FINANCIAL ASSISTANCE
FUNDING OPPORTUNITY ANNOUNCEMENT

U. S. Department of Energy
Idaho Operations Office
Fiscal Year 2024 Consolidated Innovative Nuclear Research
Funding Opportunity Announcement:
DE-FOA-0003038
Announcement Type: Initial – June 22, 2023
Amendment 001: August 31, 2023
Amendment 002: December 7, 2023
Assistance Listings Number: 81.121

Informational Webinar: May 31, 2023
(Video links and presentations are available at www.NEUP.gov)
Issue Date: June 22, 2023
DOE Topic Area Office Hours: July 10-14, 2023
(Video links and presentations are available at www.NEUP.gov)

Letter of Intent (Mandatory only for NSUF-1 and NSUF-2 Applications)Due Date: July 12, 2023, at 5 p.m. ET
R&D/NSUF Pre-Applications (Mandatory except for IRPs)
Due Date: July 26, 2023, at 5:00 p.m. ET
NSUF Preliminary Statement of WorkDue Date: August 31, 2023, at 5:00 p.m. ET
NSUF Final Statement of WorkDue Date: December 6, 2023, at 5:00 p.m. ET
Full R&D/NSUF and IRP Applications
Due Date: December 20, 2023, at 5:00 p.m. ET
NOTE: Deadlines are the dates/times by which DOE must receive the specified submittal.

Fiscal Year 2024 Consolidated Innovative Nuclear Research

Amendment 001: This amendment:• updates the page limit for CVs for IRP and R&D Full Applications from 2-pages to 3-pages• updates the link for the 2023 MSI eligibility matrix• updates language for the Japanese Atomic Energy Association under International
Collaborations• corrects the description in Topic Area 10 of Appendix A.
Amendment 002: This amendment:• clarifies requirements that 80% of the total budget request should directly support lead or
collaborating partners that are MSIs for the IRP-2: Grand Challenge Research andDevelopment at Minority Serving Institutions (MSI) workscope.
• REU supplement related to subawards and the budget form have been updated on pages 7 and
38 of the FOA, respectively.
• clarification regarding indirect costs as they relate to REU supplement has also been provided
on pages, 7, 20, 38, and 39 of the FOA.

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

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 AwardManagement (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 thisrequirement. It is suggested that the process be started as soon as possible.
If an applicant has not already done so, it must:
1. Register with the SAM: https://www.sam.gov/SAM/.
2. Obtain the Unique Entity Identifier (ID) number generated in SAM.gov.
3. Create an account on the NEUP.gov website at www.NEUP.gov using the ‘Sign In’ tab in the
top right-hand corner. To create an account: 1) Click “Create a new account”; 2) Fill out therequired information and click “Create User”; and 3) Fill out the information in the “MyInformation” section.
Questions
Questions regarding the content of this FOA must be submitted using the contact information found inPart VII, Section B of this FOA. DOE will try to respond to a question within three business days
unless a similar question and answer have already been posted on the website.
Application Preparation
Applicants must prepare the application package and application forms from the NEUP.gov
website: https://neup.inl.gov/SitePages/Home.aspx
Additional instructions are provided in Section IV of this FOA.
Application Submission
Apply for this FOA at www.NEUP.gov. Electronic applications and instructions are available at the
NEUP.gov website. To access these materials: (1) go to www.NEUP.gov; (2) select “Sign In” fromthe top right hand corner of the screen; (3) enter your user credentials; (4) select “Applications” fromthe 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 NEUP site registration, contact theInnovative Nuclear Research (INR) Integration Office at 208-526-2123 or at neup@inl.gov.
Any questions pertaining to items such as application processes, eligibility, or application document
requirements must also be directed to NEUP@inl.gov.

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

CHECKLIST FOR AVOIDING COMMON ERRORSPage Limits

Item

Protected Personally Identifiable
Information
Collaborators

BudgetBudget Justification
Current and Pending Support

Certifications and Assurances

Issue

Strictly follow page and font limits throughout application
documents, including but not limited to:- Technical Abstract (use appropriate template)- Technical Narrative (font must not be less than 11 pt for all,including tables, figures, and references)- Benefit of Collaboration- Capabilities- CVs
Ensure none are present in the application. (Do not include
citizenship numbers in applications.)- List all collaborators in the Collaborators section of theapplication 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, technical narrative, benefitof collaboration, coordination and management plan, or budget
documents.
- NSUF support staff at specified facilities should be listed asother collaborators or personnel, including NSUF TechnicalLeads.
- Use current negotiated indirect cost and fringe benefit rates.
- Include separate subaward budgets, if applicable.
- Justify all requested costs.
- Include separate subaward budget justifications, if applicable.
- Ensure complete disclosures of current and pending support
for the PI and senior and key personnel named in theapplication. (This form is not required for national
laboratory participants.)- Ensure the certification wording from Part IV Section
E.11.1 is included in the template. (If using the SciENcv
template, the certification wording, signature, and date must
be appended to this form.)
Ensure that signatures are completed for both sections of theCertifications and Assurances documentation.

R&R Other Project Information- If marking proprietary information, clearly mark theCommitment Letter for NSUF
topic areas

Applicants for NSUF Access Only topic areas are responsible
for costs similar to travel costs to NSUF facilities for facility

sections where proprietary information is in the narrativeor other documents using the procedure outlined in the
FOA.
- If marking ‘yes’ to international collaboration, list all
institutions and countries.
For
fuels or materials coming from other DOE programs (notProgram Concurrence for NSUF
NSUF), attach a statement of program concurrence.
topic areas

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

Item

Page v of xiii

Issue

access training, technical meetings, examinations, experimentloading, etc.; applicant salary support; graduate student
support; post-doctoral or other researcher support; andmaterials and supplies support at the PI’s work location. If
invited to submit a Full Application, a letter of commitment isrequired that explains how the applicant will pay for thesetypes of costs.

Fiscal Year 2024 Consolidated Innovative Nuclear Research

Table of Contents
PART I – FUNDING OPPORTUNITY DESCRIPTIONS .................................................................... 1

A. STATEMENT OF OBJECTIVES ............................................................................................. 1

B.

A.1

Background and Objectives ................................................................................................. 1

A.2

Statutory Authority ............................................................................................................. 2

A.3

NE Program Resources ......................................................................................................... 2

FUNDING OPPORTUNITIES ............................................................................................... 2
B.1

U.S. University-led R&D Projects.......................................................................................... 3

B.2

U.S. University-led IRPs ....................................................................................................... 4

B.3

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

B.4

Research Experiences for Undergraduate Supplement ......................................................... 7

B.3.1

NSUF Readiness ..................................................................................................................................... 5

PART II – AWARD INFORMATION .......................................................................................... 10

A. TYPE OF AWARD INSTRUMENT ...................................................................................... 10
B.

ESTIMATED FUNDING .................................................................................................... 10
B.1

U.S. University-led R&D Projects and NSUF Access with R&D (NSUF-1) Projects ................. 10

B.2

U.S. University-led IRPs ..................................................................................................... 10

B.3

U.S. University-, National Laboratory-, or Industry-led NSUF Access Only (NSUF-2) Projects
10

B.1.1
B.2.1

Research Experiences for Undergraduates Supplement ..................................................................... 10
Research Experiences for Undergraduates Supplement ..................................................................... 10

C. MAXIMUM AND MINIMUM AWARD SIZE ...................................................................... 10
C.1

U.S. University-led R&D Projects and NSUF Access with R&D (NSUF-1) Projects ................. 11

C.2

U.S. University-led IRPs ..................................................................................................... 11

C.3

U.S. University-, National Laboratory-, or Industry-led NSUF Access Only (NSUF-2) Projects
11

C.1.1
C.2.1

Research Experiences for Undergraduates Supplement ..................................................................... 11
Research Experiences for Undergraduates Supplement ..................................................................... 11

D. EXPECTED NUMBER OF AWARDS ................................................................................... 11
D.1

U.S. University-led R&D Projects and NSUF Access with R&D (NSUF-1) Projects ................. 11

D.2

U.S. University-led IRPs ..................................................................................................... 12

D.3

U.S. University-, National Laboratory-, or Industry-led NSUF Access Only (NSUF-2) Projects
12

D.1.1
D.2.1

E.

Research Experiences for Undergraduates Supplement ..................................................................... 12
Research Experiences for Undergraduates Supplement ..................................................................... 12

ANTICIPATED AWARD SIZE ............................................................................................. 12Page vi of xiii

Fiscal Year 2024 Consolidated Innovative Nuclear Research

E.1

U.S. University-led R&D Projects and NSUF Access with R&D (NSUF-1) Projects ................. 12

E.2

U.S. University-led IRPs ..................................................................................................... 12

E.3

U.S. University-, National Laboratory-, or Industry-led NSUF Access Only (NSUF-2) Projects
12

E.1.1
E.2.1

F.

Research Experiences for Undergraduates Supplement ..................................................................... 12
Research Experiences for Undergraduates Supplement ..................................................................... 12

PERIOD OF PERFORMANCE ............................................................................................ 13

G. TYPE OF APPLICATION .................................................................................................... 13
PART III – ELIGIBILITY INFORMATION..................................................................................... 14

A. ELIGIBLE APPLICANTS ..................................................................................................... 14

B.

