[Federal Register Volume 64, Number 220 (Tuesday, November 16, 1999)] [Notices] [Pages 62179-62183] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 99-29860] ----------------------------------------------------------------------- DEPARTMENT OF ENERGY Oakland Operations Office Financial Assistance Solicitation No. DE-PS03-00SF22016, Nuclear Energy Research Initiative AGENCY: Office of Nuclear Energy, Science and Technology (NE), Oakland Operations Office, DOE. ACTION: Notice of solicitation inviting grant and cooperative agreement applications. ----------------------------------------------------------------------- SUMMARY: The Office of Nuclear Energy, Science and Technology, U.S. Department of Energy (DOE), is interested in receiving applications for financial assistance through the award of grants and cooperative agreements, as appropriate, for innovative scientific and engineering research and development in the field of nuclear energy as part of the Nuclear Energy Research Initiative (NERI). NERI is designed to support innovative research, primarily to address the principal technical and scientific obstacles to future use of nuclear power in the U.S. NERI is also intended to reinvigorate the vital nuclear scientific and engineering infrastructure within U.S. universities, industry and DOE national laboratories. The NERI program was initiated in Government Fiscal Year 1999, with awards for 46 projects, variously of 1 to 3 years duration. This Solicitation applies to the ``second round'' of the program, calling for new awards in Fiscal Year 2000. This Solicitation applies to applications from universities or other institutions of higher learning, industry, non-profit and R&D organizations, and collaborations among organizations, including those in which DOE national laboratories are participating, but not as the lead organization. A separate Program Announcement is being issued simultaneously for applications in which a DOE national laboratory is the sole or lead performing organization, and is available on the NERI web page. DATES: Potential applicants are requested to submit a Notice of Intent to Apply (Attachment A). Refer to the paragraph on the Designation of Field(s) of Proposed Work and the listing in Attachment B of this solicitation to identify the contemplated field of R&D to be specified in Attachment A. The Notice should be faxed to Denise Berry, Department of Energy at (510) 637-2025 by December 8, 1999. Submittal of this Notice is not obligatory. However, the Notice will greatly facilitate the application review process and selection of reviewers. The deadline for receipt of formal applications is February 17, 2000. ADDRESSES: All formal applications referencing Solicitation No. DE- PS03-00SF22016, should be sent to Denise Berry, U.S. Department of Energy, 1301 Clay Street, 700N, Oakland, California 94612-5208, Attn: Solicitation No. DE-PS03-00SF22016. An original and seven copies of the formal application shall be submitted by United States Postal Service including Express Mail or commercial mail delivery service, or should be hand carried by the applicant [[Page 62180]] to the address indicated. Formal applications will not be accepted by fax, or electronic mail. FOR FURTHER INFORMATION CONTACT: Denise Berry, Contract Specialist, U.S. Department of Energy, 1301 Clay Street, 700N, Oakland, California 94612-5208 Phone: (510) 637-1873, Fax: (510) 637-2025. SUPPLEMENTARY INFORMATION: Eligibility This solicitation invites applications from all segments of the U.S. private sector (non-federal). U.S. universities or other institutions of higher learning, industry, non-profit and R&D organizations are eligible for grant or cooperative agreement awards under this program. DOE national laboratories are eligible to participate, but not as the lead organization in the application. A separate Program Announcement is being issued for proposals in which a DOE national laboratory is the sole or lead performing organization. Non-citizens employed by U.S. institutions also are eligible. Awards It is anticipated that grants and cooperative agreements, as applicable, will be awarded in Fiscal Year 2000 for projects of one to three years duration. One year funding of each successive year of the projects is expected, subject to the availability of funds. Up to a total of $3 million of Government Fiscal Year 2000 Federal funds are available for awards under this Solicitation and the complementary Program Announcement (to DOE national laboratories). Typical funding of individual awards is expected to be in the range of $100,000 to $400,000 per year. Collaborative research projects involving two or more organizations may receive larger awards, if merited. The period of performance for individual projects is expected to be up to 3 years. DOE reserves the right to fund, in whole or in part, any, all, or none of the applications submitted in response to this solicitation. Background In January 1997, the President requested his Committee of Advisors on Science and Technology (PCAST) to review the current national energy research and development (R&D) portfolio, and provide a strategy to insure the U.S. has a program to address the Nation's energy and environmental needs for the next century. In its November 1997 report responding to this request, the PCAST Energy Research and Development Panel determined that assuring a viable nuclear energy option to help meet our future