[Federal Register Volume 63, Number 215 (Friday, November 6, 1998)]
[Notices]
[Pages 59956-59961]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-29801]


-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

Office of Nuclear Energy, Science and Technology (NE)


Financial Assistance Solicitation No. DE-PS03-99SF21764; Nuclear 
Energy Research Initiative

AGENCY: 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, 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 that can 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.

[[Page 59957]]

    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.

DATES: Potential applicants are encouraged to submit a Notice of Intent 
to Apply (Attachment A). Refer to the paragraph on the Designation of 
Field(s) of Proposed Work in this solicitation to identify the 
contemplated field of R&D in Attachment A. The notice should be faxed 
to Denise Berry, Department of Energy at (510) 637-2025 by November 13, 
1998. This Notice of Intent in no way obligates an organization to 
submit an application, and failure to submit the Notice of Intent in no 
way prevents you from submitting an application.
    Potential applicants are encouraged to submit a brief 
preapplication. All preapplications, responding to Solicitation No. DE-
PS03-99SF21764, should be received by DOE by 4:30 p.m. P.S.T., November 
20, 1998. A response encouraging or discouraging a formal application 
will be communicated to the applicant by December 11, 1998. 
Notification of a favorable preapplication is not an indication that an 
award will be made in response to the formal application.
    The deadline for receipt of the formal applications is 4:30 p.m. 
P.S.T., January 29, 1999.

ADDRESSES: All preapplications and applications referencing 
Solicitation No. DE-PS03-99SF21764, should be sent to Denise Berry, 
U.S. Department of Energy, 1301 Clay Street, 700N, Oakland, California 
94612-5208, Attn: Solicitation No. DE-PS03-99SF21764.
    An original and five copies of the preapplication should be 
submitted by United States Postal Service including Express Mail or 
commercial mail delivery service, or should be hand carried by the 
applicant to the address stated above. Preapplications will not be 
accepted by fax, or electronic mail.
    An original and seven copies of the 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 to 
the address stated above. Applications will not be accepted by fax, or 
electronic mail.
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 awards will be made in Fiscal Year 1999. 
One-year or multiple year funding of grants and cooperative agreements 
are anticipated, contingent upon the availability of funds. Up to a 
total of $19 million of Government Fiscal Year 1999 Federal funds are 
available for awards under this Solicitation and the complementary 
Program Announcement (to DOE national laboratories).
    Funding for individual research awards is expected to be up to $1 
million per year with typical awards 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 that a properly focused R&D effort should be implemented 
by the Department of Energy to address the principal obstacles to 
achieving this option. These obstacles include issues involving nuclear 
waste, proliferation, economics, and safety. The Panel recommended 
addressing technologies that include, but are not limited to, work on 
proliferation-resistant reactors or fuel cycles; new reactor designs 
for improved performance, reduced cost, and enhanced safety to compete 
in the global market; lower output power reactors for applications 
where larger reactors may not be advantageous; and nuclear waste. The 
PCAST report can be viewed on the NERI web page at http://
neri.ne.doe.gov.
    In response to these recommendations, the Department has proposed 
the Nuclear Energy Research Initiative (NERI), composed of projects 
selected from individual or collaborative applications from 
universities, DOE national laboratories, industry, R&D, and non-profit 
organizations. To assist in defining the NERI program, a workshop was 
convened in Washington, D.C. on April 23-24, 1998, attended by over 120 
researchers, scientists, and engineers representing these 
organizations. The workshop focused primarily on the nuclear R&D topics 
recommended by PCAST, and served to identify promising areas of R&D to 
implement these recommendations and related recommendations from the 
workshop. The workshop results, as reported on the NERI web page, 
http://neri.ne.doe.gov, have been of fundamental importance in 
developing the program defined in this solicitation. Respondents are 
encouraged to refer to the NERI Workshop Report prior to developing an 
application.

