FY 2025 PhaseII CINR FOA DE-FOA-0003310 Final.pdf

U. S. Department of Energy Idaho Operations Office

Fiscal Year 2025 Phase II Continuation Consolidated

Innovative Nuclear Research

Funding Opportunity Announcement: DE-FOA-0003310 Announcement Type: Initial – May 20, 2024

Assistance Listings Number: 81.121

Informational Webinar: May 9, 2024

FOA Issue Date: May 20, 2024

Letter of Intent Due Date (Mandatory for all applications) June 05, 2024, at 5:00 p.m. ET

Full Application Due Date: October 02, 2024, at 5:00 p.m. ET

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

(Video links and presentations are available at www.NEUP.gov) http://www.neup.gov/

Page ii of ix

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 (UEI) 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 Part 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.

If you have any questions about your registration, contact the Innovative Nuclear Research (INR) Integration Office at 208-526-5689 or at neup@inl.gov.

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

Page iii of ix

Any questions regarding the FOA or application requirements must be directed to Andrew Ford at fordaj@id.doe.gov.

mailto:fordaj@id.doe.gov

Page iv of ix

CHECKLIST FOR AVOIDING COMMON ERRORS

Item Issue

Page Limits Strictly follow page and font limits throughout application documents, including but not limited to:

- Technical Abstract (use appropriate template)

- Project Narrative (font must not be less than 11 pt for all, including tables, figures, and references)

- Benefit of Collaboration

- Capabilities

- CVs

Protected Personally Identifiable Information

Ensure none are present in the application. (Do not include citizenship numbers in applications.)

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 technical abstract, project narrative, benefit of collaboration, coordination and management plan, or budget documents.

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.

- Clearly delineate subaward and FFRDC costs in budget justification Current and Pending Support - Ensure complete disclosures of current and pending support for the PI and all industry and academic collaborators named in the application. (This form is not required for national laboratory participants.)

- Ensure the certification wording from Part IV Section D.11.1 is included in the template. (If using the SciENcv template, the certification wording, signature and date must be appended to this form.)

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

Font Size - Pay particular attention to required font format and sizes, typically, Times new Roman, 11 pt. font

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.

Fiscal Year 2025 Phase II Continuation CINR

Page iv of ix

Table of Contents

PART I - FUNDING OPPORTUNITY DESCRIPTIONS

A. STATEMENT OF OBJECTIVES

A.1 Background A.2 NE Program Resources A.3 Statutory Authority

B. OBJECTIVES

PART II - AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

B. ESTIMATED FUNDING

C. MAXIMUM AND MINIMUM AWARD SIZE

D. EXPECTED NUMBER OF AWARDS

E. ANTICIPATED AWARD SIZE

F. PERIOD OF PERFORMANCE

G. TYPE OF APPLICATION

PART III - ELIGIBILITY INFORMATION

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

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. APPLICATION SUBMITTAL INSTRUCTIONS

C.1 Letter of Intent (LOI) C.2 LOI Submittal Instructions

D. CONTENT AND FORM OF ALL FULL APPLICATIONS

D.1 Conflict-of-Interest (COI) Acknowledgement D.2 SF-424 Research and Related (R&R) D.3 Research and Related (R&R) Other Project Information D.4 Project Abstract D.5 Project Narrative D.6 Transition Plan D.7 Vitae (Technical Expertise and Qualifications)

Page v of ix

D.8 Benefit of Collaboration D.9 Capabilities

E. Budget Documents E.1 SF-424 Research and Related (R&R) Lead Budget Form:

E.2 Additional Attachments

F. REQUIRED DOCUMENTS AFTER SELECTED FOR NEGOTIATIONS

F.1 Environmental Checklist F.2 Data Management Plan (DMP)

G. SUBMISSION FROM SUCCESSFUL APPLICANTS

H. SUBMISSION DATES AND TIMES

H.1 LOI Due Date H.2 Full Application Due Date H.3 Late Submissions, Modifications, and Withdrawals of Letters of Intent and Full Applications

I. INTERGOVERNMENTAL REVIEW

J. FUNDING RESTRICTIONS

J.1 Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs J.2 Foreign National Participation J.3 Foreign Travel J.4 Cost Principles J.5 Pre-Award Costs J.6 Potentially Duplicative Finding Notice J.7 Foreign Collaboration Considerations

K. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS

K.1 Where to Submit K.2 Application Validity Timeframe

PART V - APPLICATION REVIEW INFORMATION

A. CRITERIA

A.1 LOI Review A.2 Initial Review Criteria of Full Applications A.3 Full Application Merit Review Criteria A.4 Program Policy Factors A.5 Selection

B. SUMMARY OF THE REVIEW AND SELECTION PROCESS

B.1 Letters of Intent B.2 Full Applications B.3 Review of Risk B.4 Reporting of Matters Related to Recipient Integrity and Performance B.5 Government Discussion with Applicant

C. ANTICIPATED NOTICE OF SELECTION

PART VI - AWARD ADMINISTRATION INFORMATION

A. AWARD NOTICES

A.1 Notice of Selection A.2 Unsuccessful Applicants A.3 Nondisclosure and Confidentiality Agreements Representations A.4 Notice of Award

Page vi of ix

A.5 Participants and Collaborating Organizations A.6 Current and Pending Support A.7 Post Selection Information Requests

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

B.1 Administrative Requirements B.3 Subaward and Executive Reporting B.4 Special Terms and Conditions and National Policy Requirements B.5 Intellectual Property Provisions B.6 Interim Conflict of Interest Policy for Financial Assistance B.7 Lobby Restrictions B.8 Corporate Felony Conviction and Federal Tax Liability Representations B.9 Statement of Federal Stewardship B.10 Fraud, Waste, and Abuse

C. REPORTING

PART VII - QUESTIONS/AGENCY CONTACTS

A. QUESTIONS

B. AGENCY CONTACT

C. INFORMATIONAL WEBINAR

PART VIII - OTHER INFORMATION

A. MODIFICATIONS

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

L. PROHIBITION ON CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE SERVICES OR

EQUIPMENT

Page vii of ix

LIST OF ACRONYMS

CFR Code of Federal Regulations

CINR Consolidated Innovative Nuclear Research

COI Conflict of Interest

COI Policy Conflict of Interest Policy for Financial Assistance

DAC Disadvantaged Community

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

NNSA National Nuclear Security Administration

NSPM National Security Presidential Memorandum

NSUF Nuclear Science User Facilities

OMB Office of Management and Budget

OMI Other Minority Institutions

PDF Adobe Portable Document Format

PI Principal Investigator

Page viii of ix

QA Quality Assurance

R&D Research and Development

RD&D Research, Development, and Demonstration

SAM System for Award Management

SO Selection Official

TCU Tribal Colleges and Universities

UEI Unique Entity Identifier

U.S. United States

Fiscal Year 2025 Phase II Continuation CINR PART II

PART I - FUNDING OPPORTUNITY DESCRIPTIONS

A. STATEMENT OF OBJECTIVES

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

A.1 Background The Office of Nuclear Energy (NE) mission is to advance nuclear energy science and technology to meet U.S. energy, environmental, and economic needs. NE has identified the following goals to address challenges in the nuclear energy sector, help realize the potential of advanced technology, and leverage the unique role of the government in spurring innovation:

• Keep existing U.S. nuclear reactor operating,

• Deploy new nuclear reactors,

• Secure and sustain our nuclear fuel cycle, and

• Expand international nuclear energy cooperation.

All applications submitted under this Phase II Continuation CINR FOA must demonstrate a strong tie to at least one of these four mission priorities and highlight how it supports DOE priorities. Applications focused specifically in areas not of interest to the NE mission, such as fusion energy, medical physics, nuclear forensics, or environmental management, will not be reviewed or considered.

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 Phase II Continuation CINR FOA provides opportunities for teams that have performed high quality work through the Nuclear Energy University Program (NEUP) to propose new projects that complement and enhance ongoing NEUP research through a competitive application and review process. This Phase II Continuation CINR process is executed through NEUP. NEUP supports university-based infrastructure and R&D (including Integrated Research Projects) in areas relevant to the NE mission.

While this Phase II Continuation 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) 2025 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 FOA.

A.2 NE Program Resources For more information on current NE programs, please visit the following links:

• 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

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

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

• Spent Fuel and Waste Disposition: https://www.energy.gov/ne/spent-fuel-and-waste-disposition

• Consent-Based Siting: https://www.energy.gov/ne/consent-based-siting

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

Active NEUP project abstracts can be found at neup.gov under the R&D and Integrated Research Project (IRP) tabs.