A.1

Domestic Entities ............................................................................................................... 17

A.2

U.S. Incorporated Foreign Entities ..................................................................................... 18

A.3

Incorporated Consortia ...................................................................................................... 18

A.4

Unincorporated Consortia ................................................................................................. 18

APPLICATION RESTRICTIONS .......................................................................................... 18
B.1

R&D Application Restrictions ............................................................................................. 19

B.2

IRP Application Restrictions ............................................................................................... 19

B.3

Research Experiences for Undergraduates Supplement Eligibility ...................................... 19

C. COST SHARING ............................................................................................................... 20
D. OTHER ELIGIBILITY REQUIREMENTS ............................................................................... 21
D.1

FFRDC Contractors ............................................................................................................. 21

PART IV – APPLICATION AND SUBMISSION INFORMATION .................................................... 24

A. ADDRESS TO REQUEST APPLICATION PACKAGE .............................................................. 24
B.

DOCUMENT FORMAT REQUIREMENTS ........................................................................... 24

C. NSUF APPLICATION SUBMITTAL INSTRUCTIONS ............................................................. 25
C.1

Letter of Intent (LOI) .......................................................................................................... 25

C.2

Pre-Application.................................................................................................................. 26

C.3

NSUF Preliminary Statement of Work (Preliminary SOW) .................................................. 26

C.4

NSUF Final Statement of Work (Final SOW) ....................................................................... 26

C.5

Full Application.................................................................................................................. 27

C.1.1
C.1.2

LOI Submittal Instructions ................................................................................................................... 25
Agreement Requirements.................................................................................................................... 25

D. CONTENT AND FORM OF ALL PRE-APPLICATIONS........................................................... 27
D.1

Pre-Application Narrative .................................................................................................. 27

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

E.

D.2

Benefit of Collaboration .................................................................................................... 28

D.3

Publications ....................................................................................................................... 28

D.4

Principal Investigator Vitae ................................................................................................ 29

D.5

Collaborators ..................................................................................................................... 29

D.6

Intention to include Research Experiences for Undergraduate Supplement ....................... 30

D.7

Agreement Requirements .................................................................................................. 30

CONTENT AND FORM OF ALL FULL APPLICATIONS ......................................................... 30
E.1

Conflict-of-Interest (COI) Acknowledgement ..................................................................... 30

E.2

SF-424 Research and Related (R&R) ................................................................................... 31

E.3

R&R Other Project Information.......................................................................................... 31

E.4

Project Summary/Abstract ................................................................................................ 31

E.5

Project Narrative ............................................................................................................... 32

E.6

Research Experiences for Undergraduates (REU) Plan ........................................................ 33

E.7

Vitae (Technical Expertise and Qualifications).................................................................... 33

E.8

Benefit of Collaboration .................................................................................................... 34

E.9

Capabilities ........................................................................................................................ 35

E.10

Letters of Support or Commitment .................................................................................... 35

E.11

Budget Documents ............................................................................................................ 37

E.10.1
E.10.2
E.10.3E.10.4E.11.1
E.11.2E.11.3E.11.4

E.12

R&R Lead Budget Form: (TOTAL FED & NON-FED) ......................................................................... 37
R&R Subaward Budget Form: (TOTAL FED & NON-FED) ................................................................. 38
Budget for DOE/NNSA Federally Funded Research and Development Center (FFRDC) Contractor
38
Budget Justification ......................................................................................................................... 38

Additional Attachments ..................................................................................................... 39

E.12.1E.12.2E.12.3E.12.4E.12.5E.12.6E.12.7F.

Letters of Support (IRPs only), if applicable .................................................................................... 35
NSUF Letter of Commitment Funding (NSUF-2 Only) ..................................................................... 36
Program Commitment Letter, (NSUF-1 and NSUF-2 Only), if applicable ........................................ 36
Project Commitment to Energy Equity and Justice40 Initiative (Optional) .................................... 36

Current and Pending Support ......................................................................................................... 39
Coordination and Management Plan .............................................................................................. 42
Letter of Authorization for DOE/NNSA FFRDCs .............................................................................. 42
Project/Performance Site Location(s) ............................................................................................. 43
Disclosure of Lobbying Activities..................................................................................................... 43
Certifications and Assurances ......................................................................................................... 43
Foreign Government Ownership Disclosure ................................................................................... 43

REQUIRED DOCUMENTS AFTER SELECTION FOR NEGOTIATIONS .................................... 44
F.1

Environmental Checklist .................................................................................................... 44

F.2

Data Management Plan (DMP) .......................................................................................... 44

G. SUBMISSION FROM SUCCESSFUL APPLICANTS ............................................................... 47
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Fiscal Year 2024 Consolidated Innovative Nuclear Research

H.

SUBMISSION DATES AND TIMES ................................................................................. 47

H.1

NSUF LOI Due Date ............................................................................................................ 47

H.2

R&D/NSUF Pre-Application Due Date ................................................................................ 47

H.3

NSUF Preliminary Statement of Work Due Date................................................................. 47

H.4

NSUF Final Statement of Work Due Date ........................................................................... 47

H.5

IRP Application Due Date ................................................................................................... 48

H.6

Full R&D/NSUF Application Due Date ................................................................................ 48

H.7
Late Submissions, Modifications, and Withdrawals of Pre-Applications, Applications, andNSUF Statement of Work ............................................................................................................... 48

I.

INTERGOVERNMENTAL REVIEW ..................................................................................... 49

J.

FUNDING RESTRICTIONS ................................................................................................ 49
J.1

Prohibition related to Foreign Government-Sponsored Talent Recruitment Programs ....... 49

J.2

Cost Principles ................................................................................................................... 50

J.3

Pre-Award Costs ................................................................................................................ 50

K. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS ............................................ 50
K.1

Where to Submit ............................................................................................................... 50

K.2

Application Validity Timeframe ......................................................................................... 50

PART V – APPLICATION REVIEW INFORMATION .................................................................... 52

A. CRITERIA ........................................................................................................................ 52
A.1

Pre-Application Review (only for R&D and NSUF Projects) ................................................. 52

A.2

Initial Review Criteria of Full Applications .......................................................................... 54

A.3

R&D Merit Review Criteria: Full Applications (for R&D and NSUF Projects) ........................ 54

A.4

IRP Merit Review for Full Applications ............................................................................... 57

A.5

Other Selection Factors ..................................................................................................... 60

A.1.1
A.1.2
A.1.3
A.1.4
A.1.5
A.1.6
A.1.7

A.3.1
A.3.2
A.3.3
A.3.4
A.4.1
A.4.2
A.4.3
A.4.4

Initial Review Criteria of Pre-Applications ........................................................................................... 52
Relevancy Criteria ................................................................................................................................ 52
Technical Review Merit Criteria ........................................................................................................... 52
Diverse Team Review ........................................................................................................................... 53
Feasibility Review (only for NSUF Projects) ......................................................................................... 53
Readiness Review (only for NSUF Projects) ......................................................................................... 53
Pre-Applications Invitations ................................................................................................................. 54

Relevancy Criteria ................................................................................................................................ 54
Technical Review Merit Criteria ........................................................................................................... 54
Diverse Team Review ........................................................................................................................... 55
Readiness Review (only for NSUF Projects) ......................................................................................... 56
Initial Review Criteria for IRPs.............................................................................................................. 57
Relevancy Criteria ................................................................................................................................ 57
Technical Review Merit Criteria ........................................................................................................... 58
Diverse Team Review ........................................................................................................................... 59

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

B.

SUMMARY OF THE REVIEW AND SELECTION PROCESS ................................................... 61
B.1

R&D and NSUF Pre-Applications ........................................................................................ 61

B.2

R&D and NSUF Full Applications ........................................................................................ 61

B.3

IRP Full Applications .......................................................................................................... 61

B.4

Reporting of Matters Related to Recipient Integrity and Performance ............................... 62

B.5

Government Discussions with Applicant (December 2014) ................................................ 62

C. ANTICIPATED NOTICE OF SELECTION .............................................................................. 62
PART VI – AWARD ADMINISTRATION INFORMATION ............................................................ 63

A. AWARD NOTICES............................................................................................................ 63

B.

A.1

Notice of Selection ............................................................................................................ 63

A.2

Nondisclosure and Confidentiality Agreements Representations ....................................... 63

A.3

Notice of Award ................................................................................................................ 64

ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS............................................ 64
B.1

Administrative Requirements ............................................................................................ 64

B.2

Special Terms and Conditions and National Policy Requirements....................................... 65

B.3Intellectual Property Provisions ......................................................................................... 67

B.4

Interim Conflict of Interest Policy for Financial Assistance ................................................. 67

B.5

Lobby Restrictions ............................................................................................................. 67

B.6

Corporate Felony Conviction and Federal Tax Liability Representations ............................. 67

B.7

Statement of Federal Stewardship ..................................................................................... 68

B.1.1
B.1.2

Unique Entity ID and SAM Requirements ............................................................................................ 64
Subaward and Executive Reporting ..................................................................................................... 65

C. REPORTING .................................................................................................................... 69
PART VII – QUESTIONS/AGENCY CONTACTS........................................................................... 70

A. QUESTIONS .................................................................................................................... 70
B.