Objective

    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 science and engineering research, development, concepts, 
and/or

[[Page 59958]]

experimental projects in the nuclear energy and supporting fields that 
will contribute significantly to meeting the NERI program objectives. 
The following paragraphs identify areas for which proposals are 
solicited. However, researchers may propose projects in other related 
areas that are consistent with the NERI objectives. In formulating 
proposed 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.

Proliferation Resistant Reactors and Fuel Technology

    Increased knowledge is required to enable incorporation of 
proliferation resistance in the design, development, and deployment of 
new reactor systems. Proposals are solicited in scientific and 
engineering research to improve the proliferation resistance of 
reactors and fuel systems. Possible research areas include, but are not 
limited to, investigation and conceptual development to establish 
feasibility and attributes of reactor systems, fuel systems and/or 
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 energy extraction from 
and utilization of plutonium and other actinides generated in the fuel.
    There is an inherent need for an increase in the understanding of 
the basic behavior of irradiated materials; for science and engineering 
research that impacts fuel preparations and recycle or alternate means 
of spent fuel treatment; and for basic materials research to support 
understanding of fuel structure changes during irradiation, as it 
relates to the advancement of proliferation resistant reactors and fuel 
cycles.

New Reactor Designs

    This program element involves scientific and engineering 
investigation and development of promising new reactor concepts in the 
following areas:
 Reactors to Achieve Improved Performance/Higher Efficiency and 
Reduced Costs
    Advances in understanding of reactor systems and components are 
required to achieve a significant improvement in performance and 
economics for the next generation of reactors. Innovative reactor and 
power conversion concepts are needed which offer the prospects of 
higher efficiency, improved performance, design simplification, 
enhanced safety, and low cost. Increased knowledge is required to 
support enabling technologies. Research areas of interest include, but 
are not limited to development of reactor design advancements and 
alternative reactor core concepts, passive safety systems and 
components, development of innovative reactor concepts for electrical, 
non-electrical or co-generation purposes and advanced system or 
component design concepts, advanced instrumentation and controls, and 
work to evaluate direct energy conversion technologies such as 
thermoelectric conversion systems. Proposed projects should address, 
among other items, the characteristics, principal attributes, 
feasibility, safety features, proliferation resistance, economic 
competitiveness, and identification of other research that may be 
required.
 Low Output Power Reactors
    New concepts and supporting knowledge are required to support 
development of small, possibly compact, and easily deployable reactors 
either for use in developing countries or for specialized applications. 
Potential applications include electrical power generation, process 
heating, medical isotope production, or nuclear research. Research in 
science and engineering is expected to focus on concepts, 
characteristics, principal attributes, feasibility, safety features, 
proliferation resistance and underlying technologies rather than on 
full reactor systems design.
    Science and engineering research of crucial importance to new 
reactor designs is dependent on the particular reactor application 
being explored. Examples include, but are not limited to, basic 
material degradation and corrosion sciences impacting both operation 
and applications; increased understanding of the behavior of fluid 
systems at elevated temperatures; modern high-temperature materials for 
reactor structural components; innovative non-destructive evaluation 
methods for system and component monitoring; development and 
application of risk-based design tools for pre-deployment predictions 
of performance and reliability; modern computational and modeling 
methods; incorporation of inherent safety features; automation of 
reactor system operation; radiation damage and metallurgy of long-lived 
fuels and other components; science and engineering effort to support 
alternative energy conversion methods.

Advanced Nuclear Fuels

    Research and development is needed to provide measurable 
improvements in the understanding and performance of nuclear fuel with 
respect to safety, waste production, proliferation resistance, and 
economics to enhance the long-term viability of nuclear energy systems. 
Appropriate topics include, but are not limited to: innovative concepts 
for material preparation and production of nuclear fuels; enhanced fuel 
design safety; innovation in fuel composition or other attributes that 
maximize energy production, optimize fissile material utilization, or 
reduce production costs.
    Applications are solicited in scientific and engineering research 
that encompass an evaluation over the entire nuclear fuel cycle 
utilizing knowledge gained over the past several decades on the 
technical characteristics of recycling systems, as well as in 
monitoring and controlling fissionable materials, but not being bound 
by technologies and facilities currently available. This work is basic 
to innovative reactor concepts, proliferation resistance, and advanced 
fuels. Results are expected to define gaps in current knowledge and 
hence identify areas requiring further work.

