[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]
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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.
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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.
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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 denise.berry@oak.doe.gov 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
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Name of Organization/Principal Investigator
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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
