NEGTN02-#228541-v7A-FY_2020_CINR_R&D_FOA_-_DE-FOA-0002128.pdf

Fiscal Year 2020 Consolidated Innovative Nuclear Research

Page i of viii

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

U. S. Department of Energy

Idaho Operations Office

Funding Opportunity Announcement:

DE-FOA-0002128

Announcement Type: Initial - August 20, 2019

CFDA Number: 81.121

Informational Webinar: August 6-8, 2019 (Video links and presentations are available at www.neup.gov)

Issue Date: August 20, 2019 Letter of Intent (Mandatory only for NSUF Applications) Due Date: September 4, 2019 at 7 p.m. ET

R&D/NSUF Pre-Applications (Mandatory except for IRPs) Due Date: September 24, 2019 at 7:00 p.m. ET NSUF Preliminary Statement of Work Due Date: November 21, 2019 at 7:00 p.m. ET

NSUF Final Statement of Work Due Date: January 23, 2020 at 7:00 p.m. ET

Full R&D Applications Due Date: February 11, 2020 at 7:00 p.m. ET

IRP Applications Due Date: February 11, 2020 at 7:00 p.m. ET

Page ii of viii

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

Registration Requirements

There are several one-time actions applicants must complete in order to submit an application in response to this Announcement (e.g., obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) number, register with the System for Award Management (SAM) 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. Obtain a DUNS number. DUNS website: http://fedgov.dnb.com/webform.

2. Register with the SAM. SAM website: https://www.sam.gov/SAM/.

3. Create an account on 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”; 3) Fill out the information in the “My Information” section.

Questions

Questions regarding the content of the funding opportunity announcement must be submitted using the contact information found on page Part VII, Section B of this FOA. DOE will try to respond to a question within three (3) 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

Electronic applications and instructions are available at the NEUP 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 INR Integration Office at 208-526-1602 or at neup@inl.gov.

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

Page iii of viii

TABLE OF CONTENTS

PART I – FUNDING OPPORTUNITY DESCRIPTIONS

STATEMENT OF OBJECTIVES

Background and Objectives Major NE Funded Research Programs

FUNDING OPPORTUNITIES

U.S. University-led PS/MS R&D Projects U.S. University-, National Laboratory-, or Industry-led PS R&D Projects U.S. University-led IRP Projects

PART II – AWARD INFORMATION

TYPE OF AWARD INSTRUMENT

ESTIMATED FUNDING

U.S. University-led PS/MS R&D Projects U.S. University- or National Laboratory-led PS R&D Projects U.S. University-led PD IRP Projects

MAXIMUM AND MINIMUM AWARD SIZE

U.S. University-led PS/MS R&D Projects U.S. University- or National Laboratory-led PS R&D Projects U.S. University-led IRP Projects

EXPECTED NUMBER OF AWARDS

U.S. University-led PS/MS R&D Projects U.S. University- or National Laboratory-led PS R&D Projects U.S. University-led PD IRP Projects

ANTICIPATED AWARD SIZE

U.S. University-led PS/MS R&D Projects U.S. University- or National Laboratory-led PS R&D Projects U.S. University-led PD IRP Projects

PERIOD OF PERFORMANCE

TYPE OF APPLICATION

PART III – ELIGIBILITY INFORMATION

ELIGIBLE APPLICANTS

COST SHARING

OTHER ELIGIBILITY REQUIREMENTS

FFRDC Contractors

PART IV – APPLICATION AND SUBMISSION INFORMATION

Page iv of viii

ADDRESS TO REQUEST APPLICATION PACKAGE

DOCUMENT FORMAT REQUIREMENTS

NSUF Application Submittal Instructions Letter of Intent

C.1.1 Letter of Intent Submittal Instructions C.1.2 Agreement Requirements

Pre-Application NSUF Preliminary Statement of Work NSUF Final Statement of Work Full Application

CONTENT AND FORM OF ALL PRE-APPLICATIONS

D.1.1 Pre-application Narrative D.1.2 Benefit of Collaboration D.1.3 Publications D.1.4 Principal Investigator Vitae D.1.5 Collaborators D.1.6 Agreement Requirements

CONTENT AND FORM OF ALL FULL APPLICATIONS

Conflict-of-Interest (COI) Acknowledgement (Checkbox) SF-424 Research and Related (R&R) R&R Other Project Information Project Summary/Abstract Project Narrative Vitae (Technical Expertise and Qualifications) Benefit of Collaboration Capabilities Letters of Support (IRPs only) Budget Documents