New Technologies for Management of Nuclear Waste

    Paramount to public acceptance of nuclear technology is development 
of concepts and supporting knowledge required for reliable approaches 
to management and storage of spent fuels and associated wastes. 
Appropriate research topics include, but are not limited to, new 
concepts for on-site or interim surface storage; chemistry and 
materials science to develop understanding of the behavior of spent 
fuel for time periods consistent with on-site surface storage 
requirements; strategies for reduction in high level waste volume; 
research in surface chemistry and physics to understand and ameliorate 
corrosion processes at all pertinent interfaces; engineering research 
to support beneficial use of spent fuel and associated wastes.
    Applications in this area are expected to complement, and not 
duplicate, research activities supported by the Offices of Civilian 
Radioactive Waste and Environmental Management. Abstracts of work 
supported under the Environmental Management Science Program (EMSP) can 
be found at http://www.doe.gov/em52/science-grants.html, while 
information on the Civilian Radioactive Waste program and related 
efforts can be found at http://www.rw.doe.gov/links.htm.

[[Page 59959]]

Fundamental Science and Technology

    This element features research and development in science and new 
technologies that support one or more applications in the nuclear 
energy field, including but not limited to those identified for the 
preceding program elements. The proposed work should be based in part 
on a consideration of the value or benefits of this work to potential 
future applications that satisfy the program objectives. Scientific and 
engineering research is solicited in pertinent areas of materials and 
chemical sciences, automation engineering and computational sciences, 
thermodynamics, health physics, systems engineering and safety, human 
factors research to improve the man/machine interface, and other areas 
which addresses problems common to the technology topics described 
above.
    Applications should identify the prospective technical areas 
associated with the proposed work, and the expected benefits from 
successful completion of this work.

Designation of Field(s) of Proposed Work

    To facilitate the merit review, preapplications and applications 
should identify the nuclear technology areas and the related 
engineering research and/or basic science field(s) that most closely 
apply to the proposed research work. The nuclear technology areas 
include proliferation resistant reactor and fuel, reactors with higher 
performance/efficiency, low output reactors, advanced nuclear fuels, 
management of nuclear waste, and fundamental science and technology. 
The engineering research category would include such fields as 
reactors; system and component design development; fuel systems 
development; instrumentation and control systems development; 
radioactive waste; and other nuclear engineering fields of research. 
The basic science categories would include such fields as materials 
science, chemical science, computational sciences (including 
development of algorithms and software technology), and engineering 
sciences (including basic research on instrumentation and control 
systems, diagnostics and transport processes).
    The requested identification of applicable fields of work is not 
intended to constrain or otherwise influence the proposed work in any 
way.

Collaborative Applications

    Collaboration between science and engineering 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.
    For successful applications, DOE will award grants or cooperative 
agreements, as applicable, to the lead organizations. The lead 
organization will fund other non-federal participants by a subcontract 
arrangement. Any participating DOE national laboratories will be 
separately funded directly by DOE. The private sector or academic 
organization must include a Standard Face Page (Form 424) and Budget 
Pages for its portion of the project in the application. Separate 
Budget Pages must be included for the DOE national laboratory portion. 
The joint application must be submitted as one package.
    Where a DOE national laboratory is the lead organization, the 
application should be prepared in response to Program Announcement LAB 
NE-99-1.
    Collaboration with international organizations is acceptable 
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.