A.3 Statutory Authority The activities to be supported under this FOA are authorized under § 951 (a) of the Energy Policy Act of 2005, as codified at 42 U.S.C. § 16271(a). Additionally, 42 U.S.C. § 16274 and 31 U.S.C. § 6304 applies.

B. OBJECTIVES

NE is seeking Phase II Continuation CINR applications from U.S. universities to conduct nuclear energy-related research to help meet the objectives of the major NE funded research areas.

The Phase II Continuation CINR FOA is focused on continuing promising research pathways by soliciting applications that directly complement and extend research that has previously been awarded through NEUP.

CINR awarded projects, including R&D and IRPs, that conclude between January 1, 2025, and September 30, 2025, are eligible to apply.

Nuclear Science User Facilities (NSUF) Access Only projects are not eligible to apply to this funding opportunity and should instead apply to the NSUF Access Only process under the separate FY 2025 CINR FOA for additional access to NSUF capabilities.

Phase II Continuation CINR projects, by their nature as extensions of current research direction, are shorter in duration and smaller in scope than original CINR projects. Phase II Continuation CINR projects should provide a logical path between the current research scope of the active CINR project and the new scope in a way that creates a seamless transition between the two projects.

The original CINR project and the Phase II Continuation CINR project are separate competitive DOE awards. Although the research scope should seamlessly transition, the original CINR award will conclude between January 1, 2025, and September 30, 2025, and the Phase II Continuation CINR project will begin on August 1, 2025. Remaining funds from the original CINR project 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://www.energy.gov/ne/spent-fuel-and-waste-disposition https://www.energy.gov/ne/spent-fuel-and-waste-disposition https://www.energy.gov/ne/consent-based-siting https://gain.inl.gov/ https://neup.inl.gov/SitePages/Home.aspx cannot be transferred to the Phase II Continuation CINR project award. CINR projects that are concluding on a no-cost time extension can apply for a Phase II Continuation CINR award. The active CINR project and a Phase II Continuation CINR award can have minimal overlap typically no more than two months between August 1, 2025, and September 30, 2025.

NE anticipates that Phase II Continuation CINR projects will be awarded so that there is no gap in funding between the original CINR project and the newly awarded Phase II Continuation CINR project. If there is a gap in funding due to the project ending before July 31, 2025, the PI must provide a clear mitigation and justification plan for how the project will restart after a short lapse in funding.

PART II - AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

DOE anticipates awarding grants under the Phase II Continuation CINR FOA.

B. ESTIMATED FUNDING

The estimated amounts identified for each of the Phase II Continuation CINR FOA areas are specified in Part II. NE currently estimates $3 million in awards for this FOA. Funding for all awards is contingent upon the availability of funds appropriated by Congress for the purpose of this program.

DOE is under no obligation to pay for any costs associated with preparation or submission of applications. DOE reserves the right to fund, in whole or in part, any, all, or none of the applications submitted in response to this FOA.

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) are identified in Part II, below:

Ceiling Federal Floor*

U.S. University-led R&D Projects (Original project funding levels between $800,000-$1,000,000)

Up to 2/3s of original CINR project award (2-year project)

None

U.S. University-led Mission Supporting/Strategic Needs R&D Projects (Original project funding levels between $400,000-$500,000)

Up to 2/3s of original CINR project award (2-year project)

None

U.S. University-led IRPs (Original project funding level between $1,500,000-$5,000,000)

Up to 2/3s of original CINR project award (2-year project)

None

*Federal Floor is the minimum amount for an individual award made under this announcement

D. EXPECTED NUMBER OF AWARDS

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.

NE anticipates making 4 awards under this FOA.

E. ANTICIPATED AWARD SIZE

NE anticipates making several smaller awards. Anticipated award size is no more than two thirds of the original project award and will typically fall in the $300,000-$1,000,000 range.

F. PERIOD OF PERFORMANCE

NE anticipates making awards for up to 2 years. Assuming NE announces awards under this Phase II Continuation CINR FOA by March 2025, funded projects shall begin no later than August 1, 2025. 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 August 1, 2025, 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 directly tied to a currently active CINR project.

Fiscal Year 2025 Phase II Continuation CINR 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 Phase II Continuation CINR FOA is open to only U.S. universities as prime recipients. National laboratory and industry entities can participate as sub-recipients.