E.10.1 R&R Lead Budget Form E.10.2 R&R Subaward Budget Form E.10.3 Budget for DOE/NNSA Federally Funded Research and Development

Center (FFRDC) Contractor E.10.4 Budget Justification

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 Disclosure of Lobbying Activities E.11.7 Certifications and Assurances E.11.8 Foreign Government Ownership Disclosure (Required for All Leads)

SUBMISSION FROM SUCCESSFUL APPLICANTS

Page v of viii

SUBMISSION DATES AND TIMES

NSUF Letter of Intent Due Date R&D/NSUF Pre-Application Due Date NSUF Preliminary Statement of Work Due Date NSUF Final Statement of Work Due Date Integrated Research Projects (IRP) Due Date Full R&D/NSUF Application Due Date

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

INTERGOVERNMENTAL REVIEW

FUNDING RESTRICTIONS

Cost Principles Pre-Award Costs

OTHER SUBMISSION AND REGISTRATION REQUIREMENTS

Where to Submit Application Validity Timeframe

PART V – APPLICATION REVIEW INFORMATION

CRITERIA

Pre-application Review (PS, MS, and NSUF)

A.1.1 Pre-Application Initial Review Criteria of Pre-Applications A.1.2 Relevancy Attributes A.1.3 Program Priority A.1.4 Merit Categories

Feasibility Review (NSUF Projects Only) Readiness Review (NSUF Projects Only) Initial Review Criteria of Full Applications PS/MS/NSUF R&D Merit Review Criteria: Full Applications

A.5.1 Program Relevancy/Priority Attributes A.5.2 Technical Merit Attributes

Program Directed (IRP) Merit Review for Full Application A.6.1 Relevancy Attributes A.6.2 Technical Merit Attributes

Other Selection Factors

SUMMARY OF THE REVIEW AND SELECTION PROCESS

PS/MS/NSUF Pre-applications PS/MS/NSUF Full Applications IRP Full Applications

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

ANTICIPATED NOTICE OF SELECTION

PART VI – AWARD ADMINISTRATION INFORMATION

Page vi of viii

AWARD NOTICES

Notice of Selection Nondisclosure and Confidentiality Agreements Representations Notice of Award

ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

Administrative Requirements Special Terms and Conditions and National Policy Requirements Intellectual Property Provisions Lobby Restrictions Corporate Felony Conviction and Federal Tax Liability Representations Statement of Substantial Involvement

REPORTING

PART VII – QUESTIONS/AGENCY CONTACTS

QUESTIONS

AGENCY CONTACT

C. INFORMATIONAL WEBINAR

PART VIII – OTHER INFORMATION

MODIFICATIONS

GOVERNMENT RIGHT TO REJECT OR NEGOTIATE

COMMITMENT OF PUBLIC FUNDS

PROPRIETARY APPLICATION INFORMATION

EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL

INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM

NOTICE OF RIGHT TO REQUEST PATENT WAIVER

UNDERSTANDING COST SHARING REQUIREMENTS

NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES

NO-COST TIME EXTENSIONS

REBUDGET REQUEST

CONFERENCE SPENDING

PART IX – APPENDICES/REFERENCE MATERIAL

Page vii of viii

LIST OF ACRONYMS

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

CTD Crosscutting Technology Development

DE Department of Energy (FOA Number)

DOE Department of Energy

DUNS Data Universal Numbering System

FC R&D Fuel Cycle Research and Development

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

HTGCR High-temperature Gas-cooled Reactor

ID Identification

IRP Integrated Research Project

LOI Letter of Intent

LWRS Light Water Reactor Sustainability

M&O Management and Operating

M&TE Measuring and Test Equipment

MOOSE Multiphysics Object Oriented Simulation Environment

MS Mission Supporting

MSI Minority Serving Institution

MSR Molten Salt Reactor

NCE No Cost Extension

NE Office of Nuclear Energy

NEAMS Nuclear Energy Advanced Modeling and Simulation

NEET Nuclear Energy Enabling Technologies

NEUP Nuclear Energy University Program

Page viii of viii

NFML NSUF Nuclear Fuels and Materials Library

NRC Nuclear Regulatory Commission

NSUF Nuclear Science User Facilities

NNSA National Nuclear Security Administration

PD Program Directed

PDF Adobe Portable Document Format

PIE Post-irradiation Examination

PI Principal Investigator

POC Point of Contact

PS Program Supporting

QA Quality Assurance

R&D Research and Development

RC RD&D Reactor Concepts Research, Development and Demonstration

RPA Request for Pre-applications

SAM System for Award Management

SF Standard Form

SMR Small Modular Reactors

SOW Statement of Work

URG Under Represented Group

U.S. United States

Fiscal Year 2020 Consolidated Innovative Nuclear Research PART I

PART I – FUNDING OPPORTUNITY DESCRIPTIONS

STATEMENT OF OBJECTIVES

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

Background and Objectives The Department of Energy’s (DOE) Office of Nuclear Energy’s (NE) mission is to advance U.S.

nuclear power in order 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.