energy needs is important; and recommended that a properly focused R&D effort should be implemented by the Department of Energy to address the principal obstacles to achieving this option, including issues involving nuclear waste, proliferation, economics, and safety. In response to these recommendations, the Department of Energy initiated the Nuclear Energy Research Initiative (NERI). To assist in developing the work scope topics, a work shop was convened in Washington, DC on April 23 and 24, 1998, attended by over 120 cognizant researchers, scientists and engineers. Projects were selected for award, using an objective merit-peer review process, based on individual or collaborative applications from universities, DOE national laboratories, industry, R&D organizations, and non-profit organizations. Solicitations for the first round of the NERI program were issued on October 23, 1998, and all applications were received by January 29, 1999. Selections for negotiation of awards were announced on May 11, 1999. Grants and cooperative agreements, as applicable, were awarded from June 25 to September 9, 1999. A total of 46 projects were awarded. Abstracts of the selected projects are shown on our NERI web page: http://neri.ne.doe.gov. Respondents are encouraged to refer to these abstracts to avoid duplication in the preparation of new applications under this solicitation, which initiates the second round of the NERI program. Objectives The NERI program is intended to conduct R&D to meet the following objectives:Address and help overcome the principal technical and scientific obstacles to expanded future use of nuclear energy in the U.S., including the issues involving resistance to proliferation, unfavorable economics and nuclear waste disposition; Advance the state of nuclear technology to maintain a competitive position in overseas markets and a future domestic market; Promote and maintain a nuclear science and engineering infrastructure to meet future technical challenges, and Improve the performance, efficiency, reliability, economics, and other attributes to enhance nuclear energy applications. Scope of Work The Department of Energy is seeking applications for new and innovative research that is expected to contribute significantly to meeting the NERI objectives in the technical areas specified in the following work elements. Because of the limited funds available for new awards, prospective applicants should exercise judgement in submitting only the most promising and important proposals that directly support the specified work elements. In formulating prospective projects, the current state of development in the areas to be investigated should be recognized, such as by citing references, to avoid repeating work already accomplished. In particular, work underway in on-going NERI projects should not be duplicated. Abstracts for current NERI projects may be found on the NERI web page: http://neri.ne.doe.gov Generation IV Nuclear Power Systems 1 This program element includes the investigation and preliminary development of Generation IV reactor and power conversion system concepts that offer the prospect of improved performance and operation, design simplification, enhanced safety or reduced overall cost. Proposed projects may involve innovative reactor, systems or components designs, alternative power conversion cycles, advanced instrumentation and control, and other important design features and characteristics. --------------------------------------------------------------------------- \1\ Generation IV refers to the next generation of nuclear power systems, beyond the Advanced Light Water Reactors, which would be designed to address the long-term challenges to the expanded use of nuclear energy. --------------------------------------------------------------------------- Applications for projects involving advanced reactors under this program element should address, among other items, the characteristics, principal attributes, feasibility, safety features, proliferation resistance, economic competitiveness, and additional research that may be required. These designs may be compact or modular designs suitable for transport to remote locations. Desirable features might include long-lived reactor cores that minimize, or avoid altogether, the need for refueling. Competitive nuclear plant costs are necessary to restore nuclear power as a viable option to help meet our future electrical power demands. Therefore, this program element also will include projects intended to identify and evaluate alternative methods and technologies to reduce the costs of constructing future nuclear power [[Page 62181]] plants. As an example, the use of modularization and/or prefabrication already has been demonstrated to shorten the construction schedule. As another example, increased automation and use of robots in the manufacture of equipment and in plant construction has the potential of significantly reducing costs, and in addition, making domestic manufacture of equipment more competitive. Improved Proliferation Resistance of Reactor Systems and Fuel Cycles This program element concerns the investigation, and where applicable, preliminary development to establish feasibility and attributes of reactor systems, fuel systems, and/or alternative fuel cycles devised to improve the proliferation resistance of civilian nuclear power. Possible technology opportunities and subjects of investigation