To support the goal of building a clean and equitable energy economy, NE strives to contribute to the President’s environmental justice objectives, including energy justice and energy equity.

Energy justice objectives include the goal that 40% of the overall benefits of certain Federal investments flow to disadvantaged communities (Justice40 Initiative)1. For energy justice, certain Federal investments focus on the areas of climate change; clean energy and energy efficiency; clean transit; affordable and sustainable housing; training and workforce development; the remediation and reduction of legacy pollution; and the development of critical clean water infrastructure to spur economic development and job creation in disadvantaged communities throughout the United States.

In support of the Justice40 Initiative, the White House has developed the Climate and Economic Justice Screening Tool (CEJST) to identify disadvantaged communities. CEJST can be found at https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5. If a project will benefit a disadvantaged community, applicants should use CEJST to identify the specific disadvantaged community and describe in detail in its narrative how the project will benefit the identified disadvantaged community. Benefits are measured as monetary and nonmonetary investment.

NE also strives to ensure the President’s energy equity objectives are met through effective teams and/or partnerships with Minority Serving Institutions (MSIs), including Historically Black Colleges and Universities (HBCUs), and Tribal Colleges and Universities (TCUs).

Information on MSIs 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.

The Office of Science has compiled a similar list of institutions:

https://science.osti.gov/grants/Applicant-and-Awardee-Resources/Institution-Designations.

Either of these lists are not an exhaustive list of MSIs but will be used as a starting point for self-identifying MSIs. If applicants believe that their institution qualifies as an MSI and is not

1 The Justice40 initiative, established by E.O. 14008, sets a goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities. The Justice40 Interim Guidance provides a broad definition of disadvantaged communities (Page 2): https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf.

https://screeningtool.geoplatform.gov/en/#3/33.47/-97.5 https://science.osti.gov/grants/Applicant-and-Awardee-Resources/Institution-Designations https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf listed, please contact neup@inl.gov with an explanation for how the university meets the conditions of being considered an MSI.

In addition, HBCUs are not MSIs and are congressionally and officially defined as “a school of higher learning that was accredited and established before 1964, and whose principal mission was the education of African Americans...” Information on HBCUs can be found at What is an HBCU? | White House Initiative on Advancing Educational Equity, Excellence, and Economic Opportunity through Historically Black Colleges and Universities including the accredited listing of HBCUs at College Navigator - Search Results (ed.gov).

The application must originate from the lead institution. All lead Principal Investigators (PIs) must have an active account in the NEUP.gov website submittal system. 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.

While international partners are encouraged to participate, no U.S. Government funding will be provided to entities incorporated outside of the U.S. 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. NE has two designations for collaborators and personnel: 1) key/senior personnel and 2) ‘other personnel’. Document requirements will vary depending on whether an individual is designated as ‘key/senior personnel’ or as a ‘other collaborator’. Key/senior personnel should be listed in the first “collaborators” section on the application form. Other collaborators or personnel should be listed on the second “collaborators” section of the application form. Refer to the application requirements to provide needed information for all key/senior personnel. Applicants must have the full consent of each collaborator prior to listing them on an application form. Non-university collaborators and personnel, 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.

Research consortiums may be composed of diverse institutions including academia, national laboratories, non-profit research institutes, industry/utilities, and international partners. Research mailto:neup@inl.gov https://sites.ed.gov/whhbcu/one-hundred-and-five-historically-black-colleges-and-universities/ https://sites.ed.gov/whhbcu/one-hundred-and-five-historically-black-colleges-and-universities/ https://sites.ed.gov/whhbcu/one-hundred-and-five-historically-black-colleges-and-universities/ https://nces.ed.gov/COLLEGENAVIGATOR/?s=all&sp=4&pg=1 https://neup.inl.gov/SitePages/Home.aspx 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 Phase II Continuation 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.

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.

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

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);

(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, project 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.

NE has two designations for collaborators: 1) ‘key/senior personnel’ and 2) ‘other collaborators’.

Document requirements will vary depending on whether an individual is designated as ‘key/senior personnel’ or as a ‘other collaborator’. Key/senior personnel should be listed in the first collaborators section on the application form. Other collaborators should be listed on the second collaborators section of the application form.

https://www.ecfr.gov/current/title-2/section-910.124#p-910.124(c)(1)

Refer to each required area of the Letter of Intent (LOI) and full-application requirements to provide needed information for all key/senior personnel.