All applications submitted under this FOA must demonstrate a strong tie to at least one of these 3 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 DOE resources.

The DOE has established a Gateway for Accelerated Innovation in Nuclear (GAIN) team, which has been working closely with the advanced nuclear design community to identify R&D objectives and work scopes that may be appropriately addressed through DOE programs. Several of the work scopes contain explicit language as guidance, but there are many additional work scopes that, at least tangentially, address needs identified in technology specific workshops.

Work scopes that may be addressed in activities funded under this FOA are identified in Part IX, Appendices A-C, below. Generally speaking, applications that offer flexibility or provision for addressing measurements, materials, and conditions relevant to private sector developers of fast-spectrum reactors (lead-cooled, sodium cooled, and gas cooled), molten salt reactors (MSR), or high-temperature gas-cooled reactors (HTGCR) are encouraged.

NE strives to promote integrated and collaborative research conducted by national laboratory, university, industry, and international partners under the direction of NE’s programs, and to deploy innovative nuclear energy technologies to the market in order to meet the strategic goals and optimize the benefits of nuclear energy. NE funds research activities, through both competitive and direct mechanisms, as required to best meet the needs of NE. This approach ensures a balanced R&D portfolio and encourages new nuclear power deployment with creative solutions to the universe of nuclear energy challenges. This FOA addresses the competitive portion of NE’s R&D portfolio, as executed through the Nuclear Energy University Program (NEUP), Nuclear Energy Enabling Technologies (NEET) Crosscutting Technology Development (CTD), and the Nuclear Science User Facilities (NSUF). NEUP utilizes up to 20% of funds appropriated to NE’s R&D program for university-based infrastructure support and R&D in key NE program-related areas: Fuel Cycle Research and Development (FC R&D), Reactor Concepts Research, Development and Demonstration (RC RD&D), and Nuclear Energy Advanced Modeling and Simulation (NEAMS). NEET CTD supports national laboratory and university-led crosscutting research. By establishing the NSUF in 2007, DOE-NE opened up 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 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) 2020 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.

Major NE Funded Research Programs A.2.1 Fuel Cycle Research and Development (FC R&D) Program The mission of the FC R&D program is to develop used nuclear fuel management strategies and technologies to support meeting the federal government responsibility to manage and dispose of the Nation’s commercial used nuclear fuel and high-level waste and to develop sustainable fuel cycle technologies and options that improve resource utilization and energy generation, reduce waste generation, enhance safety, and limit proliferation risk.

The program’s vision is that by mid-century, strategies and technologies for the safe, long-term management and eventual disposal of U.S. commercial used nuclear fuel, and any associated fuel cycle technologies that enhance the accident tolerance of light-water reactors and enable sustainable fuel cycles are demonstrated and deployed. Together, these technologies and solutions support the enhanced availability, affordability, safety, and security of nuclear-generated electricity in the United States.

Current challenges include the development of high burn-up fuel and cladding materials to withstand irradiation for longer periods of time with improved accident tolerance; development of simplified materials recovery technologies, waste management (including storage, transportation, and disposal), and proliferation risk reduction methods; and development of processes and tools to evaluate sustainable fuel cycle system options, and to effectively communicate the evaluation results to stakeholders.

A.2.2 Reactor Concepts Research, Development and Demonstration (RC RD&D) Program

The RC RD&D program conducts research and development (R&D) on existing and advanced reactor designs and technologies to enable industry to address technical challenges with maintaining the existing fleet of nuclear reactors, and to promote the development of a robust pipeline of advanced reactor designs and technologies, and supply chain capabilities. Program activities are designed to address technical, cost, safety, and security issues associated with the existing commercial light water reactor fleet and advanced reactor technologies, such as small modular reactors (SMRs), fast reactors using liquid metal coolants, and high temperature reactors using gas or liquid salt coolants.