include alternative or modified reactor and fuel cycle concepts, material protection and control; and techniques that minimize generation of plutonium and waste by-products, restrict physical access to fuel materials while in the reactor, or increase the burnup of plutonium and other actinides in the fuel. The Department is particularly interested in proposals which include significant international collaboration. Fundamental Science This element includes research and development in fundamental science. The proposed research may be in the field of material science, chemical science, computational science, nuclear physics, or other applicable basic research fields. Candidate subjects of research may include the investigation of nuclear isomers that could prove beneficial in civilian applications. The Department of Energy will particularly favor fundamental science proposals that directly support one or more of the preceding program elements. Proposals should identify the specific application and the expected benefits from successful completion of the work. Designation of Field(s) of Proposed Work To facilitate selection of reviewers for the objective merit-peer review process, the Notices of Intent to Apply (Attachment A) and the applications should identify the nuclear engineering or fundamental science fields that most closely apply to the proposed research work. As shown in Attachment B, the fields that are pertinent to this Scope of Work include: Nuclear engineering fields-- --Reactors, reactor systems, components, structures, and reactor and power conversion cycles/concepts --Instrumentation and control --Reactor fuel systems to Improve proliferation resistance Fundamental science --Materials science --Fundamental chemistry --Computational and engineering science --Nuclear physics The requested identification of applicable fields of work is not intended to constrain or otherwise influence the proposed work in any way. These designations are used to obtain the appropriate peer reviewer qualifications for the individual applications. Collaborative Applications Collaboration between engineering and science researchers is encouraged. U.S. universities, DOE national laboratories, private industry and R&D and non-profit organizations are encouraged to submit collaborative applications. Collaborative applications should identify a lead organization, and the work scope responsibilities and cost for each participating organization. The lead organization should submit a single application, which integrates the portion of the overall project work scope assigned to each participant. Private sector or academic applicants who wish to form a collaborative project with a DOE National Laboratory or other Federally Funded Research and Development Center (FFRDC) may not include the FFRDC in their application as a lower-tier participant (subcontractor). Rather, each FFRDC collaborator should prepare a portion of the proposal. The applicant should combine each portion into a single, integrated technical proposal. The private sector or academic organization must include a Face Page and Budget Pages for their portion of the project. The FFRDC must include separate Budget Pages for its portion of the project. A face page should be provided for the complete package, showing the total cost and individual collaborator costs for each year of the project. All costs should be specified for each year on an elapsed time basis, and not a fiscal year basis. The joint proposal should be submitted to DOE as one package. If approved for funding, DOE will award Grants or Cooperative Agreements, as appropriate, to the private sector or academic lead organizations. The lead organizations will subcontract directly with the other non-federal collaborators. DOE will directly fund the FFRDC's. If the lead applicant collaborates with a DOE National Laboratory, the applicant must provide a written statement that to the best of the lead applicant's knowledge, the effort performed by the National Laboratory will not place the laboratory in direct competition with the domestic private sector. Where a DOE national laboratory is the lead organization, the application should be prepared in response to Program Announcement LAB NE-2000-1. Collaboration with international organizations is encouraged provided the collaboration is mutually beneficial and the lead organization is a U.S. based organization, and all DOE and other domestic funding is used for work performed in the U.S. Such collaborative arrangements are subject to approval by DOE and must comply with any Federal restrictions on foreign participation, and with any current DOE memoranda of understanding or other general agreements between DOE and the participating foreign entity. Format and Information To Be Included in the Application Applicants are expected to use the following format. Applications must be written in English with all budgets in U.S. dollars, specified for each year of the project on an elapsed time and not a fiscal year basis. The applications should clearly present the objectives, work scope including tasks to be performed, key milestones for each year, schedule, costs, and the importance/significance of the proposed project. Where collaborative efforts are proposed, the individual responsibilities of participating organizations should be identified. As a minimum, the following information should be included: --Standard face page (DOE