AGENCY CONTACT.......................................................................................................... 70

C. INFORMATIONAL WEBINAR ........................................................................................... 70
PART VIII – OTHER INFORMATION ......................................................................................... 71

A. AMENDMENTS ............................................................................................................... 71
B.

GOVERNMENT RIGHT TO REJECT OR NEGOTIATE ........................................................... 71

C. COMMITMENT OF PUBLIC FUNDS .................................................................................. 71
D. PROPRIETARY APPLICATION INFORMATION .................................................................. 71
E.

EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL ............................. 72

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Fiscal Year 2024 Consolidated Innovative Nuclear ResearchF.

INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM ..................................... 72

G. UNDERSTANDING COST SHARING REQUIREMENTS ........................................................ 73
H.

NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES................................................. 76

I.

NO-COST TIME EXTENSIONS ........................................................................................... 76

J.

REBUDGET REQUEST ...................................................................................................... 76

K. CONFERENCE SPENDING ................................................................................................ 76
PART IX – APPENDICES/REFERENCE MATERIAL ...................................................................... 77
Appendix A: Topic areas for U.S. University-led R&D Projects and NSUF Access with R&D(NSUF-1) Projects ................................................................................................................... 78
Appendix B: Topic areas for U.S. University-led IRPs .............................................................. 96
Appendix C: Topic areas for U.S. University-, National Laboratory-, or Industry-led NSUF
Access Only (NSUF-2) Projects................................................................................................ 99
Appendix D: Accessing Nuclear Science User Facilities ......................................................... 103
Appendix E: Draft Nuclear Science User Facilities User Agreement ...................................... 108

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

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

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 YearGAIN

Gateway for Accelerated Innovation in Nuclear

HBCU

Historically Black Colleges and Universities

ID

Identifier

IHE

Institute of Higher Education

IRP

Integrated Research Project

LOI

Letter of Intent

M&O

Management and Operating

M&TE

Measuring and Test Equipment

MSI

Minority Serving Institution

NCE

No Cost Time Extension

NE

Office of Nuclear Energy

NEUP

Nuclear Energy University Program

NFML

NSUF Nuclear Fuels and Materials Library

NSUF

Nuclear Science User Facilities

NNSA

National Nuclear Security Administration

OMI

Other Minority Institutions

PDF

Adobe Portable Document Format

PIE

Post-Irradiation ExaminationPI

Principal Investigator

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

POC

Point of Contact

QA

Quality Assurance

R&D

Research and Development

REU

Research Experiences for Undergraduates

RPA

Request for Pre-Applications

SAM

System for Award Management

SOW

Statement of WorkTCU

Tribal Colleges and Universities

U.S.

United States

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART I

PART I – FUNDING OPPORTUNITY DESCRIPTIONSA.

STATEMENT OF OBJECTIVESThis FOA is for Consolidated Innovative Nuclear Research (CINR) and is thus referred to in thisdocument as the “CINR FOA.”
A.1

Background and Objectives

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 reactors operating
Deploy new nuclear reactors
Secure and sustain our nuclear fuel cycle
Expand international nuclear energy cooperation

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 and to optimize the benefits ofnuclear energy.
Collectively, all NE-sponsored activities support the Department’s priorities to combat theclimate crisis, create clean energy jobs with the free and fair chance to join a union and bargain
collectively, and promote equity and environmental justice by delivering innovative clean energy
technologies for nuclear energy systems.
All applications submitted under this CINR FOA must demonstrate a strong tie to at least one of
the four mission priorities and highlight how it supports the 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.
This CINR FOA provides competitive R&D opportunities through the Nuclear Energy
University Program (NEUP) and the Nuclear Science User Facilities (NSUF). NEUP supports
university-led infrastructure and R&D projects relevant to the NE mission. NSUF provides
access to material test reactors, beam lines, and post-irradiation examination facilities toresearchers from U.S. universities, industry, and national laboratories.
NE reserves the right to respond to potential shifts in R&D priorities during Fiscal Year (FY)2024 that may be driven by events, policy developments, or Congressional/budget direction.
Further, NE reserves the right to fund all or part of an application to this CINR FOA.

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

A.2

PART I

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.
A.3

NE Program Resources

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

B.

•

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-energyenabling-technologies-neet•

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

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

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

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

Nuclear Science User Facilities (NSUF): https://nsuf.inl.gov/
FUNDING OPPORTUNITIESNE is seeking applications from U.S. universities, national laboratories, and industry to conduct
nuclear energy-related research to help meet the objectives of the major NE funded researchareas.
All research must be non-proprietary and awarded projects must publish their results at the DOE,
Office of Scientific and Technical Information (OSTI) website for public access(https://www.osti.gov).
All research must be non-proprietary and awarded projects must publish their results at the DOE,
Office of Scientific and Technical Information (OSTI) website for public access(https://www.osti.gov).
Specifically, this CINR FOA contains the following three separate funding opportunity areas:
1) U.S. University-led R&D Projects and NSUF Access with R&D (NSUF-1) Projects•

Optional Research Experiences for Undergraduate Supplement available(as described in Part I, Section C)

2) U.S. University-led Integrated Research Projects (IRPs)
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Fiscal Year 2024 Consolidated Innovative Nuclear Research•

PART I

Optional Research Experiences for Undergraduate Supplement available(as described in Part I, Section C)

3) U.S. University-, National Laboratory-, or Industry-led Nuclear Science User
Facilities (NSUF) Access Only (NSUF-2) Projects
These three funding opportunity areas are described in detail in Part I, Sections B.1, B.2, and B.3
below, with the Research Experience for Undergraduate Supplement description in Part I,
Section C:
B.1

U.S. University-led R&D Projects

The U.S. University-led R&D Projects funding opportunity area is available to U.S. universityled teams. In general, R&D is defined by the statement of objectives defined in the topic areas inAppendix A. R&D work must be directly tied to the NE mission. U.S. university PIs are invited
to propose research projects in response to this area of the CINR FOA and the associated topic
areas in Part IX, Appendix A of this CINR FOA.
International Collaborations – The Research Councils United Kingdom (RCUK) Energy
Program, led by the Engineering and Physical Science Research Council (EPSRC) in the United
Kingdom (UK) has announced a UK funding opportunity for certain topic areas in Appendix A.
The UK funding opportunity will support UK researchers in US/UK collaborations in thefollowing topic areas:•

Topic 5 – Fuels•

Topic 6 – Spent Fuel, Waste Science & Technology, and Integrated Waste Management
System•Topic 11 – Advanced Nuclear Materials

In addition, the Research Grant for Decommissioning Science (Mission H), led by the Japan
Atomic Energy Agency (JAEA) in Japan will announce a Japanese funding opportunity for a
topic area related to this FOA. The Japanese funding opportunity focuses on decommissioning
technologies and will support Japanese researchers in US/Japan collaborations in the following
topic area:•

Topic 9 – Measuring, Monitoring, and Controls

B.1.1. Note for U.S. University-led Nuclear Science User Facilities (NSUF-1) Access
Projects
R&D Projects with joint NSUF Access applications require a Letter of Intent (LOI) in addition to
the Pre-Application and, if invited (see Part V, Section B.1 of this CINR FOA), a Full
Application. R&D Projects with NSUF Access 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 of this CINR FOA and should beseriously considered when preparing applications. It is strongly recommended that all potential
proposers review the contents of the NSUF website NSUF.inl.gov/ for vital information. Further
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details are provided to applicants on considerations for the NSUF Access readiness review inPart I, Section B.3.1.
B.2

U.S. University-led IRPs

IRPs comprise a significant element of NE’s innovative nuclear research objectives and represent
significant needs to support the NE mission objectives. IRPs are significant projects within
specific research areas. IRPs are intended to develop a capability within each area to address
specific needs, problems, or capability gaps identified by NE. These projects are
multidisciplinary and require multi-institutional partners. IRPs may include a combination ofevaluation capability development, research program development, experimental work, andcomputer simulations. IRPs are intended to integrate several disciplinary skills to present
solutions to complex systems design problems that cannot be addressed by a less comprehensive
team.
Although a university PI must lead a proposing team and include at least one additional
university collaborator, the proposed project team may include multiple universities and nonuniversity partners (e.g., industry/utility, minority-serving institutions (MSIs), national
laboratories, and international partners).
U.S. university PIs are invited to propose research projects in response to this area of the CINR
FOA and the associated topic areas contained in Part IX, Appendix B of this CINR FOA.
B.3

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

NSUF Access project applications require a Letter of Intent (LOI) in addition to the PreApplication and, if invited (see Part V, Section B.1 of this CINR FOA), a Full Application.
NSUF Access project applications will also require a feasibility review and readiness review inaddition to the relevancy and technical reviews. Important aspects of NSUF Access applications
are described in Appendix D of this CINR FOA and should be seriously considered when
preparing applications. It is strongly recommended that all potential proposers review thecontents of the NSUF website NSUF.inl.gov/ for vital information.
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 (NSUF1) financial support and by-way-of the associated topic area in Part IX, Appendix Aof this CINR FOA. Applications must comply with the provisions of Part IX,
Appendix D of this CINR FOA.

•

U.S. university, national laboratory, and industry PIs may apply for NSUF Access
Only (NSUF-2) funding and by-way-of the associated topic area in Part IX, Appendix
C of this CINR FOA. Applications must comply with the provisions of Part IX,
Appendix D of this CINR FOA.

