FY_2023_CINR_FOA_DE-FOA-0002732.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

U. S. Department of Energy

Idaho Operations Office

Fiscal Year 2023 Consolidated Innovative Nuclear Research

Funding Opportunity Announcement:

DE-FOA-0002732

Announcement Type: Initial – September 16, 2022

CFDA Number: 81.121

Issue Date: September 16, 2022

Informational Webinar: August 9-11, 2022

(Video links and presentations are available at www.NEUP.gov)

DOE Work Scope Office Hours: September 26-30, 2022 & October 3-7, 2022

(Video links and presentations are available at www.NEUP.gov)

Letter of Intent (Mandatory only for NSUF Applications)

Due Date: September 27, 2022 at 7 p.m. ET

R&D/NSUF Pre-Applications (Mandatory except for IRPs)

Due Date: October 11, 2022 at 7:00 p.m. ET

NSUF Preliminary Statement of Work

Due Date: November 30, 2022 at 7:00 p.m. ET

NSUF Final Statement of Work

Due Date: January 25, 2023 at 7:00 p.m. ET

Full R&D/NSUF and IRP Applications

Due Date: February 8, 2023 at 7:00 p.m. ET

NOTE: Deadlines are the dates/times by which DOE must receive the specified submittal.

http://www.neup.gov/

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Registration Requirements

There are several one-time actions applicants must complete in order to submit an application in response to this funding opportunity announcement (FOA) (e.g., register with the System for Award

Management (SAM), obtain a Unique Entity Identifier, and create an account on NEUP.gov.

Applicants, who are not registered with SAM, should allow up to five weeks to complete this requirement. It is suggested that the process be started as soon as possible.

If an applicant has not already done so, it must:

1. Register with the SAM: https://www.sam.gov/SAM/.

2. Obtain the Unique Entity Identifier (ID) number generated in SAM.gov.

3. Create an account on the NEUP.gov website at www.NEUP.gov using the ‘Sign In’ tab in the top right-hand corner. To create an account: 1) Click “Create a new account”; 2) Fill out the required information and click “Create User”; and 3) Fill out the information in the “My

Information” section.

Questions

Questions regarding the content of this FOA must be submitted using the contact information found in

Part VII, Section B of this FOA. DOE will try to respond to a question within three business days unless a similar question and answer have already been posted on the website.

Application Preparation

Applicants must prepare the application package and application forms from the NEUP.gov website: https://neup.inl.gov/SitePages/Home.aspx

Additional instructions are provided in Section IV of this FOA.

Application Submission

Apply for this FOA at www.NEUP.gov. Electronic applications and instructions are available at the

NEUP.gov website. To access these materials: (1) go to www.NEUP.gov; (2) select “Sign In” from the top right hand corner of the screen; (3) enter your user credentials; (4) select “Applications” from the menu; and (5) click on “Create New Application” for the type of application you are creating.

Apply at www.NEUP.gov. If you have any questions about your registration, contact the Innovative

Nuclear Research (INR) Integration Office at 208-526-2123 or at neup@inl.gov.

https://www.sam.gov/SAM/ https://neup.inl.gov/SitePages/Home.aspx https://www.neup.gov/ https://www.neup.gov/ https://www.neup.gov/ mailto:neup@inl.gov

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CHECKLIST FOR AVOIDING COMMON ERRORS

Item Issue

Page Limits Strictly followed throughout application, including particular attention to:

- Technical Abstract

- Technical Narrative

- CVs

Protected Personally Identifiable Information

Ensure none are present in the application.

Collaborators List all collaborators in the Collaborators section of the application form, including name, organization, funding amount, phone, email, U.S. Person status and citizenship, country, state, city, and zip code. This includes any individual appearing in the project summary, technical narrative, benefit of collaboration, coordination and management plan, or budget documents.

Project Summary / Abstract Name of applicant, Principal Investigator (PI), PI’s institutional affiliation(s).

Budget - Use current negotiated indirect cost and fringe benefit rates.

- Include separate subaward budgets, if applicable.

Budget Justification - Justify all requested costs.

- Include separate subaward budget justifications, if applicable.

Current and Pending Support Ensure complete disclosures of current and pending support for all PIs and other senior/key personnel named in the application.

Certifications and Assurances Ensure that signatures are completed for both sections of the Certifications and Assurances documentation.

R&R Other Project Information - If marking proprietary information, clearly mark the sections where proprietary information is in the narrative or other documents using the procedure outlined in the FOA.

- If marking ‘yes’ to international collaboration, list all institutions and countries.

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TABLE OF CONTENTS

PART I – FUNDING OPPORTUNITY DESCRIPTIONS

A. STATEMENT OF OBJECTIVES

A.1 Background and Objectives

A.2 NE Program Resources

B. FUNDING OPPORTUNITIES

B.1 U.S. University-led R&D Projects

B.2 U.S. University-led IRPs

B.3 U.S. University-, National Laboratory-, or Industry-led NSUF Access Only Projects .. 4

B.3.1 NSUF Readiness

PART II – AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

B. ESTIMATED FUNDING

B.1 U.S. University-led R&D Projects

B.2 U.S. University-led IRPs

B.3 U.S. University-, National Laboratory-, or Industry-led NSUF Access Only Projects .. 9

C. MAXIMUM AND MINIMUM AWARD SIZE

C.1 U.S. University-led R&D Projects

C.2 U.S. University-led IRPs

C.3 U.S. University-, National Laboratory-, or Industry-led NSUF Access Only Projects 10

D. EXPECTED NUMBER OF AWARDS

D.1 U.S. University-led R&D Projects

D.2 U.S. University-led IRPs

D.3 U.S. University-, National Laboratory-, or Industry-led NSUF Access Only Projects 10

E. ANTICIPATED AWARD SIZE

E.1 U.S. University-led R&D Projects

E.2 U.S. University-led IRPs

E.3 U.S. University-, National Laboratory-, or Industry-led NSUF Access Only Projects 10