Applicants must have the full consent of each collaborator prior to listing them on an application form. Non-university collaborators, 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.

A.1 Domestic Entities For-profit entities, educational institutions, and nonprofits2 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 U.S. educational institutions may apply as a prime recipient.)

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

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 team member. 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 participate 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.

Entities banned from doing business with the U.S. government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in federal programs are not eligible.

Nonprofit organizations described in Section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995, are not eligible to apply for funding.

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 Phase II Continuation CINR FOA as a subrecipient subject to the requirements in 2 CFR 910.124.

2 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.

A.3 Incorporated Consortia Incorporated consortia, which may include domestic and/or foreign entities, are eligible to apply for funding as a 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). 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

Phase II Continuation CINR applications have the following restrictions:

• Only one Phase II Continuation CINR application is allowed per active CINR project.

• Applications should be made by the lead institution of a currently active CINR award that concludes between January 1, 2025, and September 30, 2025. Extenuating circumstances where a PI has changed or will be changing institutions, may be considered and must be pre-approved by DOE.

• The lead PI on the active CINR award and Phase II Continuation CINR award should be the same. Extenuating circumstances where a new PI at the lead institution needs to be identified and must be pre-approved by DOE.

NOTE: Applications submitted to this FOA will be awarded to the IHE listed and will typically not be transferred to another institution if the PI changes institutions. However, DOE may consider PI requests for transferring or subawarding an award from the original institution to the PI’s new institution.

C. COST SHARING

For applications led by universities, cost sharing is not required, but may be proposed. If cost sharing is provided, see 2 CFR part 200 for the applicable cost sharing guidance and Part VIII, Section G, of this Phase II Continuation CINR FOA below. Cost sharing is NOT a scored review criterion.

For applications led by all other entities (i.e., other than universities, nonprofit institutions/organizations, and FFRDCs), the provisions of the Energy Policy Act of 2005, Section 988, apply. Cost share of at least 20% of the total allowable costs of the project (i.e., the sum of the government share, including FFRDC contractor costs if applicable, and the recipient share of allowable costs equals the total allowable costs of the project) and must come from non- Federal sources, unless otherwise allowed by law. (See 2 CFR 200.29 for more information on the cost sharing requirements.)

Although the DOE/NNSA FFRDC contractor cost is not included in the total approved budget for the award, DOE will pay the DOE/NNSA FFRDC contractor portion of the effort under an existing DOE/NNSA contract. Recipient is not responsible for reporting on that portion of the total estimated cost that is paid directly to the DOE/NNSA FFRDC contractor.

By accepting federal funds under this award, you agree that you are liable for your percentage share of allowable project costs, even if the project is terminated early or is not funded to its completion. After award, failure to provide the cost share required may result in the subsequent recovery by DOE of some or all the funds provided under the award.

D. OTHER ELIGIBILITY REQUIREMENTS

D.1 FFRDC Contractors FFRDC contractors may be proposed as a team member on another entity’s application subject to the following guidelines:

Authorization for non-DOE/NNSA FFRDCs. The Federal agency sponsoring the FFRDC contractor must authorize in writing the use of the FFRDC contractor on the proposed project and this authorization must be submitted with the application. The use of an FFRDC contractor must be consistent with the contractor’s authority under its award.

Authorization for DOE/NNSA FFRDCs. The cognizant contracting officer for the FFRDC must authorize in writing the use of a DOE/NNSA FFRDC contractor on the proposed project and this authorization must be submitted with the application. The following wording is acceptable for this authorization:

“Authorization is granted for the Fill-in 1: [Name] Laboratory to participate in the proposed project. The work proposed for the laboratory is consistent with or complimentary to the missions of the laboratory, will not adversely impact execution of the DOE/NNSA assigned programs at the laboratory.”

NOTE: The FFRDC’s participation in the proposed project is subject to the terms and conditions of its management and operating (M&O) contract with DOE. Participants requiring access to the FFRDC facilities are subject to the FFRDC’s policy and DOE regulations.

NOTE: If all FFRDC/non-FFRDC management has been notified of all submissions and acknowledgment of all participants are identified, individual Letters of Authorization may be submitted or submitted as blanket permission Identification of participants by name is to be included in the body or as a separate list.