Form 424) --Table of Contents --Project Abstract and identification of the field of R&D of the proposed project (see Attachment B) (1 +page) --Project Description--narrative description of proposed project, including objective(s), background, R&D plan, preliminary studies, and the importance of proposed project; also include itemized work plan showing individual tasks and responsible organizations (no more than 20 pages; multi-investigator collaborative projects may use up to 40 pages) --Project schedule and milestones, including key milestones at the end of each budget year (12 month elapsed time, and not fiscal year basis) [[Page 62182]] --Collaborative R&D (if applicable)--description of the collaborative arrangements defining responsibilities and tasks assigned to each participating organization (up to 2 pages). --Organization & Qualifications--identification of the project organization, and qualifications and responsibilities of the participating organizations. Biographical sketches of project manager/ principal investigator and other key project personnel (no more than 2 pages each). --Facilities & Resources--information on the experience of the applicant organization and the adequacy of required facilities and resources (no more than 3 pages). --Budget for each participating organization for each year and for total project period (using DOE F.4620.1); total budget for each year and total project period; all annual budgets should be based on 12 months elapsed time and not on a fiscal year basis. --Additional information the applicant deems relevant may be included, subject to the page limitation. --Written statement that to the best of the lead applicant's knowledge, the effort performed by a collaborating DOE National Laboratory will not place the laboratory in direct competition with the domestic private sector. In addition to providing an original and seven copies of each application, applicants are required to also provide a 3.5-inch write protected diskette containing the application in electronic format. The label on the diskette must clearly identify the institution, principal investigator, title of application, and the computer system and program used to prepare the document. Unsuccessful applications will not be returned to the applicant. Application Evaluation All valid applications will be evaluated in accordance with the requirements of 10 CFR 600.13: --DOE will perform an initial review for conformance with the technical and administrative requirements stated in this solicitation, for funding availability, and for relevance to NERI program objectives. --For those applications that successfully complete the initial review, an objective merit-peer review will be performed to evaluate technical and/or scientific merit, and cost aspects of the applications, exclusive of NE programmatic and policy factors. The objective merit review will be in accordance with the evaluation criteria stated below. For this purpose, a group comprised of three or more professionally and technically qualified persons will be selected in such a manner as to assure the highest degree of independence and objectivity. Following this review, panels comprising these reviewers will be convened for the peer review. The reviewers may include any mix of federal and non- federal experts, except those persons involved in approving/ disapproving the applications. Reviewers must comply with the requirements for avoiding conflict of interest as stated in 10 CFR 600.14. --Following the objective merit-peer review, programmatic and relevance reviews will be performed by DOE for those applications judged to be of the highest merit. The applications will be evaluated with respect to NE programmatic and policy considerations, including relevance and importance in meeting NERI program objectives, the balance among program elements to be supported, availability of funds, conformance to DOE policy and programmatic objectives, and other pertinent factors. The following evaluation criteria apply to the objective merit review: --Technical quality of the application and proposed work: --Contribution to the state of knowledge in the scientific/technology fields; --Importance of the proposed work in meeting program objectives; --Completeness and clarity of the technical application; --Appropriateness/adequacy of the proposed methodology or approach; --Extent to which proposed work is new, unique or innovative; --Reasonableness of the proposed project cost and schedule including allocations among multiple participating organizations where applicable. --Capabilities and qualifications of principal investigator/project manager and key personnel; adequacy of resources and facilities applied by participating organizations. Intellectual Property Rights With respect to intellectual property, the patent and data provisions set forth in 10 CFR 600.27 and 48 CFR 927 shall be used in any financial assistance awards funded under this program. Applicants, in accordance with 10 CFR part 784, have the right to request, in advance or within thirty days after the effective date of an award, a waiver of the U.S. Government's rights in subject inventions. Domestic small business firms and nonprofit organizations normally will receive the patent rights clause at 48 CFR 952.227-11, which generally permits the awardee to retain title to subject inventions. Therefore, small business firms and nonprofit organizations normally