F. PERIOD OF PERFORMANCE

G. TYPE OF APPLICATION

PART III – ELIGIBILITY INFORMATION

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A. ELIGIBLE APPLICANTS

A.1 Domestic Entities

A.2 U.S. Incorporated Foreign Entities

A.3 Incorporated Consortia

A.4 Unincorporated Consortia

B. APPLICATION RESTRICTIONS

B.1 R&D Application Restrictions

B.2 IRP Application Restrictions

C. COST SHARING

D. OTHER ELIGIBILITY REQUIREMENTS

D.1 FFRDC Contractors

PART IV – APPLICATION AND SUBMISSION INFORMATION

A. ADDRESS TO REQUEST APPLICATION PACKAGE

B. DOCUMENT FORMAT REQUIREMENTS

C. NSUF ACCESS ONLY APPLICATION SUBMITTAL INSTRUCTIONS

C.1 Letter of Intent (LOI)

C.1.1 LOI Submittal Instructions

C.1.2 Agreement Requirements

C.2 Pre-Application

C.3 NSUF Preliminary Statement of Work (Prelim SOW)

C.4 NSUF Final Statement of Work (Final SOW)

C.5 Full Application

D. CONTENT AND FORM OF ALL PRE-APPLICATIONS

D.1 Pre-Application Narrative

D.2 Benefit of Collaboration

D.3 Publications

D.4 Principal Investigator Vitae

D.5 Collaborators

D.6 Agreement Requirements

E. CONTENT AND FORM OF ALL FULL APPLICATIONS

E.1 Conflict-of-Interest (COI) Acknowledgement

E.2 SF-424 Research and Related (R&R)

E.3 R&R Other Project Information

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E.4 Project Summary/Abstract

E.5 Project Narrative

E.6 Vitae (Technical Expertise and Qualifications)

E.7 Benefit of Collaboration

E.8 Capabilities

E.9 Letters of Support (IRPs only), if applicable

E.10 Budget Documents

E.10.1 R&R Lead Budget Form: (TOTAL FED & NON-FED)

E.10.2 R&R Subaward Budget Form: (TOTAL FED & NON-FED)

E.10.3 Budget for DOE/NNSA Federally Funded Research and Development Center

(FFRDC) Contractor

E.10.4 Budget Justification

E.11 Additional Attachments

E.11.1 Current and Pending Support

E.11.2 Coordination and Management Plan

E.11.3 Letter of Authorization for DOE/NNSA FFRDCs

E.11.4 Project/Performance Site Location(s)

E.11.5 Environmental Checklist

E.11.6 Data Management Plan (DMP)

E.11.7 Disclosure of Lobbying Activities

E.11.8 Certifications and Assurances

E.11.9 Foreign Government Ownership Disclosure

F. SUBMISSION FROM SUCCESSFUL APPLICANTS

G. SUBMISSION DATES AND TIMES

G.1 NSUF LOI Due Date

G.2 R&D/NSUF Pre-Application Due Date

G.3 NSUF Preliminary Statement of Work Due Date

G.4 NSUF Final Statement of Work Due Date

G.5 IRP Application Due Date

G.6 Full R&D/NSUF Application Due Date

G.7 Late Submissions, Modifications, and Withdrawals of Pre-Applications, Applications, and NSUF Statement of Work

H. INTERGOVERNMENTAL REVIEW

I. FUNDING RESTRICTIONS

I.1 Prohibition related to Foreign Government-Sponsored Talent Recruitment Programs

I.2 Cost Principles

I.3 Pre-Award Costs

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J. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS

J.1 Where to Submit

J.2 Application Validity Timeframe

PART V – APPLICATION REVIEW INFORMATION

A. CRITERIA

A.1 Pre-Application Review (only for R&D and NSUF Access Only)

A.1.1 Initial Review Criteria of Pre-Applications

A.1.2 Relevancy Criteria

A.1.3 Technical Review Merit Criteria

A.1.4 Diverse Team Review

A.2 Feasibility Review (only for NSUF Access Only Projects)

A.3 Readiness Review (only for NSUF Access Only Projects)

A.4 Initial Review Criteria of Full Applications

A.5 R&D Merit Review Criteria: Full Applications (for R&D and NSUF Access Only) .. 46

A.5.1 Relevancy Criteria

A.5.2 Technical Review Merit Attributes

A.6 IRP Merit Review for Full Applications

A.6.1 Relevancy Attributes

A.6.2 Technical Merit Attributes

A.6.3 Diverse Team Review

A.7 Other Selection Factors

B. SUMMARY OF THE REVIEW AND SELECTION PROCESS

B.1 R&D and NSUF Access Only Pre-Applications

B.2 R&D and NSUF Access Only Full Applications

B.3 IRP Full Applications

B.4 Reporting of Matters Related to Recipient Integrity and Performance

C. ANTICIPATED NOTICE OF SELECTION

PART VI – AWARD ADMINISTRATION INFORMATION

A. AWARD NOTICES

A.1 Notice of Selection

A.2 Nondisclosure and Confidentiality Agreements Representations

A.3 Notice of Award

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

B.1 Administrative Requirements

B.1.1 Unique Entity ID and SAM Requirements

B.1.2 Subaward and Executive Reporting

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B.2 Special Terms and Conditions and National Policy Requirements