While NSUF will strive to implement the full scope detailed in the statement of work (SOW),NSUF does not guarantee results but only access to NSUF capabilities. Success of a project will
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PART I

rely on many factors outside control of the NSUF. The extent of an NSUF access project will be
described in the SOW. Deviations from the SOW are limited and must be approved by the
NSUF program office. NSUF does not provide funding to the PI to support salaries, tuition,
travel, or other costs typically supported via NE Program funds.
B.3.1

NSUF Readiness

Applicants must demonstrate that their project is ready for NSUF access. This means that all
preparatory work should be completed and the remaining effort is the actual irradiation testing or
post-irradiation examination. Limited development work is allowed in an NSUF application. In
the NSUF Pre-Application, a summary (one or two paragraphs) of readiness is required. In
the Full Application, a detailed description (up to one page) of readiness is required.
Applications that do not adequately demonstrate readiness will not be considered for selection.
Awarded projects that are found to not be ready for NSUF access may be cancelled. Additional
information on the NSUF process is included in Part IX, Appendix D.
Questions about NSUF Readiness should be directed to the NSUF Program Office or theassigned NSUF Technical Lead for the applicant’s project. Applicants should clearly state any
testing or conditions that would fall under NSUF Readiness.
The following items must be completed prior to submitting a Pre-Application requesting NSUF
access:•••••Development, qualification, and demonstration of fabrication techniques, processes andmethods on the materials to be studied;
Basic pre-characterization to support irradiation design such as basic thermal, chemicaland physical properties;
Unirradiated material interaction studies (at irradiation temperature and chemistry);
Unirradiated corrosion studies (at irradiation temperature and chemistry); andPre-irradiation qualification of sensors, including functional and operational testing, andendurance testing at the irradiation environmental conditions (pressure, temperature,
corrosion, etc.).

For example, if a proposal involves neutron irradiation of specimens at elevated temperature,
furnace testing is expected to be performed prior to the application, if temperature is a variable ofinterest. If a project would investigate the effect of radiation on corrosion of a material in a
coolant environment, the same test should have been performed outside of a reactor to form abaseline.
For projects utilizing fuels or materials coming from an on-going irradiation, the irradiation
schedule at time of review rather than at the time of proposal submission will be taken into
consideration for determining readiness of the project. A plan for delivery of fuel, material, or
sensors must be addressed with specific attention to the following:•

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

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

•

•
•
•

•
•

•

PART I

For previously irradiated fuels and materials not residing in the NSUF NFML, thelocation (as specific as possible), condition, provenience, pedigree, radioactivity levels,
isotopic content, material composition, configuration, ownership, and any other available
information that will be needed to ship and/or prepare the fuel or material for
examination must be identified.
For PIE only awards, samples must be available to undergo PIE by October 1st following
the award.
For fuels and materials residing in the NSUF NFML, identify the specific specimen(s).
For any fuels or materials supplied for the purpose of neutron irradiation, the applicant
must own and have full authority to transfer ownership and title (free of any liens, claimsof ownership, or other liabilities) to DOE.
Supplier information and lead times for sensors need to be provided.
For fuels or materials coming from other DOE programs (not NSUF), a statement ofprogram commitment is required. If invited to submit a Full Application, a statement that
includes concurrence from the appropriate DOE federal program manager or national
technical director is to be attached in the Pre-Application in the section titled Post
Submission Attachments. (Part IV, C.6)
Applicants for NSUF Access Only projects that do not have an R&D funding component
are responsible for costs similar to travel costs to NSUF facilities for facility accesstraining, technical meetings, examinations, experiment loading, etc.; applicant salary
support; graduate student support; post-doctoral or other researcher support; and,materials and supplies support at the PI’s work location. If invited to submit a Full
Application, a letter of commitment from an appropriate authority is required that
explains how the applicant will pay for these types of costs. Attach the Letter ofCommitment in the Pre-Application in the section titled Post Submission Attachments.
(Part IV, C.5)

Pre-Applications must include a list of publications that resulted from previous NSUF supported
projects.
NOTE: Access to NSUF capabilities will require agreement and final signature to the User
Agreement (copy provided in Part IX, Appendix E). The terms and conditions of the User
Agreement are non-negotiable, and failure to accept the terms and conditions of the User
Agreement will terminate processing and review of the NSUF applications. To ensurecompliance throughout the application review process, applicants must indicate in the LOI and
Full Application submission that the User Agreement has been read, understood, and the terms
and conditions are accepted. Further, submission of a Pre-Application and a Full Application
indicates the applicant will comply with and agree to the terms and conditions of the User
Agreement. Upon award of an NSUF supported project, the User Agreement must be signed
before activities will begin on the project. Failure to sign the non-negotiable User Agreement
within 30 days of receipt of the User Agreement may result in cancellation of an awarded
project.

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B.4

PART I

Research Experiences for Undergraduate Supplement

The goal of a Research Experiences for Undergraduates Program (REU) is to promote
undergraduate research opportunities in nuclear energy research and development by
incentivizing CINR projects to include both on campus and off campus students in research
activities. This program is intended to promote nuclear energy as a viable undergraduate option
and provide students with knowledge, research experience, and connections with facultyinterested in nuclear energy related research.
Based on the competitive nature of CINR projects, REU components of CINR projects will be
proposed as part of the research proposal. Applicants should provide as many details as possible
about their plan, including how they would structure the opportunity, how they would recruit andevaluate students, and how undergraduates would be incorporated into the research. Additional
details about how the REU program will be conducted will be left for the project execution phaseto allow for adjustments to the plan during project execution.
Applicants will indicate their intention for supplementing their application with an REU by
selecting that they are ‘participating in an REU supplement’ during the pre- and full-application
phases. An REU plan will be required as part of the full application.
Applicants may split the REU portion between the prime applicant and any proposed
subrecipients.
The REU supplement portion of the award is expected to fall under participant support costs as
defined by 2 CFR 200:
Participant support costs means direct costs for items such as stipends or subsistence
allowances, travel allowances, and registration fees paid to or on behalf of participants or
trainees (but not employees) in connection with conferences, or training projects.
Participant support costs are typically excluded from the allocation base of the indirect costcalculations unless explicitly provided for in the awardee’s or subawardee’s Negotiated Indirect
Cost Rate Agreement.
This program will be split into two different focus areas:
1. REU funds may be provided to support on-campus undergraduate students. The
experience would need to be structured, for a specific duration (e.g., a semester), befocused on an active NEUP project, where the undergraduate would be paid on an ‘oneffort basis’ (pro-rata). Although any eligible student can qualify, the focus is for faculty
to identify high performing, underserved students for these opportunities.
2. REU summer programs to support an undergraduate summer research program forstudents from other universities. Selection of students should focus on underserved
communities and students from MSIs as a selection factor.
The REU is a research training experience paid via a stipend, not employment (work) paid with asalary or wage. In the REU program, the student's training consists of closely mentored
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independent research. The funds received by students may be taxable income under the Internal
Revenue Code of 1986 and may also be subject to state or local taxes.
Note: REU supplements will be considered as part of the overall technical approach and will
receive consideration based on how well students are integrated into the project in Criterion 3 ofthe full application review.
Topic areas for the respective CINR FOA areas, with the indicated funding opportunities
described above, may be found in the Part IX Appendices of this CINR FOA as follows:•

Appendix A: “Topic areas for U.S. University-led R&D Projects or NSUF Access with
R&D (NSUF-1) Projects”•

Appendix B: “Topic areas for U.S. University-led IRPs”•

Appendix C: “Topic areas for U.S. University-, National Laboratory-, or Industry-led
NSUF Access Only (NSUF-2) Projects”

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PART I

Fiscal Year 2024 Consolidated Innovative Nuclear Research

Table 1. FY 2024 Topic Area Overview

No

X

Topic Area 2 – Existing Plant Optimization

A

No

X

Topic Area 3 – Non-Traditional and Non-electric Applications

A

No

X

Topic Area 4 – Nuclear Fuel Recycle Technologies

A

No

X

Topic Area 5 – Fuels

A

No

X

Topic Area 6 – Spent Fuel, Waste Science & Technology andIntegrated Waste Management System

A

No

X

Topic Area 7 – Consent-based Siting for SNF Management

A

No

X

Topic Area 8 – Modeling and Simulation

A

No

X

Topic Area 9 – Measuring, Monitoring, and Controls

A

No

X

Topic Area 10 – Licensing, Safety, and Security

A

No

X

Topic Area 11 – Advanced Nuclear Materials

A

No

X

Topic Area 12 – Advanced Manufacturing Technologies

A

No

X

Topic Area 13 – Strategic Needs Blue Sky

A

No

X

NSUF-1.1: Core and Structural Materials Behavior andDevelopment

A

Yes

X

NSUF-1.2: Testing of Advanced Materials for Sensors

A

Yes

X

IRP-1: Grand Challenge IRP – Accelerating Reactor Development

B

No

X

B

No

X

C

Yes

X

IRP-2: Grand Challenge Research and Development at Minority
Serving Institutions (MSI)*NSUF-2.1: Core and Structural Materials Behavior andDevelopment
NSUF-2.2: Testing of Advanced Materials for Sensors

IndustryA

National
Laboratory

NSUF Access

Topic Area 1 – Reactor Development and Plant Optimization

Topic Area

University

Appendix

Led by:

X

X

C
Yes
X
X
X
*University-led and collaboration with minority serving institutions (MSIs), including historically black colleges
and universities (HBCUs) and tribal colleges and universities (TCUs), is required. Please refer to Part III, Section A
for more information on and identification of MSIs.

