Environmental Management R&D and Validation Testing on High Efficiency Particulate Air (HEPA) Filters

EM R&D and validation Testing provides necessary investments in mid to long range research projects to address radioactive waste treatment and storage safety.

These R&DT projects are targeted at high priority technical issues, gaps, operations, or safety concerns to clean up the Nation?s legacy
of defense-related radioactive wastes.

The technologies developed in this R&DT program will identify or improve the current waste treatment baseline, develop new or augmented cost-effective technologies or methods, provide advanced technologies/ methods for insertion into new or existing waste treatment facilities/ infrastructures, address known technology gaps, and reduce project technical risk and uncertainty.

This meets the Departmental goal to accelerate waste treatment, clean-up, and provide risk reduction to the public.

For example, R&DT for High Efficiency Particulate Air (HEPA) filters are needed to improve the performance and validation of currently available HEPA filters in upset conditions (e.g.


In addition, R&DT into HEPA filters under various normal and upset test conditions will help determine valuable operational information (i.e., develop suggested controls and operational methods, and identify failure modes) that can be applied at various commercial and Government/military facilities that treat, store, or process nuclear material or waste streams (e.g.

commercial nuclear power facilities), or filter out hazardous particulates or dust for commercial microelectronic clean rooms or hospital operations.

This research and testing may increase the protective nature of the American Society of Mechanical Engineers (ASME) AG-1 Code (Code on Nuclear Air and Gas Treatment), enhance the ability of professionals to design filters and air filtration systems, and reduce uncertainty in the development of standard operating procedures for facilities involved in nuclear containment ventilation activities.

Improving the durability of HEPA filters used in nuclear containment is a key component in protecting the worker and general population in the event of a fire at a nuclear facility, particularly segments of the population near nuclear facilities.

Agency - Department of Energy

The Department of Energy's goal is to advance national, economic and energy security in the U.S.; to promote scientific and technological innovation in support of that goal; and to ensure environmental cleanup of the national nuclear weapons complex.

Website Address


Selected Recipients for this Program

RecipientAmount Start DateEnd Date
American Statistical Association $ 68,885   2017-09-302027-09-29
$ 0   
$ 0   
$ 0   
$ 0   
$ 0   
$ 0   
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Program Accomplishments

Fiscal Year 2016: Conducted some tests for HEPA filter R&DT objectives and initiated comparison testing of filter type separator vs. separatorless R&DT. Also continued to collect data to understand the use of aged filter in process buildings. Fiscal Year 2017: Continue FY17 HEPA filter R&DT objectives and begin filter type separator vs. separatorless R&DT. Collecting data to understand the use of aged filter in process buildings. Work on qualification, testing and research to advance the sate of the art of containment ventilation systems. Fiscal Year 2018: Expect to continue qualification testing and research to advance the state of the art of containment ventilation systems. Expand testing to additional facilities in DOE complex. Will initiate acceptance testing for filters to be installed in facilities.

Uses and Use Restrictions

Financial assistance is provided in support of the program objectives.

Applicants must meet the guidelines established by DOE.

Eligibility Requirements

Applicant Eligibility

A publicly-owned agency or organization established to perform specialized functions or services for the benefit of all or part of the general public either without charge or at cost, making no profits and having no shareholders to receive dividends.

Includes institutions of higher education and hospitals.

Determinations are made by DOE EM Headquarters or EM Field Offices, or both.

Beneficiary Eligibility

The following organizations will significantly benefit from improved, more reliable, and safer advanced HEPA filters: Federal/ State radioactive treatment and/or storage facilities, commercial nuclear power industry, workers in a radioactive environment, industrial, military or medical processes that require very stringent filtering and the general public, particularly landowners or homeowners in proximity to radioactive facilities. Indirect benefits include more accurate known and understood HEPA filter failure mechanisms and limits, margins, and operational constraints, especially in emergency situations such as fire or a seismic event. Indirect benefits include deceased operating costs, and potentially improvements to the American Society of Mechanical Engineering (ASME) AG-1 code, the US national consensus standard for nuclear air handling and treatment systems.


Cost will also be determined in accordance with OMB Circular No. A-21 for institutions of higher education or as otherwise defined in the financial assistance instrument. This program is excluded from coverage under OMB Circular No. A-87. This program is excluded from coverage under 2 CFR 200, Subpart E - Cost Principles.

Aplication and Award Process

Preapplication Coordination

Preapplication coordination is not applicable.

Environmental impact information is not required for this program.

This program is excluded from coverage under E.O.


Application Procedures

This program is excluded from coverage under 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. This program is excluded from coverage under OMB Circular No. A-102. OMB Circular No. A-110 applies to this program. A formal proposal by the organization interested doing the work must be submitted through an appropriate official of the corporate entity, organization, or institution. Financial assistance requests will be reviewed pursuant to the Department of Energy Financial Assistance Regulations at 10 CFR 600 and the DOE Merit Review Guide, as amended.

Award Procedures

Award decision will be made by DOE Headquarters.


Contact the headquarters or regional office, as appropriate, for application deadlines.


The activity conducted under this award is authorized pursuant to: The Department of Energy Act, Public Law 95-91, 42 U.S.C. 7256, in conjunction with 42 U.S.C. 7112.

Range of Approval/Disapproval Time

The approximate approval/disapproval time is from two months to one year.




From 120 to 180 days. From 120 to 180 days. Proposal for renewal are subject to review and acceptance by DOE Headquarters, the field, or both.

Assistance Considerations

Formula and Matching Requirements

This program has no statutory formula. This program has no matching requirements. This program does not have MOE requirements.

Length and Time Phasing of Assistance

Length and time phasing of assistance will vary with the program phase and activity. Method of awards/ releasing assistance: awards will be incrementally funded. See the following for information on how assistance is awarded/released. See the following for information on how assistance is awarded/released: Awards will be incrementally funded.

Post Assistance Requirements


Yes, periodic program and progress reports are required per the Reporting Requirements Checklist attached to the award.

No cash reports are required.

No cash reports are required.

At a minimum, annual progress reports are required.

Frequency of progress reports will be determined at time of award or annually thereafter.

Expenditure reports will be required.

The type and frequency will be determined at time of award.

Performance monitoring will be required.

The type and frequency will be determined at time of award.


In accordance with the provisions of 2 CFR 200, Subpart F - Audit Requirements, non-Federal entities that expend financial assistance of $750,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Non-Federal entities that expend less than $750,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in 2 CFR 200.503. Audits will be conducted annually or as defined by the size of and the specific award provisions.


Retention of records will be required in accordance with 10 CFR 600. A grantee is expected to maintain auditable records to substantiate the total costs under the Cooperative Agreement. The grantee is also expected to keep and maintain applicable American Society of Mechanical Engineers (ASME) Nuclear Quality Assurance-1 (NQA-1) and other quality assurance testing and results records as needed.

Financial Information

Account Identification



(Salaries) FY 16 $219,500; FY 17 est $3,500,000; and FY 18 est $5,500,000 - Subject to funds availability.

Range and Average of Financial Assistance

No Data Available.

Regulations, Guidelines, and Literature

Not Applicable.

Information Contacts

Regional or Local Office


Headquarters Office

Linda Suttora 1000 Independence Av. SW., Washington, District of Columbia 20585 Email: Linda.Suttora@em.doe.gov Phone: 301-903-8482

Criteria for Selecting Proposals

Research must be beneficial to the overall accomplishment of the program objectives and consistent with the criteria of the EM Merit Review System (i.e., technically meritorious, qualified principal investigators, adequate facilities for conduct of the work, past experience and performance history).

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