B.3 Intellectual Property Provisions

B.4 Interim Conflict of Interest Policy for Financial Assistance

B.5 Lobby Restrictions

B.6 Corporate Felony Conviction and Federal Tax Liability Representations

B.7 Statement of Federal Stewardship

C. REPORTING

PART VII – QUESTIONS/AGENCY CONTACTS

A. QUESTIONS

B. AGENCY CONTACT

C. INFORMATIONAL WEBINAR

PART VIII – OTHER INFORMATION

A. AMENDMENTS

B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE

C. COMMITMENT OF PUBLIC FUNDS

D. PROPRIETARY APPLICATION INFORMATION

E. EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL

F. INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM

G. UNDERSTANDING COST SHARING REQUIREMENTS

H. NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES

I. NO-COST TIME EXTENSIONS

J. REBUDGET REQUEST

K. CONFERENCE SPENDING

PART IX – APPENDICES/REFERENCE MATERIAL

Appendix A: Work Scopes for U.S. University-led R&D Projects

Appendix B: Work Scopes for U.S. University-led IRPs

Appendix C: Work Scopes for U.S. University-, National Laboratory-, or Industry-led NSUF

Access Only Projects

Appendix D: Accessing Nuclear Science User Facilities

Appendix E: Draft Nuclear Science User Facilities User Agreement

LIST OF ACRONYMS

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CFDA Catalog of Federal Domestic Assistance

CFA Call for Full Applications

CFR Code of Federal Regulations

CINR Consolidated Innovative Nuclear Research

COI Conflict of Interest

DE Department of Energy unique identifier FOA Number prefix

DMP Data Management Plan

DOE Department of Energy

FFATA Federal Funding and Transparency Act of 2006

FFRDC Federally Funded Research and Development Center

FOA Funding Opportunity Announcement

FSRS FFATA Subaward Reporting System

FWP Field Work Proposal

FY Fiscal Year

GAIN Gateway for Accelerated Innovation in Nuclear

HBCU Historically Black Colleges and Universities

ID Identifier

IHE Institute of Higher Education

IRP Integrated Research Project

LOI Letter of Intent

M&O Management and Operating

M&TE Measuring and Test Equipment

MSI Minority Serving Institution

NCE No Cost Time Extension

NE Office of Nuclear Energy

NEUP Nuclear Energy University Program

NFML NSUF Nuclear Fuels and Materials Library

NSUF Nuclear Science User Facilities

NNSA National Nuclear Security Administration

OMI Other Minority Institutions

PDF Adobe Portable Document Format

PIE Post-Irradiation Examination

PI Principal Investigator

POC Point of Contact

QA Quality Assurance

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R&D Research and Development

RPA Request for Pre-Applications

SAM System for Award Management

SOW Statement of Work

TCU Tribal Colleges and Universities

U.S. United States

Fiscal Year 2023 Consolidated Innovative Nuclear Research PART I

PART I – FUNDING OPPORTUNITY DESCRIPTIONS

A. STATEMENT OF OBJECTIVES

This FOA is for Consolidated Innovative Nuclear Research (CINR) and is thus referred to in this document as the “CINR FOA”.

A.1 Background and Objectives

The mission of the Department of Energy (DOE), Office of Nuclear Energy (NE) is to advance

U.S. nuclear power to meet the nation's energy needs by:

1. Enhancing the long-term viability and competitiveness of the existing U.S. reactor fleet;

2. Developing an advanced reactor pipeline; and,

3. Implementing and maintaining the national strategic fuel cycle and supply chain infrastructure.

Collectively, all NE-sponsored activities support the Department’s priorities to combat the climate crisis, create clean energy jobs with the free and fair chance to join a union and bargain collectively, and promote equity and environmental justice by delivering innovative clean energy technologies for nuclear energy systems.

All applications submitted under this CINR FOA must demonstrate a strong tie to at least one of these three mission priorities and highlight how it supports the DOE priorities.

NE conducts crosscutting nuclear energy research and development (R&D) and associated infrastructure support activities to develop innovative technologies that offer the promise of dramatically improved performance for its mission needs as stated above, while maximizing the impact of NE resources.

This CINR FOA addresses the competitive portion of NE’s R&D portfolio, as executed through the Nuclear Energy University Program (NEUP) and the Nuclear Science User Facilities

(NSUF). NEUP supports university-based infrastructure and R&D in areas relevant to the NE mission. By establishing the NSUF in 2007, NE opened access to material test reactors, beam lines, and post-irradiation examination facilities to researchers from U.S. universities, industry, and national laboratories, by granting no-cost access to world-class nuclear research facilities.

While this CINR FOA specifies many of NE’s current and upcoming R&D priorities, NE reserves the right to respond to potential shifts in R&D priorities during Fiscal Year (FY) 2023 that may be driven by events, policy developments, or Congressional/budget direction. Further, NE reserves the right to fund all or part of an application to this CINR FOA.

A.2 NE Program Resources

For more information on current NE programs, please visit the following links provided in the sections below.

• Fuel Cycle Technologies: https://www.energy.gov/ne/initiatives/fuel-cycle-technologies https://www.energy.gov/ne/initiatives/fuel-cycle-technologies

• Reactor Technologies: https://www.energy.gov/ne/nuclear-reactor-technologies

• Crosscutting Technologies: https://www.energy.gov/ne/nuclear-energy-enabling-technologies-neet

• Nuclear Energy University Program (NEUP): https://neup.inl.gov

• Nuclear Science User Facilities (NSUF): https://nsuf.inl.gov/

NE funds the NSUF to facilitate the advancement of nuclear science and technology by providing access, at no cost to the user, to state-of-the-art experimental irradiation testing and Post-Irradiation Examination (PIE) facilities, as well as technical assistance, including the design and analysis of reactor experiments. This unique organization is best described as a distributed partnership with each facility bringing exceptional capabilities and expertise to the relationship, including reactors, beamlines, state-of-the-art instruments, hot cells, and, most importantly, expert technical and scientific assistance.

Together, these capabilities and people create a nation-wide infrastructure that allows the best ideas to be proven using the most advanced capabilities. Through the NSUF, researchers and their collaborators are building on current knowledge to better understand the complex behavior of materials and fuels under irradiation.

The NSUF allows research teams to obtain access to designated capabilities at various unique facilities detailed on the NSUF website at NSUF.inl.gov.

Part I, Section B.2 of this CINR FOA describe application options for projects requiring

NSUF capabilities.