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART IIPART II – AWARD INFORMATIONA.

TYPE OF AWARD INSTRUMENT

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

ESTIMATED FUNDING

The estimated amounts identified for each of the CINR FOA areas are specified in Sections B.1B.3 below with ceilings and floors specified in Section C below. Funding for all awards iscontingent upon the availability of funds appropriated by Congress for the purpose of thisprogram.
B.1

U.S. University-led R&D Projects and NSUF Access with R&D (NSUF-1) Projects

NE currently estimates that it will fund approximately $60 million in awards for the U.S.
University-led R&D Projects CINR FOA area.
B.1.1

Research Experiences for Undergraduates Supplement

NE currently estimates that it will fund approximately $2 million total across both U.S.
University-led R&D or IRP project supplements.
B.2

U.S. University-led IRPs

NE currently estimates that it will fund approximately $6 million in awards for the U.S.
University-led IRP Projects CINR FOA area.
B.2.1

Research Experiences for Undergraduates Supplement

NE currently estimates that it will fund approximately $2 million total across both U.S.
University-led R&D or IRP project supplements.
B.3

U.S. University-, National Laboratory-, or Industry-led NSUF Access Only (NSUF2) Projects

NE currently estimates that it will fund approximately $5 million in award value for the U.S.
University-, National Laboratory-, or Industry-led Nuclear Science User Facilities Access
Projects (NSUF Access Only) CINR FOA area.
C.

MAXIMUM AND MINIMUM AWARD SIZE

The ceiling (i.e., the maximum amount for an individual award made under each area) and floor(i.e., the minimum amount for an individual award made under each area) for each of the three
CINR FOA areas are identified in Part II, Sections C.1-C.3 below.

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

C.1

U.S. University-led R&D Projects and NSUF Access with R&D (NSUF-1) Projects•

Ceiling: up to $1,000,000 (3-year project) for non-REU supplemented project. Up to$1,100,000 for REU supplemented project, except as explicitly noted in individual topic
areas. NSUF Access with R&D (NSUF-1) may have up to a 7-year duration.

•

Floor: None.

C.1.1

Research Experiences for Undergraduates Supplement•

Ceiling: up to $100,000 (3-year project), as supplement total across both U.S. universityled R&D or IRP supplements.

•

Floor: None.

C.2

U.S. University-led IRPs•

Ceiling: up to $3,000,000 (3-year project) for non-REU supplemented project. Up to$3,100,000 for REU supplemented project, except as explicitly noted in individual topic
areas.

•

Floor: None.

C.2.1

Research Experiences for Undergraduates Supplement•

Ceiling: up to $100,000 (3-year project), as supplement total across both U.S. universityled R&D or IRP supplements.

•

Floor: None.

C.3

D.

PART II

U.S. University-, National Laboratory-, or Industry-led NSUF Access Only (NSUF2) Projects•

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

•

Floor: None.
EXPECTED NUMBER OF AWARDSThe number of awards for each of the three CINR FOA areas are identified in Part II, Sections
D.1-D.3 below. The number of awards is dependent on the size of the awards. DOE reserves theright to make more or fewer (or even no awards) depending on funding availability and/or thequality of the applications.
D.1

U.S. University-led R&D Projects and NSUF Access with R&D (NSUF-1) Projects

NE anticipates making approximately 55 awards under the U.S. University-led R&D Projects
CINR FOA area.

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D.1.1

PART II

Research Experiences for Undergraduates Supplement

NE anticipates making up to 20 awards to supplement awarded U.S. University-led R&D and
IRP projects.
D.2

U.S. University-led IRPs

NE anticipates making approximately 2 awards under the U.S. University-led IRPs CINR FOA
area.
D.2.1

Research Experiences for Undergraduates Supplement

NE anticipates making up to 20 awards to supplement awarded U.S. University-led R&D and
IRP projects.
D.3

U.S. University-, National Laboratory-, or Industry-led NSUF Access Only (NSUF2) Projects

NE anticipates making approximately 2 awards under the U.S. University-, National Laboratory, or Industry-led NSUF Access Only (NSUF-2) CINR FOA area.
E.

ANTICIPATED AWARD SIZE

The anticipated award size for each of the three CINR FOA areas are identified in Part II,
Sections E.1-E.3 below. Amounts represent anticipated maximum per award.
E.1

U.S. University-led R&D Projects and NSUF Access with R&D (NSUF-1) Projects

DOE anticipates that awards will be up to $1,000,000 per award (except as explicitly stated inindividual topic areas).
E.1.1

Research Experiences for Undergraduates Supplement

NE anticipates that awards will be up to $100,000 per award to supplement proposed U.S.
University-led R&D and U.S. University-led IRP projects.
E.2

U.S. University-led IRPs

NE anticipates that awards will be up to $3,000,000 for the U.S. University-led IRPs CINR FOA
area, except as stated in individual topic areas.
E.2.1

Research Experiences for Undergraduates Supplement

NE anticipates that awards will be up to $100,000 per award to supplement proposed U.S.
University-led R&D and U.S. University-led IRP projects.
E.3

U.S. University-, National Laboratory-, or Industry-led NSUF Access Only (NSUF2) Projects

Access value of these awards (funds not provided to the PI) will be defined by a final costestimate provided by the NSUF office.

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

F.

PART IIPERIOD OF PERFORMANCE

NE anticipates making awards for up to three years and two months for each of the CINR FOA
areas with the exception of awards involving NSUF access, which may take up to seven years if
neutron irradiation and PIE is requested. Assuming NE makes awards under this CINR FOA
by March 2024, funded projects shall begin no later than August 1, 2024. 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, 2024, is necessary for the successful
performance of the project, it must be fully documented and justified in the application for
consideration by NE.
G.

TYPE OF APPLICATION

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

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART IIIPART III – ELIGIBILITY INFORMATIONA.

ELIGIBLE APPLICANTS

DOE has restricted eligibility for award in accordance with the Code of Federal Regulations, 2
CFR 910.126(b). This eligibility restriction does not apply to subrecipients, subawards, vendors,
or team members of the prime/lead applicant. This CINR FOA is open to only U.S. universities,
national laboratories, and U.S. industry entities. The eligibility of this FOA is restricted tosupport U.S. universities and colleges for topics in Appendix A and B, and NSUF user accesseligibility is restricted to U.S. industry, U.S. universities and colleges, and national laboratories
in Appendix C that are pursuing fundamental and applied research in the nuclear sciences
pursuant to 42 USC 16274.
Restricting eligibility ensures the Nuclear Energy University Program supports university
research, collaborations with industry and national laboratories, and training and educating thenext generation nuclear workforce. Pursuant to the Nuclear Science User Facilities mission,access to user facilities is open to a broader range of applicants in Appendix C.
To support the goal of building a clean and equitable energy economy, NE strives to contributeto the President’s goal that 40% of the overall benefits of certain Federal investments flow to
Disadvantaged Communities (DAC) (the Justice40 Initiative) 1. The goal is to spur economic
development and job creation in DACs throughout the United States, through effective teams
and/or partnerships with institutions, located in a disadvantaged community that may receive
funding support from the project.
In support of the Justice40 Initiative, the White House has developed the Climate and Economic
Justice Screening Tool (CEJST) tool to identify DACs. CEJST can be found athttps://screeningtool.geoplatform.gov/en/#3/33.47/-97.5. Applicants are encouraged to use
CEJST to illustrate how their project supports DACs.
NE also strives to ensure energy equity through effective teams and/or partnerships with MSIs,
including Historically Black Colleges and Universities (HBCUs), and Tribal Colleges andUniversities (TCUs).
Information on MSIs can be found athttps://www2.ed.gov/about/offices/list/ope/idues/eligibility.html#tips. This information
predominately covers institutions that have been awarded grants through the Department of
Education and does not include all institutions that may meet the definition of an MSI. This
resource is not an exhaustive list of minority-serving institutions. For purposes of identifying
MSIs in NE’s application system, NE is using a directory based on 2020 U.S. Department of
Education data, compiled by Rutgers University’s Center for MSIs, which can be found

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.