Preapplications

    The submittal of preapplications prior to submission of full 
applications is encouraged. The purpose of submitting a preapplication 
is to receive a preliminary DOE opinion regarding the significance of 
the proposed work in meeting program objectives. Preapplications should 
include a cover sheet and a brief (up to 3 pages) project description. 
The cover sheet should identify the name, telephone, fax and e-mail 
address for the project manager or principal investigator and for the 
organization(s) submitting the application, title of the project, and 
the field of R&D. A narrative project description should be included 
indicating the objectives, work to be accomplished and importance of 
successful completion, resources needed, and estimated cost. In the 
case of collaborative projects, the preapplicant should identify the 
work to be performed by each participating organization and the 
estimated cost to be borne by each party. The original and five copies 
of the preapplication should be submitted. DOE will review 
preapplications for technical and scientific merit and relevance of the 
proposed project to program objectives and respond to the applicants. 
This preliminary review neither prevents submittal of a full 
application nor indicates the likelihood of an award.

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. The 
applications should clearly present the objectives, activities or tasks 
to be performed, schedule and 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 including identification of the fields of 
R&D for the proposed project (1 +page).
     Project Description--narrative description of the proposed 
project including objectives, R&D plan including preliminary studies, 
research design and tasks, and the significance or benefits of proposed 
project (no more than 20 pages; multi-investigator collaborative 
projects may use up to 40 pages).
     Project schedule information.
     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).
     Collaborative R&D (if applicable)--description of the 
collaborative arrangements defining responsibilities and tasks assigned 
to each participating organization (up to 2 pages).
     Facilities & Resources--information on the experience of 
the applicant organization and the adequacy of required facilities and 
resources (no more than 5 pages).
     Budget for each year and a summary budget page for the 
entire project period (using DOE F.4620.1)
     Budget explanation for each participating organization.

[[Page 59960]]

     Budget and budget justification for each collaborative 
subproject, if any.
     Additional information the applicant deems relevant may be 
included, subject to the page limitation.
    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 Title 10 Code of Federal Regulations, Part 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 general relevance to 
NERI program objectives.
     For those applications that successfully complete the 
initial review, an objective merit review (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. This 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. 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 review, a relevance review 
will be performed by DOE on those applications judged to be of the 
highest merit. The applications will be evaluated with respect to NE 
programmatic and policy factors, including relevance of the proposed 
work to the NERI program objectives, and the balance among program 
elements to be supported.
    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 Part 600.27 and 48 CFR 927 shall be used 
in any financial assistance awards funded under this program. 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).

Regulatory Information

    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.

Statutory and Regulatory Authority

    The Nuclear Energy Research Initiative will be conducted under the 
authority of the Energy and Water Development Appropriations Act of 
1999, Pub. L. 105-245; 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 & Answers

    DOE does not intend to hold a preapplication conference. You may 
submit your written questions via e-mail to [email protected] by 
November 13, 1998. Responses to questions will be periodically placed 
on the Oakland Operations Web Site: ``http://www.oak.doe.gov/financial/
sol__page.html''.

Information

    Information about the development, submission 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''2.

Certifications

Lobbying Restrictions (Department of Interior & Related Agencies 
Appropriations Act, 1998)

    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.

FOR FURTHER INFORMATION CONTACT: Denise Berry, Contract Specialist, 
U.S. Department of Energy, 1301 Clay Street, 700N, Oakland, California 
94612-5208, (510) 637-1873, Fax (510) 637-2025.


[[Page 59961]]


    Issued in Oakland, California on October 29, 1998.
Joan Macrusky,
Director, Financial Assistance Center.

Attachment A

FAX: (510) 637-2025

To: Denise Berry, Contract Specialist

NOTICE OF INTENT TO APPLY

----------------------------------------------------------------------

Name of Organization/Principal Investigator
----------------------------------------------------------------------

Name of Collaborating Organization(s)
intends to submit an application under Solicitation No. DE-PS03-
99SF21764.
Title:-----------------------------------------------------------------

Scope of Work Element/Area:--------------------------------------------

Engineering research and/or basic science field:

[FR Doc. 98-29801 Filed 11-5-98; 8:45 am]
BILLING CODE 6450-01-P