participants to the workspace, complete all the required forms, and check for errors before submission.

Adobe Reader: If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard forms.