NOTE: Applicants requesting NSUF Access Only (with no R&D funding) will apply to one of the NSUF Access Only designated work scopes in Part 1, Table 1, a broader set of work scopes focused on NE priorities and tailored to align with NSUF capabilities.

All NSUF research must be non-proprietary and awarded projects must publish their results at the DOE, Office of Scientific and Technical Information (OSTI) website for public access (https://www.osti.gov).

NSUF Nuclear Fuels and Materials Library

The NSUF Nuclear Fuels and Materials Library (NFML), which is owned by NE and curated by the NSUF, is a collection of specialized information and nuclear fuel and material specimens from past and ongoing neutron irradiation test campaigns, as well as real-world components retrieved from decommissioned power reactors, and donations from other sources. The NFML database can be accessed at NSUF.inl.gov. To continue the expansion of the NFML, any specimens created as the result of an awarded NSUF neutron irradiation project will be added to the NFML. The Principal Investigator (PI) will be given exclusive rights to the specimens for a three-year period of PIE following completion of the neutron irradiation portion of the project. The specimens will be listed as Not Available in the NFML throughout the three-year exclusivity period. To populate the NFML, the NSUF program office may recommend irradiating a larger number of https://www.energy.gov/ne/nuclear-reactor-technologies https://www.energy.gov/ne/nuclear-energy-enabling-technologies-neet https://www.energy.gov/ne/nuclear-energy-enabling-technologies-neet https://neup.inl.gov/ https://nsuf.inl.gov/ https://nsuf.inl.gov/ https://www.osti.gov/ https://nsuf.inl.gov/ specimens than required for an awarded project. These extra specimens, not subject to the three-year exclusivity period, will be added to the NFML and made available for further research immediately after the completion of irradiation. PIs of all future awarded applications requesting specimens from previously awarded neutron irradiation tests are encouraged to contact the original PI(s) for potential collaboration. Although collaboration with the original PI(s) is encouraged, permission from the original PI(s) to use previously generated materials that are currently Available in the NFML is not required. It is strongly suggested that CINR FOA applicants contact the NFML

Coordinator, listed at NSUF.inl.gov/Home/Staff, to confirm availability of specimens to be requested.

• Gateway for Accelerated Innovation in Nuclear (GAIN): https://gain.inl.gov/

B. FUNDING OPPORTUNITIES

NE is seeking applications from U.S. universities, national laboratories, and industry to conduct nuclear energy-related research to help meet the objectives of the major NE funded research areas.

Specifically, this CINR FOA contains the following three separate funding opportunity areas:

1) U.S. University-led R&D Projects

2) U.S. University-led Integrated Research Projects (IRPs)

3) U.S. University-, National Laboratory-, or Industry-led Nuclear Science User

Facilities (NSUF) Access Only Projects

These three funding opportunity areas are described in detail in Part I, Sections B.1-B.3 below:

B.1 U.S. University-led R&D Projects

The U.S. University-led R&D Projects funding opportunity area is available to U.S. university-led teams. In general, R&D is defined by the statement of objectives defined in the work scopes in Appendix A. R&D work must be directly tied to the NE mission. U.S. university PIs are invited to propose research projects in response to this area of the CINR FOA and the associated work scopes in Part IX, Appendix A of this CINR FOA

B.2 U.S. University-led IRPs

IRPs comprise a significant element of NE’s innovative nuclear research objectives and represent significant needs to support the NE mission objectives. IRPs are significant projects within specific research areas. IRPs are intended to develop a capability within each area to address specific needs, problems, or capability gaps identified by NE. These projects are multidisciplinary and require multi-institutional partners. IRPs may include a combination of evaluation capability development, research program development, experimental work, and computer simulations. IRPs are intended to integrate several disciplinary skills to present solutions to complex systems design problems that cannot be addressed by a less comprehensive team.

https://nsuf.inl.gov/Home/Staff https://gain.inl.gov/

Although a university PI must lead a proposing team and include at least one additional university collaborator, the proposed project team may include multiple universities and non-university partners (e.g., industry/utility, minority-serving institutions (MSIs), national laboratories, and international partners).

U.S. university PIs are invited to propose research projects in response to this area of the CINR

FOA and the associated work scopes contained in Part IX, Appendix B of this CINR FOA.

B.3 U.S. University-, National Laboratory-, or Industry-led NSUF Access Only Projects

NSUF Access Only project applications require a Letter of Intent (LOI) in addition to the Pre-

Application and, if invited (see Part V, Section B.1 of this CINR FOA), a Full Application.

NSUF Access Only project applications will also require a feasibility review and readiness review in addition to the relevancy and technical reviews. Important aspects of NSUF Access

Only applications are described in Appendix D of this CINR FOA and should be seriously considered when preparing applications. It is strongly recommended that all potential proposers review the contents of the NSUF website NSUF.inl.gov/ for vital information.

DOE intends to fully fund all awarded NSUF Access Only projects for the entire duration of the project, subject to any conditions or limitations contained in the award instruments. NSUF

Access Only project attributes include:

• U.S. university, national laboratory, and industry PIs may apply for NSUF Access

Only funding and by-way-of the associated work scope in Part IX, Appendix C of this

CINR FOA. Applications must comply with the provisions of Part IX, Appendix D of this CINR FOA.

NSUF does not guarantee results but only access to NSUF capabilities. NSUF does not provide funding to the PI to support salaries, tuition, travel, or other costs typically supported via NE

Program funds.

B.3.1 NSUF Readiness

Applicants must demonstrate readiness for NSUF access. In the NSUF Pre-Application, a summary (one or two paragraphs) of readiness is required. In the Full Application, a detailed description (up to one page) of readiness is required. Applications that do not adequately demonstrate readiness will not be considered for selection. Awarded projects that are found to not be ready for NSUF access may be cancelled. Additional information on the NSUF process is included in Part IX, Appendix D.