• Value/Funding: The value of, and funding for, the FFRDC contractor portion of the work will not normally be included in the award to a successful applicant. Usually, DOE will fund a DOE FFRDC contractor through the DOE Field Work Proposal (FWP) system and other non-DOE FFRDC contractors through an interagency agreement with the sponsoring agency.

• Cost Share: On industry led applications, the applicant’s cost share requirement will be based on the total cost of the project. FFRDC costs are included as part of the Government cost share.

• FFRDC Contractor Effort:

- The scope of work to be performed by the FFRDC contractor may not be more significant than the scope of work to be performed by the prime applicant.

- The FFRDC contractor effort, in aggregate, shall not exceed 20% of the total estimated costs of the projects.

• Responsibility: The applicant, if successful, will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to, disputes and claims arising out of any agreement between the applicant and the FFRDC contractor.

Table 1 provides a summary of Parts II and III of this FOA.

Table 1. Summary of Parts II and III

Phase II

Continuation CINR FOA Areas

Estimated Available

Budget

Maximum Award

Size

Project Duration Cost Share Collaboration

Phase II R&D

$3,000,000

2/3s of original

CINR

award

Up to 2 years

University, nonprofit institutions/ organizations and FFRDCs do not require cost share but is permitted.

All other entities require a minimum 20% cost share

University, national laboratory, industry, and foreign collaborations are encouraged, but no U.S.

funding can go to entities that are not incorporated in the U.S.

Phase II R&D Strategic

Needs/Mission Supporting

Phase II IRP

Fiscal Year 2025 Phase II Continuation CINR PART IV

PART IV - APPLICATION AND SUBMISSION INFORMATION

NOTE: The following requirements apply to all three areas defined in Part I, Section B, of this Phase II Continuation CINR FOA unless specific requirements are identified.

A. ADDRESS TO REQUEST APPLICATION PACKAGE

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.

Paper copies of the application package may be requested at:

INR Integration Office Megha Dubey PO Box 1625 MS 3730 Idaho Falls, ID 83415

Telephone: 208-526-5689 Fax: 208-526-1844

B. DOCUMENT FORMAT REQUIREMENTS

All non-budget documentation (use templates when provided) is to be prepared using standard 8.5” × 11” paper with 1-inch margins (top, bottom, left, right) and a font size no smaller than Times New Roman 11 point. This is a requirement for all pages included in the document (i.e., table of contents, references, etc.). The preferred file format is Adobe Portable Document Format (PDF) for all documents except for spreadsheets. All spreadsheets are to be uploaded in Excel file format to the online application. Do NOT lock any cells in the spreadsheet.

Applicants must comply with all pertinent page limitations. Any text (including references and data tables) in a document that does not adhere to the requirements listed above (except graphics, graphs, charts, and equations) will be removed from the document and will not be reviewed.

DOE reserves the right to dismiss applications that violate formatting requirements. Signature blocks must be signed by the designated official.

Documents should be saved using the document naming suggestion at the bottom of each document description. The tracking ID will automatically be generated by the application system and can be found at the top of the application form under “Tracking ID.”

DOE reserves the right to dismiss applications which it deems, after initial review, to lack enough detail for reviewers to adequately judge technical merit. Applications submitted with corrupted, incomplete, or incorrect files may be dismissed without further review.

C. APPLICATION SUBMITTAL INSTRUCTIONS

C.1 Letter of Intent (LOI) LOIs are a requirement for all applications. LOIs must be submitted by the date and time specified in Part IV, Section H.1.

C.2 LOI Submittal Instructions Application forms and instructions are available at the NEUP.gov website. To access these materials: (1) go to www.NEUP.gov; (2) select “Login” from the top right-hand corner of the screen; (3) enter your user credentials; (4) select “Applications” from the menu; and (5) find “FY2025 Phase II Continuation CINR Letter of Intent” and click on “Create New Application” for the type of application you are creating.

LOIs should include the following:

• Title of project;

• Tracking ID number, DOE Contract number, title, and year awarded for currently awarded CINR project;

• Proposing PI, collaborators and associated institution, if known; and

• A project description covering the following items:

A description of current progress on the current CINR award and expected deliverables in the final 12 months of the project.

Summary of milestone completion, schedule, and performance of the current award.

A description of the new scope proposed as the Phase II Continuation CINR portion of the project.