A.2.3 Nuclear Energy Advanced Modeling and Simulation (NEAMS) Program The mission of the NEAMS program is to accelerate early-stage development of advanced reactor concepts and enable improved economics of new and existing designs, by providing leading-edge computational tools to U.S. industry. The primary program objective is to develop and deploy these predictive tools and methods to industry, academia, and government, including the Nuclear Regulatory Commission (NRC), for research, analysis, design and regulatory acceptance of advanced reactor and fuel cycle systems These advanced computational tools employ scalable simulation methods, on high performance computing architectures in combination with a science-based, mechanistic approach to physics modeling to allow scientists and engineers to better understand reactor materials properties and coupled phenomena in nuclear energy systems. Consequently these tools span length scales from atomic to mesoscale to continuum, and time scales from picoseconds to seconds to days, and are currently being used to move certain advanced reactor concepts forward to commercialization in several key ways, including design optimization, which is required to fully realize the economic and technological advantages of those concepts. NEAMS capabilities also support development of advanced nuclear fuels, design and analysis of nuclear fuel experiments, and expansion of NRC confirmatory analysis capabilities in the advanced reactor area.

A.2.4 Nuclear Energy Enabling Technologies (NEET) Crosscutting Technology Development (CTD)

The NEET CTD program conducts R&D in crosscutting technologies that directly support and enable the development of new and advanced reactor designs and fuel cycle technologies. These technologies will advance the state of nuclear technology, improve its competitiveness, and promote continued contribution to meeting our Nation’s energy and environmental challenges.

The activities undertaken in this program complement those within the RC RD&D and FC R&D programs, and support the Department of Energy’s (DOE) Office of Nuclear Energy’s (NE) mission to advance U.S. nuclear power in order 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. The knowledge generated through these activities will allow NE to address key challenges affecting nuclear reactor and fuel cycle deployment with a focus on crosscutting innovative technologies.

A.2.5 Nuclear Science User Facilities (NSUF) DOE-NE funds access to world-class capabilities to facilitate the advancement of nuclear science and technology. This mission is supported 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 model 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 leads. Together, these capabilities and people create a nation-wide infrastructure that allows the best ideas to be proven using the most advanced capabilities. Through 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 provided on the NSUF website at https://nsuf.inl.gov/

Part I, Section B.2 of this FOA describes application options for projects requiring NSUF capabilities.

NOTE: Applicants may request funding fro NSUF “Access Only” projects and/or joint NSUF access combined with R&D funding. Applicants requesting R&D financial support with a joint request for NSUF access will be limited to the work scopes in NSUF-1 and FC-2.5. Work scopes in eligible areas have been tailored to align NSUF capabilities with focused NE program and mission priorities. Applicants requesting NSUF Access Only will apply to the NSUF-2 work scope, a broader work scope focused on NE mission priorities and also tailored to align with NSUF capabilities.

A.2.6 NSUF Fuels and Materials Library The NSUF Nuclear Fuels and Materials Library (NFML), which is owned by DOE-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 can be accessed at https://nsuf-infrastructure.inl.gov/Browse/Materials.

In order 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 project lead 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. In order to populate the NFML, the NSUF program office may recommend irradiating a larger number of 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. Principal Investigators (PIs) of all future awarded applications requesting specimens from previous awarded neutron irradiation tests will be put in contact with the original PI(s) for potential collaboration. Although collaboration with 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.

FUNDING OPPORTUNITIES

DOE is seeking applications from U.S. universities, national laboratories, and industry to conduct Program Supporting (PS), Mission Supporting (MS), and NSUF-supported nuclear energy-related research to help meet the objectives of the major NE-funded research programs.

Specifically, this FOA contains three separate funding opportunity areas defined as follows:

U.S. University-led PS/MS R&D Projects These funding opportunities are available to U.S. university-led teams. In general, PS R&D is focused more directly on programmatic needs and is defined by the statement of objectives developed by the responsible programs. PS R&D, and within NSUF affiliated work scopes, must be focused and responsive to the representative statement of objectives, which is not specific to a https://nsuf.inl.gov/ https://nsuf-infrastructure.inl.gov/Browse/Materials discipline but can be limiting as defined by the project objective. In comparison, MS R&D is generally more creative, innovative, and transformative than PS R&D, but it must also support the NE mission. MS R&D activities could also produce breakthroughs in nuclear technology or could include research in the fields or disciplines of nuclear science and engineering that are relevant to NE’s mission, but may not fully align with the specific initiatives and programs represented by PS objectives. U.S. university PIs are invited to propose research projects in response to this area of the FOA, and the associated PS and MS work scopes contained in Part IX, Appendix A.