The following items must be completed prior to submitting a Pre-Application requesting NSUF access:

• Development, qualification, and demonstration of fabrication techniques, processes and methods on the materials to be studied;

• Pre-irradiation characterization (physical, mechanical, thermal, chemical and other applicable properties);

• Unirradiated material interaction studies (at irradiation temperature and chemistry);

https://nsuf.inl.gov/

• Unirradiated corrosion studies (at irradiation temperature and chemistry); and

• Pre-irradiation qualification of sensors, including functional and operational testing, and endurance testing at the irradiation environmental conditions (pressure, temperature, corrosion, etc.).

For projects utilizing fuels or materials coming from an on-going irradiation, the irradiation schedule at time of review rather than at the time of proposal submission will be taken into consideration for determining readiness of the project. A plan for delivery of fuel, material, or sensors must be addressed with specific attention to the following:

• Structural and cladding materials for neutron irradiation must be supplied to NSUF three months after project initiation for the material to be machined to proper sample configuration prior to encapsulation. Provide a statement of the supplier’s commitments including lead times.

• For previously irradiated fuels and materials not residing in the NSUF NFML, the location (as specific as possible), condition, provenience, pedigree, radioactivity levels, isotopic content, material composition, configuration, ownership, and any other available information that will be needed to ship and/or prepare the fuel or material for examination must be identified.

• For PIE only awards, samples must be available to undergo PIE by October 1st following the award.

• For fuels and materials residing in the NSUF NFML, identify the specific specimen(s).

• For any fuels or materials supplied for the purpose of neutron irradiation, the applicant must own and have full authority to transfer ownership and title (free of any liens, claims of ownership, or other liabilities) to DOE.

• Supplier information and lead times for sensors need to be provided.

• For fuels or materials coming from other DOE programs (not NSUF), a statement of program commitment is required. If invited to submit a Full Application, a statement that includes concurrence from the appropriate DOE federal program manager or national technical director is to be attached in the Pre-Application in the section titled Post

Submission Attachments.

o Name File: 2023 Program Concurrence “Insert ID #”

Projects whose relevancy is based solely or primarily on fusion energy needs will not be considered. Pre-Applications must include a list of publications that resulted from previous

NSUF supported projects.

NOTE: Access to NSUF capabilities will require agreement and final signature to the User

Agreement (copy provided in Part IX, Appendix E). The terms and conditions of the User

Agreement are non-negotiable, and failure to accept the terms and conditions of the User

Agreement will terminate processing and review of the NSUF applications. To ensure compliance throughout the application review process, applicants must indicate in the LOI and

Full Application submission that the User Agreement has been read, understood, and the terms and conditions are accepted. Further, submission of a Pre-Application and a Full Application indicates the applicant will comply with and agree to the terms and conditions of the User

Agreement. Upon award of an NSUF supported project, the User Agreement must be signed before activities will begin on the project. Failure to sign the non-negotiable User Agreement within 30 days of receipt of the User Agreement may result in cancellation of an awarded project.

Work scopes for the respective CINR FOA areas, with the indicated funding opportunities described above, may be found in the Part IX Appendices of this CINR FOA as follows:

• Appendix A: “Work scopes for U.S. University-led R&D Projects”

• Appendix B: “Work scopes for U.S. University-led IRPs”

• Appendix C: “Work scopes for U.S. University-, National Laboratory-, or Industry-led

NSUF Access Only Projects”

Table 1. FY 2023 Work Scope Overview

W o r k

S c o p e

C d

A p p e n ix

N S

U F

A c c e ss

Led by:

Work Scope Title

U n iv e r sity a tio n a l

L a b o r a to y

In u str

Topic Area 1 – Reactor Development and Plant Optimization (up to 3 years and up to $1,000,000)

RDO-1 A No X Advanced Reactor Development

RDO-2 A No X Improving Economic Competitiveness

RDO-3 A No X Integrated Energy Systems and Industrial Applications

RDO-4 A No X Remote Deployment/Dedicated Power Supplies

Including Siting

RDO-5 A No X Implementation of Artificial Intelligence and Machine

Learning

RDO-6 A No X Other Reactor Development and Plant Optimization

Topic Area 2 – Fuel Cycle Technologies (up to 3 years and up to $1,000,000)

FC-1 A No X Aqueous Separations Chemistry

FC-2 A No X Molten Salt Separations and Solution Chemistry

FC-3 A No X Spent Fuel and Waste Disposition: Disposal

FC-4 A No X Spent Fuel and Waste Disposition: Storage and

Transportation

FC-5 A No X Other Fuel Cycle Technologies

Topic Area 3 – Fuels (up to 3 years and up to $1,000,000)

FL-1 A No X Accident Tolerant Fuels

FL-2 A No X TRISO Fuels

FL-3 A No X Metallic Fuels

FL-4 A No X Other Fuels Topics

Topic Area 4 – Modeling and Simulation (up to 3 years and up to $1,000,000)

M&S-1 A No X Multi-scale Modeling

M&S-2 A No X Verification and Validation/Uncertainty Quantification

M&S-3 A No X Other Modeling and Simulation Topics

Topic Area 5 – Instrumentation and Controls (up to 3 years and up to $1,000,000)

IC-1 A No X Sensors and Instrumentation

IC-2 A No X Advanced Control Systems

IC-3 A No X Advanced Nuclear Cybersecurity

IC-4 A No X Other I&C Topics

*University-led and collaboration with minority serving institutions (MSIs), historically black colleges and universities (HBCUs), or tribal colleges and universities (TCUs) is required. Please refer to Part I, Section B.2 for more information on and identification of MSIs.