need not request a patent waiver. Any application or preapplication materials which contain proprietary technical or confidential commercial data should be submitted with the Notice contained at 10 CFR 600.15 (b)(1). As an aid in determining the Government's need to include Alternates II and/or III of the Rights in Data-General clause at 48 CFR 52.227-14, applicants shall state whether any technical data expected to be delivered to the Government under the prospective award will qualify as Limited Rights Data or Restricted Computer Software, as these terms are defined in 48 CFR 52.227-14, and, if so, shall identify such data generally. Any identification of such data in applicant's response is not necessarily determinative of the status of such data should an award be made based upon an applicant's proposal. Statutory and Regulatory Authority No funding will be available under the DOE Minority Economic Impact Act (MEI) loan program, 10 CFR Part 800, to finance the cost of preparing a financial assistance application. Review under E.O. 12372, ``Intergovernmental Review of Federal Programs'' is not required. The Nuclear Energy Research Initiative will be conducted under the authority of the Energy and Water Development Appropriations Act of 2000, HR 2605, and 106-336; the Catalog of Federal Domestic Assistance (CFDA) number 81.092; and the applicable DOE Financial Assistance Regulations at 10 CFR Part 600. The regulations and guidance documents can be accessed on the DOE Financial Assistance Home Page at: ``http:// www.pr.doe.gov/fahome.html''. Solicitation Questions and Answers DOE does not intend to hold a preapplication conference. You may submit your written questions via e-mail to [email protected] by November 29, 1999. Responses to questions will be periodically placed on the Oakland Operations Web Site: ``http://www.oak.doe.gov/financial/ sol__page.html''. [[Page 62183]] Information Information about the development, submittal of applications, eligibility, limitations, the selection process, and other policies and procedures may be found on ``http://www.oak.doe.gov/financial/ sol__page.html''. Certifications Lobbying Restrictions (Department of Interior and Related Agencies Appropriations Act, 1999) The contractor or awardee agrees that none of the funds obligated on the award shall be made available for any activity or the publication or distribution of literature that in any way tends to promote public support or opposition to any legislative proposal on which congressional action is not complete. This restriction is in addition to those prescribed elsewhere in statute and regulation. Notice Regarding the Purchase of American-Made Equipment and Products-- Sense of Congress It is the sense of Congress that, to the greatest extent practicable, all equipment and products purchased with funds made available under this award should be American-made. Simpson-Craig Amendment Applicant organizations which are described in section 501(c)(4) of the Internal Revenue Code of 1986 and engage in lobbying activities after December 31, 1995 shall not be eligible for the receipt of Federal funds constituting an award, grant, or loan. Section 501 (c)(4) of the Internal Revenue Code of 1986 covers: ``Civic leagues or organizations not organized for profit but operated exclusively for the promotion of social welfare, or local associations of employees, the membership of which and the net earnings of which are devoted exclusively to charitable, educational, or recreational purposes.'' As set forth in section 3 of the Lobbying Disclosure Act of 1995, as amended, (2 U.S.C. 1602), lobbying activities are defined broadly to include among other things, contacts on behalf of an organization with specified employees of the Executive Branch and Congress with regard to Federal legislative regulatory, and program administrative matters. Applicants qualifying as described in section 501(c)(4) of the Internal Revenue Code of 1986 must fill out representation. Issued in Oakland, California on November 8, 1999. Joan Macrusky, Director, Financial Assistance Center. Attachment A--Notice of Intent to Apply FAX: (510) 637-2025 TO: Denise Berry, Contract Specialist ---------------------------------------------------------------------- Name of Lead Organization/Principal Investigator Name of Collaborating Organization(s) Intend to submit an application under Solicitation No.------------------------------------------------------- Title:----------------------------------------------------------------- Scope of Work Element:------------------------------------------------- Engineering or fundamental science field, F-____(from Attachment B) ---------------------------------------------------------------------- ---------------------------------------------------------------------- ---------------------------------------------------------------------- Attachment B--Applicable Fields of Work (To designate applicable fields of nuclear engineering and fundamental science to facilitate evaluation of applications) Nuclear Engineering: F-1 Reactors, reactor systems, components, structures, and reactor-power conversion cycles/concepts F-2 Instrumentation and control systems F-3 Reactor-fuel systems to improve proliferation resistance F-5-1 Materials science F-5-2 Fundamental chemistry F-5-3 Computational and engineering science F-5-4 Nuclear physics [FR Doc. 99-29860 Filed 11-15-99; 8:45 am] BILLING CODE 6450-01-P