U.S. University-, National Laboratory-, or Industry-led PS R&D Projects These funding opportunities are available to teams led by U.S. university, national laboratory, or U.S.-incorporated industry PIs. U.S. university or national laboratory PIs can apply as lead PI to any work scopes in Part IX, Appendix B. Proposed research projects in response to this area of the FOA should meet the objectives of the NEET CTD program, and within the NSUF work scopes, meet the identified objectives of the RC RD&D, FC R&D, and NEET CTD programs as described in the work scopes contained in Part IX, Appendix B of this FOA.

B.2.1 Note for Nuclear Science User Facilities Access Projects NSUF access project applications require a Letter of Intent (LOI) in addition to the pre-application and, if invited (see Part V, Section B.1), a full application. NSUF access project applications will also require a feasibility review and readiness review in addition to the relevancy and technical reviews. Important aspects of NSUF access applications are described in Appendix D and should be seriously considered when preparing applications. It is strongly recommended that all potential proposers review the contents of the NSUF website for vital information at http://nsuf.inl.gov.

The NSUF does not provide funding to the PI to support salaries, tuition, travel, or other costs typically supported via NE Program R&D funds.

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

• U.S. university PIs may apply for NSUF access with a joint request for R&D financial support as stated in the FC-2.5 work scope.

• U.S. university, national laboratory and industry PIs may apply for NSUF access with a joint request for R&D financial support as stated in the NSUF-1 work scope.

• Academic, national laboratory, and industry PIs may apply for NSUF access without a joint request for R&D financial support as stated in the NSUF-2 work scope.

Eligible work scopes for a NSUF R&D project are found in Part IX, Appendix A & Appendix B, and applications must comply with the provisions of Part IX, Appendix D. Since NSUF projects involving reactor neutron irradiation and PIE combined may last up to seven years in duration, greater flexibility in the R&D funding distribution can be established in order to better accommodate the actual resource allocation requirements of the project. Those applications requesting research support, though limited to a total of three years of funding, may http://nsuf.inl.gov/ request a project period of performance to spread the funding over the entire length of the project. For irradiation only, PIE only, and beamline applications, a standard continuous funding profile should remain adequate. The PIE phase of all NSUF projects is limited to three years in duration. R&D funding shall not be utilized to directly supplement activities funded by NSUF.

B.2.2 NSUF Readiness

Applicants must demonstrate readiness for NSUF access. In the NSUF pre-application, a summary of readiness is required. In the full application, a detailed description 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.

The following items must be completed prior to requesting NSUF access:

• Development and qualification of fabrication techniques, processes and methods;

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

• Material interaction studies (at irradiation conditions); and,

• Corrosion studies (at irradiation conditions).

A plan for delivery of fuel or material 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 (provide supplier commitments and lead times) in order for the material to be machined to proper sample configuration prior to encapsulation.

• 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 in order to ship and/or prepare the fuel or material for examination must be identified.

• 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.

• For fuels or materials coming from other DOE programs (not NSUF), a statement of program commitment is required.

NSUF will not support preliminary fuels, materials, or instrumentation development work, i.e., development must be at the irradiation testing stage. Projects whose relevancy is based solely or primarily on fusion energy needs will not be considered. Applications must include a list of publications that resulted from previous NSUF supported projects.

Projects not requiring R&D financial support may apply for NSUF access only work scopes in response to this area of the FOA and the associated work scope contained in Part IX, Appendix B of this FOA, wherein only access to capabilities are sought to perform research in nuclear science.

Additional information on the NSUF process is included in Part IX, Appendix D.

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-1, NSUF-2, and FC-2.5 applications. In order to ensure compliance throughout the application review process, applicants must indicate in the Letter of Intent (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.

U.S. University-led IRP Projects IRPs comprise a significant element of DOE’s innovative nuclear research objectives and represent the PD component of the NE strategy to provide R&D solutions most directly relevant to the near-term, significant needs of the NE R&D programs. 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 and defined 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 in order to present solutions to complex systems design problems that cannot be addressed by a less comprehensive team.

Although a proposing team must be led by a lead university PI 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 institution (MSI), national laboratory, underrepresented group, and international). U.S. university PIs are invited to propose research projects in response to this area of the FOA and the associated PD work scopes contained in Part IX, Appendix C of this FOA.