W o r k

S c o p

C

A p p e n ix

S

U F

A c c e ss

Led by:

Work Scope Title

U n iv e sity a tio n a l

L a b o r a to

In u str

Topic Area 6 – Licensing and Safety (up to 3 years and up to $1,000,000)

LS-1 A No X Risk Informed Systems Analysis/Probabilistic Risk

Assessment

LS-2 A No X Safety Implications of Utilizing Process Heat

LS-3 A No X Advanced Reactors and Fuel Cycle Facilities Materials, Accountancy, Control, and Physical Protection

LS-4 A No X Advanced Reactor Licensing Topics

LS-5 A No X Other Licensing and Safety Topics

Topic Area 7– Advanced Nuclear Materials (up to 3 years and up to $1,000,000)

NM-1 A No X LWR Core or Structural Materials

NM-2 A No X Advanced Reactor Core or Structural Materials

NM-3 A No X Advanced Manufacturing Technologies

NM-4 A No X Material for Fuel Recycling Applications

NM-5 A No X Other Advanced Nuclear Material Topics

Strategic Needs Blue Sky (up to 3 years and up to $500,000)

SN-1 A No X Thermal Hydraulics and Heat Transfer

SN-2 A No X Reactor Physics

SN-3 A No X Nuclear Chemistry

Integrated Research Projects

IRP-1 B No X Grand Challenge IRP – Accelerating Reactor

Deployment

IRP-2* B No X Grand Challenge Research and Development at

Minority Serving Institutions

Nuclear Science User Facilities - Access Only

NSUF-1.1 C Yes X X X Core and Structural Materials and Nuclear Fuel

Behavior and Advanced Nuclear Fuel Studies

NSUF-1.2 C Yes X X X High Performance Computing at Idaho National

Laboratory

Fiscal Year 2023 Consolidated Innovative Nuclear Research PART II

PART II – AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

DOE anticipates awarding grants under this CINR FOA with the exception of awards to national laboratories, which will be funded through field work proposals (FWPs), and NSUF Access Only

Awards, which will be funded through an NSUF User Agreement.

B. ESTIMATED FUNDING

The estimated amounts identified for each of the CINR FOA areas are specified in Part II, Sections B.1-B.3 of this CINR FOA with ceilings and floors specified in Section C below.

Funding for all awards is contingent upon the availability of funds appropriated by Congress for the purpose of this program.

B.1 U.S. University-led R&D Projects

NE currently estimates that it will fund approximately $41 million in awards for the U.S.

University-led R&D Projects CINR FOA area.

B.2 U.S. University-led IRPs

NE currently estimates that it will fund approximately $6 million in awards for the U.S.

University-led IRP Projects CINR FOA area.

B.3 U.S. University-, National Laboratory-, or Industry-led NSUF Access Only Projects

NE currently estimates that it will fund approximately $3 million in award value for the U.S.

University-, National Laboratory-, or Industry-led Nuclear Science User Facilities Access

Projects (NSUF Access Only) CINR FOA area.

C. MAXIMUM AND MINIMUM AWARD SIZE

The ceiling (i.e., the maximum amount for an individual award made under each area) and floor

(i.e., the minimum amount for an individual award made under each area) for each of the three

CINR FOA areas are identified in Part II, Sections C.1-C.3 below:

C.1 U.S. University-led R&D Projects

• Ceiling: up to $1,000,000 (3-year project), except as explicitly noted in individual work scopes.

• Floor: None.

C.2 U.S. University-led IRPs

• Ceiling: up to $3,000,000 (3-year project), except as explicitly noted in individual work scopes.

• Floor: None.

C.3 U.S. University-, National Laboratory-, or Industry-led NSUF Access Only Projects

• Ceiling: Irradiation/PIE Project: $4,000,000 NSUF Access Only Value (up to a 7-year project).

• Floor: None.

D. EXPECTED NUMBER OF AWARDS

The number of awards for each of the three CINR FOA areas is identified in Part II, Sections

D.1-3 of this CINR FOA below. The number of awards is dependent on the size of the awards.

DOE reserves the right to make more or fewer (or even no awards) depending on funding availability and/or the quality of the applications.

D.1 U.S. University-led R&D Projects

NE anticipates making approximately 43 awards under the U.S. University-led R&D Projects

CINR FOA area.

D.2 U.S. University-led IRPs

NE anticipates making approximately 1 award under the U.S. University-led IRPs CINR FOA area.

D.3 U.S. University-, National Laboratory-, or Industry-led NSUF Access Only Projects

NE anticipates making approximately 2 or more awards under the U.S. University-, National

Laboratory-, or Industry-led NSUF Access Only CINR FOA area.

E. ANTICIPATED AWARD SIZE

The anticipated award size for each of the three CINR FOA areas are identified in Part II

Sections E.1-3 of this CINR FOA below. Amounts represent anticipated maximum per award.

E.1 U.S. University-led R&D Projects

DOE anticipates that awards will be up to $1,000,000 per award (except as explicitly stated in individual work scope areas).

E.2 U.S. University-led IRPs

NE anticipates that awards will be up to $3,000,000 for the U.S. University-led IRPs CINR FOA area, except as stated in individual work scopes.

E.3 U.S. University-, National Laboratory-, or Industry-led NSUF Access Only Projects

NE anticipates that award access value (funds not provided to the PI) should fall within the following ranges for U.S. University-, National Laboratory-, or Industry-led NSUF Access Only CINR FOA area:

• Neutron Irradiation only: $500,000 to $3,500,000, typically up to 3-year duration.

• Neutron Irradiation and PIE: $500,000 to $4,000,000, up to 7-year duration.

• Synchrotron or Neutron Beamline or PIE only: $50,000 to $750,000, typically up to 3-year duration.

• Ion or Gamma Irradiation only: $20,000 to $100,000, typically up to 3-year duration.

• Ion or Gamma Irradiation and PIE: $50,000 to $250,000, typically up to 3-year duration.