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at:https://www2.ed.gov/about/offices/list/ope/idues/2023eligibilitymatrix.xlsx. This list is also
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 listed, please contact
neup@inl.gov with an explanation for how the university meets the conditions of being
considered an MSI.
The application must originate from the lead institution. All lead PIs must have an active accountin 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 thesynergies that arise when individuals with forefront expertise in different methodologies,
technologies, disciplines, and areas of content knowledge approach a problem together,overcoming impasses by considering the issue from fresh angles and discovering novel solutions.
This CINR FOA provides award opportunities to U.S. owned entities as defined in 2 CFR
910.124:
2 CFR 910.124(b) definitions include:
United States means the several States, the District of Columbia, and all commonwealths,
territories, and possessions of the United States.
United States-owned company means:(1) A company that has majority ownership by individuals who are citizens of theUnited 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
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PART IIIsimilar to those authorized under the Act [Section 2306 of the Energy Policy
Act of 1992, 42 U.S.C. 13525];(B) Affords to United States-owned companies local investment opportunities
comparable to those afforded to any other company; and(C) Affords adequate and effective protection for the intellectual property
rights of United States-owned companies.
2 CFR 910.124(d):Determining the economic interest of the United States. In determining whether
participation of an applicant company in a covered program would be in theeconomic 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 interestof 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, themanufacture 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 thecompetitiveness 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 theapplicant entity’s place of incorporation and operation. NE will evaluate the benefit andcontribution 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 thesuccess 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
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PART III

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) ‘otherpersonnel’. Document requirements will vary depending on whether an individual is designatedas ‘key/senior personnel’ or as a general collaborator. Key/senior personnel should be listed in
the first “collaborators” section on the application form. Other collaborators or personnel
including NSUF Technical Leads should be listed on the second “collaborators” section of
the application form.
Refer to each required area of the pre- 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 and personnel (except in NSUF Access Only CINR FOA
areas), in composite, can have no more than 20% of the total funds provided by the Government.
An employee with a joint appointment between a university and a DOE national laboratory canapply through the institute of higher education (IHE) if the institution pays his or her salary andprovides his or her benefits.
Part IV, Section I of this CINR FOA outlines funding restrictions for this CINR FOA.
A.1

Domestic Entities

For-profit entities, educational institutions, and nonprofits 2 that are incorporated (or otherwise
formed) under the laws of a particular state or territory of the United States are eligible to apply
for funding as a prime or subrecipient (only educational institutions may apply as a prime
recipient for U.S. university-led projects).
State, local, and tribal government entities are eligible to apply for funding as a subrecipient (forU.S. university-, national laboratory-, or industry-led projects only).
DOE/National Nuclear Security Administration (NNSA) Federally Funded Research andDevelopment Centers (FFRDC) and DOE Government-Owned Government-Operated
laboratories are eligible to apply for funding as a prime recipient, team member, or subrecipientin the NSUF Access Only CINR FOA area. If an FFRDC is proposed as a team member orsubrecipient, 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 aprime recipient.

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.

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PART III

Federal agencies and instrumentalities (other than DOE) are eligible to apply for funding as asubrecipient but are not eligible to apply as a prime recipient.
A.2

U.S. Incorporated Foreign Entities

U.S. incorporated foreign entities, whether for-profit or otherwise, are eligible to apply forfunding under this CINR FOA as either a prime recipient or subrecipient subject to therequirements in 2 CFR 910.124.
A.3

Incorporated Consortia

Incorporated consortia, which may include domestic and/or foreign entities, are eligible to apply
for funding as a prime recipient (U.S. university- or national laboratory-led projects only) or
subrecipient. For consortia incorporated (or otherwise formed) under the laws of a State or
territory of the United States, please refer to “Domestic Entities” in Part III, Section A.1 above.
For consortia incorporated in foreign countries, please refer to the requirements in “U.S.
Incorporated Foreign Entities” Part III, Section A.2 above.
A.4

Unincorporated Consortia

Unincorporated consortia, which may include domestic and foreign entities, must designate one
member of the consortium to serve as the prime recipient/consortium representative (U.S.
university- or national laboratory-led projects only). The prime recipient/consortium
representative must be incorporated (or otherwise formed) under the laws of a State or territoryof the U.S. The eligibility of the consortium will be determined by the eligibility of the prime
recipient/consortium representative.
B.

APPLICATION RESTRICTIONS

U.S. university PIs may submit up to six Pre-Applications (three of those applications may be aslead PI).
A PI may have no more than one IRP, or three R&D projects (excluding NSUF Access Only
projects) funded at any time and may not submit more Full Applications than would be allowedby these restrictions.
PIs cannot submit the same application to multiple topic areas, including the NSUF Access areas.
Individuals serving in an advisory capacity to DOE may not participate in any portion of this
FOA, including the NSUF Access Only CINR FOA area.
NSUF Access Only projects are not bound by these eligibility restrictions, unless specified
above.
NOTE: Procurement regulations require that applications submitted to this CINR FOA will beawarded to the applicant entity listed and will not be transferred pre-award to another institution
if a lead PI changes institutions. Following the date set in this CINR FOA for receipt ofapplications, PIs that are moving from one institution to another during the CINR review time
period are subject to the DOE-ID Changing Principal Investigator and Related
Changes/Revisions Policy which is explained at www.NEUP.gov. Post award revision must
adhere to the requirements of 2 CFR 200.308.
NOTE: Due to the COVID-19 pandemic, FY 2017-2019 active projects will not be counted
toward eligibility restrictions.
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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART IIIThe following application restrictions apply to lead PIs:
B.1

R&D Application Restrictions

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

B.2•

The PI has a currently funded IRP that will be active after December 31, 2024.

•

The PI has three or more R&D projects that will still be active after December 31,
2024, excluding NSUF Access Only projects and any NSUF project with a duration
greater than 3 years.

•

The PI has a no-cost time extension on any NE funded project (excluding
Infrastructure) that will still be active beyond December 31, 2024, excluding
extensions caused by NSUF.

IRP Application Restrictions

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

B.3•

The PI has a currently funded IRP that will be active after December 31, 2024.

•

The PI has a no-cost time extension on any NE funded project (excluding
Infrastructure) that will still be active beyond December 31, 2024, excluding
extensions caused by NSUF.

•

The applicant is designated as PI for more than one currently funded NE project thatwill be active beyond December 31, 2024. Applicants with only one currently funded
R&D project are eligible to apply for an IRP.

•

If a PI chooses to submit an IRP application to this CINR FOA and has no currently
funded R&D projects that will still be active after December 31, 2024, excluding
NSUF Access Only projects, that PI is allowed to submit up to one R&D application
as the lead. In the event that both the IRP and R&D applications are successful, only
one award will be made with priority given to the IRP project.

Research Experiences for Undergraduates Supplement Eligibility

All R&D and IRP applications can request an REU supplement as part of their application withthe following restrictions:• REU activities should not exceed $100,000.
•

The term of the REU supplement cannot exceed that of the associated award.

•

Student stipends should be comparable to other REU programs per student per week.
o Amounts for academic-year projects should be comparable to this number on a
pro rata basis. Typically, students working during the academic year are paid on a
per hour basis.

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PART III

Total costs for a summer REU program—including all allowable direct (student) costs(e.g., stipend, travel, housing, etc.)—should be comparable to other REU programs.
However, exceptional circumstances may exceed comparable programs and would need
to be approved by DOE.

Students can participate in a funded REU supplement under the following circumstances:

C.

•

Student eligibility is restricted to U.S. citizens, U.S. nationals, or permanent residents of
the United States.

•

An undergraduate student is a student who is enrolled in a degree program (part-time or
full-time) leading to a baccalaureate or associate degree.

•

Students transferring from one college to another and are enrolled in neither institution
during the intervening summer are eligible to participate.

•High school graduates who have been accepted at an undergraduate institution who have
not yet started their studies are eligible.

•

Students who have received their bachelor’s degree and are no longer enrolled as anundergraduate are not eligible.
COST SHARING

For applications led by universities, cost sharing is not required, but may be proposed. Cost
sharing is not required for institutions of higher education and nonprofit organizations. Thiswaiver is granted per Section 10725 of the Research and Development, Competition, andInnovation Act, P.L. 117-167, which extends the cost share waiver pilot program enacted by
Section 108 of the Department of Energy Research and Innovation Act, Public Law 115–246(Innovation Act) and provides an exemption for institutions of higher education and nonprofit
organizations from the 20% cost share requirement for R&D activities. The exemption isavailable for the two-year period beginning on August 9, 2022. Codified at 42 U.S.C. 16352. If
cost sharing is provided, see 2 CFR part 200 for the applicable cost sharing guidance and Part
VIII, Section G, of this 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., thesum 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 nonFederal sources, unless otherwise allowed by law. (See 2 CFR 200.306 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, it is included in the total estimated budget. DOE will pay the DOE/NNSA FFRDC
contractor portion of the effort under an existing DOE/NNSA contract. The recipient is not
responsible for reporting on that portion of the total estimated cost that is paid directly to the
DOE/NNSA FFRDC contractor on SF-425 form.
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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART IIIBy 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.
Cost sharing requirements do not apply to the value of the NSUF access.
D.

OTHER ELIGIBILITY REQUIREMENTS

D.1

FFRDC Contractors

FFRDC contractors may be proposed as a lead institution (except as otherwise prohibited by this
CINR FOA) or 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 and must not place the FFRDC
contractor in direct competition with the private sector.
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,
and will not place the laboratory in direct competition with the domestic
private sector.”
NOTE: The FFRDC’s participation in the proposed project is subject to the terms and conditionsof 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 andacknowledgment of all participants are identified, individual Letters of Authorization may besubmitted or submitted as blanket permission Identification of participants by name is to be
included in the body or as a separate list.
NOTE: Letter of Authorization is not required for NSUF Technical Leads unless the Technical
Lead is designated as senior/key personnel on the application and is requesting R&D funding
support under this CINR FOA.
•

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 funda DOE FFRDC contractor through the DOE FWP system and other non-DOE FFRDC
contractors through an interagency agreement with the sponsoring agency.