As described above, work scopes for the respective FOA areas may be found in the Part IX appendices to this FOA as follows:

• Appendix A: “Work scopes for U.S. University-led Program and/or Mission Supporting R&D Projects.” R&D support and associated NSUF access can only be proposed in specific work scopes.

• Appendix B: “Work scopes for U.S. University-, National Laboratory-, or Industry-led Program Supporting R&D Projects” R&D support and associated NSUF access and NSUF Access Only can be proposed in specific work scopes.

• Appendix C: “Work scopes for U.S. University-led Program Directed Integrated Research Projects (IRP).”

Table 1. FY 2020 Work scope Overview

W ork Scope

C ode

A ppendix

N

SU

F Funds?

Led by:

Work Scope Title

U niversity

N ational

L aboratory

Industry

RC-1 A No X Innovative New Structural Materials for Molten Chloride Salt Fast Reactor Applications

RC-2.1 A No X Micro-reactor Deployment Markets

RC-2.2 A No X Validation of Micro-reactor Modeling and Simulation Tools

RC-2.3 A No X Micro-reactor Technology Development and Maturation

RC-3 A No X Liquid Metal-cooled Fast Reactor Technology Development and Demonstration to Support Deployment

RC-4.1 A No X TRISO Fuel Buffer Layer Behavior During Neutron Irradiation

RC-4.2 A No X Robust Individual TRISO-Fueled Pebble Identification Method for Ex-Core Evaluation

RC-5 A No X Experimental Validation of High Temperature Gas Reactor (HTGR) Simulations

RC-6.1 A No X Optimized Fluoride Salt Pipe Joints for Fluoride Salt-cooled High Temperature Reactors

RC-6.2 A No X Pump Scaling Technology for Fluoride Salt-cooled High Temperature Reactors

RC-7.1 A No X Digital Instrumentation and Control

RC-7.2 A No X Virtualized Distributed Control Systems for Nuclear Power Plants

RC-7.3 A No X Reducing Human Factor Uncertainty Using Artificial Intelligence in Operation and Maintenance of Nuclear Power Plants

RC-8 A No X Evaluation of Physical Phenomena Data Impact and Improvements

RC-9 A No X Elucidating how the water chemistry affects the corrosion sensitivity of pristine stainless steel in nuclear power plants

RC-10.1 A No X Technologies to Support SMR Development and Commercialization

RC-10.2 A No X SMR Market Analyses

N

SU

F Funds?

Led by:

Work Scope Title

U niversity

N ational

L aboratory

Industry

RC-10.3 A No X SMR Economic Analyses FC-1.1 A No X Nuclear Fuel Cycle Chemistry

FC-1.2 A No X Electrochemical Separations

FC-1.3a A No X Waste Forms Development and Off-Gas Capture:

Iodine Immobilization from Caustic Scrubber Solution

FC-1.3b A No X Waste Forms Development and Off-Gas Capture: Salt Waste Recycle and Immobilization

FC-2.1 A No X NDE Techniques for Assessing Integrity of Coated Cladding Tubes

FC-2.2 A No X Investigations of Carbide and Nitride Fuel Systems for Advanced Fast Reactors

FC-2.3 A No X High-throughput and/or Micro-scale Post-irradiation Examination Techniques to Support Accelerated Fuel Testing

FC-2.4 A No X Maintaining and Building upon the Halden Legacy of In Situ Diagnostics

FC-2.5 A Yes X NSUF Separate Effects Testing in TREAT using Standard Test Capsules

FC-3 A No X Materials Protection, Accounting and Control Technology

FC-4.1 A No X Spent Fuel and Waste Disposition: Disposal

FC-4.2 A No X Spent Fuel and Waste Disposition: Storage & Transportation

MS-FC-1 A No X Understanding, Predicting, and Optimizing the Physical Properties, Structure, and Dynamics of Molten Salt

MS-FC-2 A No X Understanding the Structure and Speciation of Molten Salt at the Atomic and Molecular Scale

NEAMS-1 A No X Development of Generalized Multigroup Cross Sections for Arbitrary Reactor Geometries

NEAMS-2 A No X Near-Wall Gas-Flow Correlations in Pebble Bed Reactors

NEAMS-3 A No X Molten Salt Chemistry Modeling

MS-NEAMS-1 A No X SAM Baseline Development

NE-1 A No X Nuclear Energy-Cyber Security Research Topics and Metrics Analyses

NE-2 A No X Integrated Energy Systems Design and Modeling

N

SU

F Funds?