F. PERIOD OF PERFORMANCE

NE anticipates making awards for up to three years for each of the CINR FOA areas with the exception of awards involving NSUF access, which may take up to seven years if neutron irradiation and PIE is requested. Assuming NE makes awards under this CINR FOA by

September 2023, funded projects shall begin no later than October 1, 2023. Proposing different start dates for the project and budget periods may make the application ineligible for award. If a different project start date, other than October 1, 2023, is necessary for the successful performance of the project, it must be fully documented and justified in the application for consideration by NE.

G. TYPE OF APPLICATION

DOE will accept only new applications for each of the three CINR FOA areas defined in Part I, Section B of this FOA. Applications made to previous FOAs will not be considered. Previous applications can be resubmitted as a new application to this CINR FOA.

Fiscal Year 2023 Consolidated Innovative Nuclear Research PART III

PART III – ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

DOE has restricted eligibility for award in accordance with the Code of Federal Regulations, 2

CFR 910.126(b). This eligibility restriction does not apply to subrecipients, subawards, vendors, or team members of the prime/lead applicant. This CINR FOA is open to only U.S. universities, national laboratories, and industry entities.

NE strives to ensure energy justice and is fully committed to broadening the inclusion and contribution of those communities that have been historically underserved within its programs.

NE strongly encourages diversifying its research portfolio through effective teams and/or partnerships with MSIs, including Historically Black Colleges and Universities (HBCUs) and

Tribal Colleges and Universities (TCUs), or institutions located in a disadvantaged community, which may receive funding support from the project. The application must originate from the lead institution. All lead PIs must have an active account in the NEUP.gov website submittal system.

Information on Minority Serving Institutions (MSI) can be found at https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html#tips. This information predominately covers institutions that have been awarded grants through the Department of

Education and does not include all institutions that may meet the definition of an MSI. This resource is not an exhaustive list of minority-serving institutions.

For purposes of identifying MSIs in NE’s application system, NE is using a directory based off of 2020 U.S. Department of Education data compiled by Rutgers University’s Center for MSIs, which can be found here:

https://www2.ed.gov/about/offices/list/ope/idues/2022eligibilitymatrix.xlsx. This list is also not an exhaustive list of MSIs but will be used as a starting point for auto-identifying MSIs.

If applicants believe that their institution qualifies as an MSI and is not listed, please contact neup@inl.gov with an explanation for how the university meets the conditions of being considered an MSI.

Research consortiums may be composed of diverse institutions including academia, national laboratories, non-profit research institutes, industry/utilities, and international partners. Research teams should strive to achieve the synergies that arise when individuals with forefront expertise in different methodologies, technologies, disciplines, and areas of content knowledge approach a problem together, overcoming impasses by considering the issue from fresh angles and discovering novel solutions.

This CINR FOA provides award opportunities to U.S. owned entities as defined in 2 CFR

910.124:

2 CFR 910.124(b) definitions include:

United States means the several States, the District of Columbia, and all commonwealths, territories, and possessions of the United States.

https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww2.ed.gov%2Fabout%2Foffices%2Flist%2Fope%2Fidues%2Feligibility.html%23tips&data=05%7C01%7CAnna.Podgorney%40inl.gov%7C09966166ecf14700e46008da852233a1%7C4cf464b7869a42368da2a98566485554%7C0%7C0%7C637968680215395909%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=YoJeZjMg%2FXyS09AL2vqYp5cbpRwMZgCSoxCO%2BfhD%2BhU%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww2.ed.gov%2Fabout%2Foffices%2Flist%2Fope%2Fidues%2F2022eligibilitymatrix.xlsx&data=05%7C01%7CAnna.Podgorney%40inl.gov%7C09966166ecf14700e46008da852233a1%7C4cf464b7869a42368da2a98566485554%7C0%7C0%7C637968680215395909%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=hp%2FLtrX2gk0%2FfaFQU0DPxloO%2BRnh%2BIVgu6PkfKVLtpI%3D&reserved=0 mailto:neup@inl.gov

United States-owned company means:

(1) A company that has majority ownership by individuals who are citizens of the

United States, or

(2) A company organized under the laws of a State that either has no parent company or has a parent company organized under the laws of a State.

2 CFR 910.124(c):

A company shall be eligible to receive an award of financial assistance under a covered program only if DOE finds that -

(1) Consistent with § 910.124(d), the company's participation in a covered program would be in the economic interest of the United States; and

(2) The company is either -

(i) A United States-owned company; or

(ii) Incorporated or organized under the laws of any State and has a parent company which is incorporated or organized under the laws of a country which -

(A) Affords to the United States-owned companies opportunities, comparable to those afforded to any other company, to participate in any joint venture similar to those authorized under the Act [Section 2306 of the Energy Policy

Act of 1992, 42 U.S.C. 13525];

(B) Affords to United States-owned companies local investment opportunities comparable to those afforded to any other company; and

(C) Affords adequate and effective protection for the intellectual property rights of United States-owned companies.

2 CFR 910.124(d):

Determining the economic interest of the United States. In determining whether participation of an applicant company in a covered program would be in the economic interest of the United States under § 910.124(c)(1), DOE may consider any evidence showing that a financial assistance award would be in the economic interest of the United States including, but not limited to -

(1) Investments by the applicant company and its affiliates in the United States in research, development, and manufacturing (including, for example, the manufacture of major components or subassemblies in the United States);

https://www.ecfr.gov/current/title-2/section-910.124#p-910.124(d) https://www.govinfo.gov/link/uscode/42/13525 https://www.ecfr.gov/current/title-2/section-910.124#p-910.124(c)(1)

(2) Significant contributions to employment in the United States by the applicant company and its affiliates; and

(3) An agreement by the applicant company, with respect to any technology arising from the financial assistance being sought –

(i) To promote the manufacture within the United States of products resulting from that technology (taking into account the goals of promoting the competitiveness of United States industry); and

(ii) To procure parts and materials from competitive suppliers.