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PART III•

Cost Share: On industry led applications, the applicant’s cost share requirement will bebased on the total cost of the project (excluding NSUF access value). FFRDC costs areincluded as part of the Government cost share.

•

FFRDC Contractor Effort (except for project(s) in support of NSUF):
The scope of work to be performed by the FFRDC contractor may not be moresignificant 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 estimatedcosts of the projects.
Responsibility: The applicant, if successful, will be the responsible authority regarding thesettlement and satisfaction of all contractual and administrative issues, including but notlimited to, disputes and claims arising out of any agreement between the applicant and the
FFRDC contractor.
-•

Table 2 provides a summary of Parts II and III of this CINR FOA.

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PART IIIFiscal Year 2024 Consolidated Innovative Nuclear Research

Table 2. Summary of Parts II and III
CINR FOA Areas

Applicable
Topic Area
Appendix

Estimated
Available
BudgetMaximumAward
Size

Project
Duration

Cost ShareCollaboration

Permitted
but not
required

University,
nationallaboratory,
industry, andforeigncollaborations
areencouraged,
but no U.S.
funding can go
to entities thatare not
incorporated in
the U.S.

Up to 3 years
and 2 months,
unless otherwise
noted

R&D
Appendix A$60,000,000$1,000,000

R&D with NSUF
Access (NSUF-1)*

Up to 7 years,
unless otherwise
noted.

IRPs

Appendix B$6,000,000$3,000,000

Up to 3 years
and 2 months,
unless otherwise
noted

Research Experiencesfor Undergraduates
Supplement

N/A$2,000,000$100,000

Corresponds toassociatedproject duration

NSUF Access Only
(NSUF-2)*

Appendix C$5,000,000

No R&D
Component

Refer to Part II,
E.3*NSUF Access will be used to support NSUF applications in NSUF-1 (Appendix A) and NSUF-2(Appendix C) topic areas.

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART IVPART IV – APPLICATION AND SUBMISSION INFORMATIONNOTE: The following requirements apply to all four areas defined in Part I, Section B, of this
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 thesematerials: (1) go to www.NEUP.gov; (2) select “Sign In” from the top right hand corner of thescreen; (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
Attn: Anna Podgorney
PO Box 1625 MS 3730
Idaho Falls, ID 83415
Telephone: 208-526-2123
Fax: 208-526-1844
B.

DOCUMENT FORMAT REQUIREMENTS

All non-budget documentation (use templates where 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 thanTimes 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 anddata 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 eachdocument description. The tracking ID will automatically be generated by the application systemand 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 lackenough detail for reviewers to adequately judge technical merit. Applications submitted withcorrupted, incomplete, or incorrect files may be dismissed without further review.

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Fiscal Year 2024 Consolidated Innovative Nuclear ResearchC.

NSUF APPLICATION SUBMITTAL INSTRUCTIONS

C.1

Letter of Intent (LOI)PART IV

LOIs are a requirement for projects needing NSUF access. LOIs must be submitted by thedate and time specified in Part IV, Section G.1.
C.1.1

LOI Submittal Instructions

Application forms and instructions are available at the NEUP.gov website. To access thesematerials: (1) go to www.NEUP.gov; (2) select “Login” from the top right hand corner of thescreen; (3) enter your user credentials; (4) select “Applications” from the menu; and (5) find “FY
2024 NSUF 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;
Applicable topic area;o NSUF-1 (have R&D funds available); ando NSUF-2 for NSUF Access Only (no R&D funds available);
Identification of NSUF Technical Lead(s), if known;
Identification of NSUF facilities;
Proposing PI and associated institution, if known; andA brief (<300 words) project description covering only the NSUF scope of the project.

Points of contact (POCs) for the NSUF facilities, as well as facility descriptions, are provided on
the NSUF website at NSUF.inl.gov/Page/Partners. NSUF Partner Institution contacts are also theTechnical Leads. Idaho National Laboratory (INL) Technical Leads are assigned by the NSUF
Program Office and provided to the applicant. For assistance in identifying a NSUF Technical
Lead or facility POC, please contact NSUF staff members listed on the website NSUF.inl.gov.
o 2-page limit, 11-point font.
Name File: 2024 LOI “Insert ID #”C.1.2

Agreement Requirements

Access to NSUF capabilities will require agreement and final signature to the User Agreement(copy provided in Appendix E). The terms and conditions of the User Agreement are nonnegotiable and failure to accept the terms and conditions of the User Agreement willterminate processing and review of NSUF applications. To ensure compliance throughout theapplication review process, applicants must indicate in the LOI that the User Agreement has
been read, understood, and the terms and conditions are accepted. Further, submission of a PreApplication and a Full Application indicates the applicant will comply and agree to the terms andconditions of the User Agreement. Upon award of an NSUF supported project, the User
Agreement must be signed before activities can begin on the project. An applicant cannot submit
an LOI without checking the “I Agree” checkbox. Failure to sign the non-negotiable User
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PART IV

Agreement within 30 days of receipt of the User Agreement may result in cancellation of anawarded project.
C.2

Pre-Application

Refer to Part IV, Section D of this CINR FOA for Pre-Application requirements.
When completing the Pre-Application form via www.NEUP.gov, it is important that you link the
LOI to the Pre-Application to retain the same tracking identification number. To link the LOI
and Pre-Application, you must select your application from the Pre-Application drop-down list.
Doing this assigns the same tracking identification number to the Pre-Application that is used for
the LOI. The Pre-Application must be submitted from the same user account that the LOI was
submitted under. Do not start a new Pre-Application.
NOTE: A summary of readiness is required in the Pre-Applications in accordance with Part I,
Section B.3.1 of this CINR FOA.
C.3

NSUF Preliminary Statement of Work (Preliminary SOW)NSUF applicants are required to provide a Preliminary SOW in support of their NSUF PreApplication. The Preliminary SOW must be submitted at NEUP.gov using the provided
Statement of Work Template.
The Preliminary SOW is necessary to inform the NSUF feasibility review. The document is not
used for the merit or readiness reviews. The Preliminary SOW will be appended to the alreadysubmitted Pre-Application. To append the Preliminary SOW: 1) Find the submitted PreApplication in the “My Applications” section of the submission website; 2) Open the submitted
Pre-Application by using the ‘pencil’ icon; 3) Scroll to the bottom of the application form; and 4)
Click “Attach File” on the “Post Submission Attachment” section and attach the Preliminary
SOW.
Any submissions uploaded or altered after the deadline outlined in the CINR FOA will be
disregarded. Do not make changes to the Preliminary SOW after the submission deadline, as theupload timestamp is used to confirm timely submission:
Name File: 2024 Prelim SOW “Insert ID #”NOTE: Do not resubmit the Pre-Application. A timestamp will appear in the “File Upload Date”
area, which is confirmation that the Prelim SOW was appended correctly.
C.4

NSUF Final Statement of Work (Final SOW)

If an NSUF applicant is invited to submit a Full Application, a Final SOW is required, prior to
the submittal of their Full Application. Final SOW documents are submitted at NEUP.gov using
the provided Statement of Work Template.
The Final SOW is necessary to complete the NSUF feasibility review and determine a value(cost) for NSUF access. The document is not used for the merit or readiness reviews. Ensure that
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any required readiness discussion is included. The Final SOW is not included in the technicalpeer review. Technical details that will inform a peer reviewer must be included in the 15-page
technical narrative.
Final SOW documents are submitted by appending to the already submitted Pre-Application. To
append the Final SOW: 1) find the submitted Pre-Application in the “My Applications” sectionof the submission website; 2) Open the submitted Pre-Application by using the ‘pencil’ icon; 3)
Scroll to the bottom of the application form; and 4) Click “Attach File” on the “Post Submission
Attachment” section and attach the Final SOW. Do not delete the Prelim SOW. Applicantsmust submit a Final SOW even if there are no changes from the Prelim SOW.
NOTE: Do not resubmit the Pre-Application. A timestamp will appear in the “File Upload Date”
area, which is confirmation that the Statement of Work was appended correctly. There should be
two SOWs, one preliminary and one final, in Post Submission Attachments.
Name File: 2024 FinalSOW “Insert ID #”C.5

Full Application

Refer to Part IV, Section E of this CINR FOA for Full Application requirements.
NOTE: A detailed summary of readiness is required in the Full Application in accordance withPart I, Section B.3.1 of this CINR FOA.
D.

CONTENT AND FORM OF ALL PRE-APPLICATIONS(Mandatory except for IRPs)

Pre-Applications are a mandatory requirement for R&D and NSUF Projects (in Appendices A
and C of this CINR FOA) for U.S. University-, National Laboratory-, or Industry-led projects.
Pre-Applications must be submitted by the date and time specified in Part IV, Section G.2 of this
CINR FOA.
The PI and named collaborators identified in the Pre-Application may not be changed in the Full
Application without adequate justification and consent of the Contracting Officer.
The following information shall be provided for all Pre-Applications:
D.1

Pre-Application Narrative

Applicant shall provide a narrative that addresses the specific information below:•

Title of project.

•

Technical topic area identification (e.g., NM-1). The PI is responsible for selecting theappropriate topic area, and this may not be changed between the Pre-Application and Full
Application.

•

Name of PI(s) and associated organization(s).

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PART IV•

A summary of the proposed project, including a description of the project and a clear
explanation of its importance and relevance to the objectives in Part I Section A.