Led by:

Work Scope Title

U niversity

N ational

L aboratory

Industry

NE-3 A No X Transformational Challenge Reactor R&D

MS-NE-1 A No X Integral Benchmark Evaluations

MS-NE-2 A No X Nuclear Data Needs for Nuclear Energy Applications

MS-NE-3 A No X Mission Supporting Grand Challenge

NEET-1 B No X X Advanced Methods for Manufacturing

NEET-2.1 B No X X Advanced Control Systems

NEET-2.2 B No X X Big Data, Machine Learning, and Artificial Intelligence

NEET-2.3 B No X X Advanced Sensors and Communication

NSUF-1.1 B Yes X X X Testing of Advanced Materials for Sensors and Advanced Sensors for Nuclear Applications

NSUF-1.2 B Yes X X X Irradiation Testing of Materials Produced by Innovative Manufacturing Techniques

NSUF-1.3 B Yes X X X Nuclear Materials Discovery and Qualification Initiative

NSUF-2.1 B Yes X X X Core and Structural Materials

NSUF-2.2 B Yes X X X Nuclear Fuel Behavior and Advanced Nuclear Fuel Development

NSUF-2.3 B Yes X X X Advanced In-reactor Instrumentation

NSUF-2.4 B Yes X X X High Performance Computing at Idaho National Laboratory

IRP-RC-1 C No X Infrastructure to Support MSR Research & Development

IRP-NEAMS-

1.1 C No X Thermal-Fluids Applications in Nuclear Energy

IRP-NEAMS-

1.2 C No X Multiscale Nuclear Fuel Performance

Fiscal Year 2020 Consolidated Innovative Nuclear Research PART II

PART II – AWARD INFORMATION

TYPE OF AWARD INSTRUMENT

DOE anticipates awarding cooperative agreements under this CINR FOA, with the exception of awards to national laboratories, which will be funded through field work proposals (FWPs) and NSUF Access Awards which will be funded through an NSUF User Agreement.

ESTIMATED FUNDING

The estimated amounts identified for each of the FOA areas are specified below. Funding for all awards is contingent upon the availability of funds appropriated by Congress for the purpose of this program.

U.S. University-led PS/MS R&D Projects DOE currently estimates that it will fund approximately $40 million in awards for this FOA area.

U.S. University- or National Laboratory-led PS R&D Projects DOE currently estimates that it will fund approximately $7 million in awards for this FOA area.

B.2.1 Nuclear Science User Facilities Projects DOE currently estimates that it will fund approximately $10 million in award value for this FOA area.

U.S. University-led PD IRP Projects DOE currently estimates that it will fund approximately $11 million in awards for this FOA area.

MAXIMUM AND MINIMUM AWARD SIZE

Maximum and minimum award sizes are identified for the four FOA areas below:

U.S. University-led PS/MS R&D Projects Ceiling (i.e., the maximum amount for an individual award made under this area):

• PS: up to $800,000 (3-year project), except as explicitly noted in individual work scopes.

• MS: up to $400,000 (3-year project), except as explicitly noted in individual work scopes.

Floor (i.e., the minimum amount for an individual award made under this area): None.

U.S. University- or National Laboratory-led PS R&D Projects Ceiling (i.e., the maximum amount for an individual award made under this area):

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

• NSUF: up to $500,000 (3-year project) for R&D funding, except explicitly noted in individual work scopes.

Floor (i.e., the minimum amount for an individual award made under this announcement): None.

C.2.1 Nuclear Science User Facilities Projects Ceiling (i.e., the maximum amount for an individual award made under this area):

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

Floor (i.e., the minimum amount for an individual award made under this announcement): None.

U.S. University-led IRP Projects Ceiling (i.e., the maximum amount for an individual award made under this area):

• PD: up to $5,000,000 (3-year project), except as explicitly noted in individual work scopes

Floor (i.e., the minimum amount for an individual award made under this announcement): None.

EXPECTED NUMBER OF AWARDS

The number of awards for each of the four FOA areas is identified 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.

U.S. University-led PS/MS R&D Projects DOE anticipates making approximately 40 awards under this area.

U.S. University- or National Laboratory-led PS R&D Projects DOE anticipates making approximately 7 awards under this area.

D.2.1 Nuclear Science User Facilities Projects DOE anticipates making approximately 10 awards under this area.

