[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]


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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.

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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.
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    \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.
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    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)

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--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''.

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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
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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)

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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]
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