While international partners are encouraged to participate, no U.S. Government funding will be provided to entities incorporated outside of the United States or to a foreign government or any entity owned or controlled by a foreign government. Foreign government ownership means direct ownership of the applicant entity, its parent organization (e.g., trust, holding company, corporation, etc.), and any and all other entities in the corporate structure regardless of the applicant entity’s place of incorporation and operation. NE will evaluate the benefit and contribution of any such proposed partnerships as part of its evaluation of the relevancy to the

NE mission.

A collaborator is an individual that makes a defined, material contribution that is critical to the success of the project and/or contributing to joint publications. Any individual appearing in the project summary, technical narrative, benefit of collaboration, coordination and management plan, or budget documents should be listed directly as collaborators on the application form. All collaborators must be added to the application form with complete information. Any individuals that do not meet these criteria should not be listed as collaborators on the application.

Applicants must have the full consent of each collaborator prior to listing them on an application form. Non-university collaborators (except in NSUF Access Only CINR FOA areas), in composite, can have no more than 20% of the total funds provided by the Government. An employee with a joint appointment between a university and a DOE national laboratory can apply through the institute of higher education (IHE) if the institution pays his or her salary and provides his or her benefits.

Part IV, Section I of this CINR FOA outlines funding restrictions for this CINR FOA.

A.1 Domestic Entities

For-profit entities, educational institutions, and nonprofits1 that are incorporated (or otherwise formed) under the laws of a particular state or territory of the United States are eligible to apply for funding as a prime or subrecipient (only educational institutions may apply as a prime recipient for U.S. university-led projects).

1 Nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 2005, are not eligible to apply for funding.

State, local, and tribal government entities are eligible to apply for funding as a subrecipient (for

U.S. university-, national laboratory-, or industry-led projects only).

DOE/National Nuclear Security Administration (NNSA) Federally Funded Research and

Development Centers (FFRDC) and DOE Government-Owned Government-Operated laboratories are eligible to apply for funding as a prime recipient, team member, or subrecipient in the NSUF Access Only CINR FOA area. If an FFRDC is proposed as a team member or subrecipient, the requirements contained in Part III, Section C, apply.

Non-DOE/NNSA FFRDCs and non-DOE Government-Operated Government-Owned laboratories are eligible to apply for funding as a subrecipient but are not eligible to apply as a prime recipient.

Federal agencies and instrumentalities (other than DOE) are eligible to apply for funding as a subrecipient but are not eligible to apply as a prime recipient.

A.2 U.S. Incorporated Foreign Entities

U.S. incorporated foreign entities, whether for-profit or otherwise, are eligible to apply for funding under this CINR FOA as either a prime recipient or subrecipient subject to the requirements in 2 CFR 910.124.

A.3 Incorporated Consortia

Incorporated consortia, which may include domestic and/or foreign entities, are eligible to apply for funding as a prime recipient (U.S. university- or national laboratory-led projects only) or subrecipient. For consortia incorporated (or otherwise formed) under the laws of a State or territory of the United States, please refer to “Domestic Entities” in Part III, Section A.1 above.

For consortia incorporated in foreign countries, please refer to the requirements in “U.S.

Incorporated Foreign Entities” Part III, Section A.2 above.

A.4 Unincorporated Consortia

Unincorporated consortia, which may include domestic and foreign entities, must designate one member of the consortium to serve as the prime recipient/consortium representative (U.S.

university- or national laboratory-led projects only). The prime recipient/consortium representative must be incorporated (or otherwise formed) under the laws of a State or territory of the U.S. The eligibility of the consortium will be determined by the eligibility of the prime recipient/consortium representative.

B. APPLICATION RESTRICTIONS

U.S. university PIs may submit up to six Pre-Applications (three of those applications may be as lead PI).

A PI may have no more than one IRP, or three R&D projects (excluding NSUF Access Only projects) funded at any time and may not submit more Full Applications than would be allowed by these restrictions.

PIs cannot submit the same application to multiple work scope areas, including the NSUF

Access Only CINR FOA area.

NSUF Access Only projects are not bound by these eligibility restrictions, unless specified above.

NOTE: Procurement regulations require that applications submitted to this CINR FOA will be awarded to the applicant entity listed and will not be transferred pre-award to another institution if a lead PI changes institutions. Following the date set in this CINR FOA for receipt of applications, PIs that are moving from one institution to another during the CINR review time period are subject to the DOE-ID Changing Principal Investigator and Related

Changes/Revisions Policy which is explained at www.NEUP.gov. Post award revision must adhere to the requirements of 2 CFR 200.308.

NOTE: Due to the COVID-19 pandemic, FY 2017-2019 active projects will not be counted toward eligibility restrictions.

The following application restrictions apply to lead PIs:

B.1 R&D Application Restrictions

Applicants are ineligible to submit an R&D application to this CINR FOA as a lead PI under any of the following circumstances:

• The PI has a currently funded IRP that will be active after December 31, 2023.

• The PI has three or more R&D projects that will still be active after December 31, 2023, excluding NSUF Access Only projects.

• The PI has a no-cost extension on any NE funded project (excluding Infrastructure) that will still be active beyond December 31, 2023, excluding extensions caused by

NSUF.

B.2 IRP Application Restrictions

Applicants are ineligible to submit an IRP application to this CINR FOA as a lead PI under any of the following circumstances:

• The PI has a currently funded IRP that will be active after December 31, 2023.

• The PI has a no-cost extension on any NE funded project (excluding Infrastructure) that will still be active beyond December 31, 2023, excluding extensions caused by

NSUF.

• The applicant is designated as PI for more than one currently funded NE project that will be active beyond December 31, 2023. Applicants with only one currently funded

R&D project are eligible to apply for an IRP.

• If a PI chooses to submit an IRP application to this CINR FOA and has no currently funded R&D projects that will still be active after December 31, 2023, excluding

NSUF Access Only projects, that PI is allowed to submit up to one R&D application as the lead. In the event that both the IRP and R&D applications are successful, only one award will be made with…