U.S. University-led PD IRP Projects DOE anticipates making approximately 1 award per IRP work scope area.

ANTICIPATED AWARD SIZE

The anticipated award size for each of the three FOA areas are identified below. (Amounts represent anticipated maximum per award.)

U.S. University-led PS/MS R&D Projects DOE anticipates that awards will be up to $800,000/award for PS projects and up to $400,000/award for MS projects (except as explicitly stated in individual work scope areas).

U.S. University- or National Laboratory-led PS R&D Projects DOE anticipates that R&D awards will be up to $1,000,000/award (except as explicitly stated in individual work scope areas).

E.2.1 Nuclear Science User Facilities Projects DOE anticipates that award access value (funds not provided to the PI) will fall within the following ranges:

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

• Irradiation /PIE: $500,000 to $4,000,000, up to 7 year duration.

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

U.S. University-led PD IRP Projects DOE anticipates that awards will be up to $5,000,000 except as stated in the individual work scopes.

PERIOD OF PERFORMANCE

DOE anticipates making awards for up to three years for each area with the exception of awards involving NSUF access, which may take up to seven years if neutron irradiation and PIE is requested. Assuming DOE makes awards under this FOA by September 2020, funded projects shall begin no later than October 1, 2020. 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, 2020, is absolutely necessary for the successful performance of the project, it must be fully documented and justified in the application for consideration by DOE.

TYPE OF APPLICATION

DOE will accept only new applications for each of the three 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 FOA.

Fiscal Year 2020 Consolidated Innovative Nuclear Research PART III

PART III – ELIGIBILITY INFORMATION

ELIGIBLE APPLICANTS

This FOA is open to U.S. universities, national laboratories, and industry.

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 FOA provides award opportunities to United States owned entities. United States means the several States, the District of Columbia, and all commonwealths, territories, and possessions of the United States.

United States-owned entity means an entity that is either -

(i) A United States-owned entity; 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;

(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.

DOE has restricted eligibility for award in accordance with 2 Code of Fedearl Regulation (CFR) 910.126(b). This eligibility restriction does not apply to subrecipients, subawards, vendors, or team members of the prime/lead applicant.

DOE-NE strongly encourages diversifying its research portfolio through effective partnerships with industry, underrepresented groups, and MSI, which may receive funding support from the project. International partners are encouraged to participate; however, 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. DOE-NE will evaluate the benefit and contribution of any such proposed partnerships as part of its program relevancy evaluation and scoring.

In Appendix A and C, non-university collaborators, in composite, can have no more than 20% of the total funds provided by the government.

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 on the application form. Any individuals that do not meet these criteria should not be listed as collaborators on the application. The PI must certify that all collaborators are listed on the application form and have agreed to participate on the project.

NOTE: NSUF Technical Leads and instrument scientists are not considered collaborators.

NSUF support staff, including Technical Leads, should not be listed in this section, unless they are receiving funding in support of a specific role in the R&D portion of the work.

Part IV, Section H outlines funding restrictions for this FOA.

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 PS, MS, and/or PD MS projects).

State, local, and tribal government entities are eligible to apply for funding as a subrecipient (for U.S. university-, national laboratory-, or industry-led PS and/or MS projects only).

DOE/National Nuclear Security Administration (NNSA) Federally Funded Research and Development Centers (FFRDCs) and DOE Government-Owned Government-Operated laboratories are eligible to apply for funding as a prime recipient (for PS or MS projects under NEET CTD), team member, or subrecipient. 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.

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

2 CFR 910.124.

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.

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 PS and/or MS projects only) or subrecipient. For consortia incorporated (or otherwise formed) under the laws of a State or territory of the U.S., please refer to “Domestic Entities” above. For consortia incorporated in foreign countries, please refer to the requirements in “U.S.

Incorporated Foreign Entities” above.

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 PS and/or MS 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.

5. Application Restrictions The following application restrictions apply to lead PIs:

• Applicants are ineligible to apply to any area of this FOA as a lead PI under any of the following circumstances:

1. The PI has a currently funded IRP that will be active after December 31, 2020.

2. The PI has three or more R&D projects that will still be active after December 31, 2020.

3. The PI has a no-cost extension on any DOE-NE funded project (excluding Infrastructure) that will still be active beyond December 31, 2020.

• An academic PI 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 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.

• Applications submitted in response to research requested by Appendix B are limited to three pre-applications per institution per work scope area.

• For IRPs, an applicant is ineligible to submit an application as the PI if (s)he is designated as PI for more than…