A description of how the two projects would be integrated together and the importance of direct follow-on to the current research objectives.

Identification of existing/new key/senior personnel that will make research contributions to the new scope of work.

The importance of the work to the NE mission.

Budget estimates and anticipated duration for Phase II Continuation CINR.

Pages outside the specified page limits and font size, including references, will be redacted and unavailable for evaluators to review.

• 5-page limit, 11-point font.

Name File: 2025 PhaseII LOI “Insert ID #”

D. CONTENT AND FORM OF ALL FULL APPLICATIONS

Applicants must provide all information requested. Forms and optional templates may be used to provide the information in accordance with the instructions below. Files that are attached must be in PDF format, unless otherwise specified in this announcement. Optional document templates can be found on the NEUP.gov website by clicking the ‘Documents’ button at the bottom of the front page (https://neup.inl.gov/SitePages/Related_Documents.aspx).

You must save the Full Application before a tracking ID number will be generated.

D.1 Conflict-of-Interest (COI) Acknowledgement The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy) can be found at Financial Assistance Letter No. FAL 2022-02 | Department of Energy. This policy is applicable to all non-Federal entities applying for, or that receive, DOE funding by means of a financial assistance award (e.g., a grant, cooperative agreement, or technology investment agreement) and, through the implementation of this policy by the entity, to each Investigator who is planning on participating in, or is participating in, the project funded wholly or in part under the DOE financial assistance award. DOE’s interim COI Policy establishes standards that provide a reasonable expectation that the design, conduct, and reporting of projects funded wholly or in part under DOE financial assistance awards will be free from bias resulting from financial conflicts of interest or organizational conflicts of interest. The applicant is subject to the requirements of the interim COI Policy and within each application for financial assistance, the applicant must certify that it is, or will be by the time of receiving any financial assistance award, compliant with all requirements in the interim COI Policy. The applicant must flow down the requirements of the interim COI Policy to any subrecipient non-Federal entities.

The applicant is required to disclose, manage, and report conflicts of interest as per the DOE interim COI Policy. Check the appropriate box on the application form certifying compliance with the COI Policy. If any disclosures need to be made, upload a COI document to the COI disclosure area of the application form.

Name File: 2025 PhaseII COI “Insert ID #”

D.2 SF-424 Research and Related (R&R) Applicants shall complete the SF-424 R&R form, available at www.NEUP.gov and upload a completed and signed PDF copy of the form with the application.

Name File: 2025 PhaseII SF424R&R “Insert ID #”

D.3 Research and Related (R&R) Other Project Information Applicants shall complete items 1–6 on the R&R Other Project Information form available at www.NEUP.gov, and upload a completed PDF copy of the form. Items 7-12 will be completed in the application form and do not need to be completed here.

Name File: 2025 PhaseII R&R Other Project Information “Insert ID #”

D.4 Project Abstract (Use Provided Template on Application Site) The project summary/abstract must contain a summary of the proposed activity, suitable for dissemination to the public. It should be a self-contained document that identifies the following:

the name of the applicant; the name of the PI(s); and the names of key/senior personnel (for https://neup.inl.gov/SitePages/Related_Documents.aspx https://www.energy.gov/management/financial-assistance-letter-no-fal-2022-02 https://neup.inl.gov/SitePages/Related_Documents.aspx https://neup.inl.gov/SitePages/Related_Documents.aspx collaborative projects); the project title; a list of major deliverables; the scope and objectives of the project; a description of the project, including major tasks (phases, planned approach, etc.)

and methods to be employed; the potential impact of the project (i.e., benefits, outcomes);. This document must not include any proprietary or sensitive business information as NE may make it available to the public after awards are made.

Pages outside the specified page limits and font size, including references, will be redacted and unavailable for evaluators to review.

• 1-page limit for R&D, 11-point font. (Appendix A Template)

• 2-page limit for IRPs, 11-point font. (Appendix B Template) Name File: 2025 PhaseII Project Abstract “Insert ID #”

D.5 Project Narrative Applicant shall provide a written narrative addressing the strategy to execute R&D. The documentation provided shall include the items specified below:

• Application title.

• Identification of associated CINR award by tracking ID #, DOE Contract Number, title, and year awarded.

• Project Objectives: Provide a clear, concise statement of specific objectives/aims of the proposed project in support of…