•

Major deliverables and outcomes the R&D will produce.

•

Estimated cost of project (not including value of any NSUF access).

•

Timeframe for execution of proposed project (specify the time period for R&D, one-,two-, or three-year period or up to seven years for NSUF).

•

Specific facilities and equipment access requirements (for the NSUF access portion only).

•

A clear and concise summary of the readiness of the project for NSUF access (asdescribed in Part I, Section B.3.1 of this CINR FOA).

•

Proprietary data, such as chemical composition or physical properties of a material, thatthe applicant wishes to protect during the irradiation or PIE phase of the project. This
may negatively impact the selection of the project.

Pages outside the specified page limits and font size, including references, will be redacted
and unavailable for evaluators to review.
o 5-page limit, 11-point font.

Name File: 2024 Pre-Application Narrative “Insert ID #”D.2

Benefit of Collaboration

Applicant shall provide a narrative that includes an explanation of the contribution that will bemade by the collaborating organizations and/or facilities to be utilized. It may contain brief
biographies of staff and descriptions of the facilities wherein the research will be conducted.
Please indicate within this section whether the application has benefit or influence on otherongoing or proposed NE R&D projects (e.g., modeling and simulation in one application andeffect validation in a separate application).
This document is required unless the application only has a single principal investigator.
Pages outside the specified page limits and font size, including references, will be redacted
and unavailable for evaluators to review.
o 4-page limit, 11-point font.
Name File: 2024 RPA Benefit of Collaboration “Insert ID #”D.3

Publications

Applications must include a list of publications that resulted from previous NE (NEUP, NEET,
NSUF) funded projects. A reference to the project that supported each publication should be
included. If the PI has not led an NE (NEUP, NEET, NSUF) project, this document is not
required.
o No page limit.
Name File: 2024 RPA NE Supported Publications “Insert ID #”Page 28 of 120

Fiscal Year 2024 Consolidated Innovative Nuclear Research

D.4

PART IV

Principal Investigator Vitae

The lead PI shall provide a brief curriculum vitae (CV) that lists the following:•

Contact information.

•

Education and Training: provide institution, major/area, degree, and year forundergraduate, graduate, and postdoctoral training.

•

Research and Professional Experience: beginning with the current position list, inchronological order (newest to oldest), professional/academic positions with a brief
description.

•

Publications: Provide a list of up to 10 publications most closely related to the
proposed project. For each publication, identify the names of all authors (in the same
sequence in which they appear in the publication), the article title, book or journal
title, volume number, page numbers, year of publication, and website address if
available electronically.

•

Patents, copyrights, and software systems developed may be provided in addition toor substituted for publications.

•

Synergistic Activities: List no more than five professional and scholarly activities
related to the effort proposed.

Pages outside the specified page limits and font size, including references, will be redacted
and unavailable for evaluators to review.
o 3-page limit, 11-point font.
Name File: 2024 RPA “Last Name of Individual” “Insert ID #”D.5

Collaborators

A collaborator is an individual who makes a defined, material contribution that is critical to thesuccess 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 as a collaborator directly on the application form. The
applicant must have the full consent of all collaborators prior to submitting an application. Any
individuals that do not meet these criteria should not be listed as collaborators on theapplication.
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 general collaborator. Key/senior personnel should be listed in
the first collaborators section on the application form. Other collaborators should be listedon the second collaborators section of the application form.
Refer to each required area of the pre- and full-application requirements to provide needed
information for all key/senior personnel.

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

D.6

PART IV

Intention to include Research Experiences for Undergraduate Supplement

Applicants will indicate whether they intend to request an REU supplement as part of a CINR
full application.
D.7

Agreement Requirements

Institutions will be expected to follow Quality Assurance (QA) principles and requirements in
conducting R&D activities. If the application is successful, the integrity of R&D products andtheir usability by NE is predicated on meeting QA requirements, as they apply to a specific scopeof work and associated deliverables. Further, each institution serving as a team member to the
proposed project shall be identified in the Pre-Application with its commitment made tocollaborate in the CINR FOA process.
If applicable, access to NSUF capabilities will require agreement and final signature to the User
Agreement (copy provided in Part IX, Appendix E of this CINR FOA). The terms andconditions of the User Agreement are non-negotiable, and failure to accept the terms andconditions of the User Agreement will terminate processing and review of NSUF
applications. To ensure compliance throughout the application review process, applicants muststate, during the NSUF Access Only and Full Application submission processes, that the User
Agreement has been read, understood, and the terms and conditions are accepted. Further,submission of a NSUF supported Pre-Application and a Full Application indicates the applicant
will comply and agree to the terms and conditions of the User Agreement. Upon award of an
NSUF supported project, the User Agreement must be signed before activities will begin on the
project. Failure to sign the non-negotiable User Agreement within 30 days of receipt of the User
Agreement may result in cancellation of an awarded project.
E.

CONTENT AND FORM OF ALL FULL APPLICATIONSApplicants must provide all information requested. Forms and optional templates may be used toprovide 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 thebottom 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.
E.1

Conflict-of-Interest (COI) Acknowledgement

The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy) can be foundat Financial Assistance Letter No. FAL 2022-02 | Department of Energy. This policy isapplicable to all non-Federal entities applying for, or that receive, DOE funding by means of afinancial 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 thatprovide 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 fromfinancial conflicts of interest or organizational conflicts of interest. The applicant is subject to the
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Fiscal Year 2024 Consolidated Innovative Nuclear Research

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requirements of the interim COI Policy and within each application for financial assistance, theapplicant 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 therequirements 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 compliancewith 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: 2024 CFA COI “Insert ID #”E.2

SF-424 Research and Related (R&R)

Applicants shall complete the SF-424, R&R form, available at www.NEUP.gov and upload acompleted and signed PDF copy of the form with the application.
Name File: 2024 CFA SF424RR “Insert ID #”E.3

R&R Other Project Information

Applicants shall complete items 1–6 on the R&R Other Project Information form available atwww.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: 2024 CFA R&R Other Project Information “Insert ID #”E.4

Project Summary/Abstract(Use Provided Template on Application Site)
The project summary/abstract must contain a summary of the proposed activity, suitable fordissemination 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); the project title; a list of major deliverables; thescope 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); and the names of key/senior personnel (for collaborative projects). This
document must not include any proprietary or sensitive business information as NE may make itavailable 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.
o 1-page limit for R&D, including NSUF-1, 11-point font. (Appendix A Template)o 1-page limit for NSUF Access Only (NSUF-2), 11-point font. (Appendix C Template)o 2-page limit for IRPs, 11-point font. (Appendix B Template)

Name File: 2024 CFA Technical Abstract “Insert ID #”Page 31 of 120

Fiscal Year 2024 Consolidated Innovative Nuclear Research

E.5

PART IV

Project Narrative

Applicant shall provide a written narrative addressing the strategy to execute R&D that supports
the specified topic area. The documentation provided shall include the items specified below:•

Application title.

•

Final Topic Area Identification (FL-1, IC-1, etc.).

•

Project Objectives: Provide a clear, concise statement of specific objectives/aims of the
proposed project in support of the NE mission.

•

Proposed scope description.

•

Logical path to accomplishing scope, including descriptions of tasks. This section will
provide a clear, concise statement of the specific objectives/aims of the proposed project.
This section should be formatted to address each of the merit review criterion and subcriterion listed in Part V, Section A. Provide sufficient information so that reviewers will
be able to evaluate the application in accordance with these merit review criteria. DOE
has the right to evaluate and consider only those applications that separately
address each of the merit review criteria.

•

Relevance and Outcomes/Impacts: This section will provide a clear explanation of its
importance and relevance to the NE mission as described in the objectives in Part I
Section A.

•

Schedule: Define timelines for executing the specified topic area, including all important
activities or phases of the project. Successful applicants must use this schedule whenreporting project progress.

•

Milestones and deliverables.

•

Type/Description of facilities that will be used to execute the scope (if applicable).

•

The roles and responsibilities of each partnering organization in the execution of the topic
area. Describe the role and work to be performed by each participant/investigator, thebusiness arrangements between the applicant and participants, and how the various
efforts will be integrated and managed.

•

Unique challenges to accomplishing the work and planned mitigations.

•

Information, data, plans, or drawings necessary to explain the details of the application.

•

Source, scope, and duration of R&D funding (i.e., support for the PI in the form of aLetter of Commitment), if applicable, associated with request for NSUF Access Only
(NSUF-2 only).

•

A stand-alone detailed description of the readiness of the project for NSUF Access (asdescribed in Part I, Section B.3.1) (NSUF-1 and NSUF-2 only)•

Proprietary data, such as chemical composition or physical properties of a material, thatthe applicant wishes to protect during the irradiation or PIE phase of the project. This
may negatively impact the selection of the project (NSUF-1 and NSUF-2 only).

Page limits include cover page, table of contents, charts, graphs, maps, photographs, tables,references and other pictorial presentations while complying with the document format
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instructions in Part IV, Section B. Pages outside the specified page limits and font size,
including references, will be redacted and unavailable for evaluators to review.
•

All R&D Projects: 10-pages, 11-point font.

•

All IRP Projects: 50-pages, 11-point font.

•

All NSUF (NSUF-1 and NSUF-2) Projects: 15-pages, 11-point font.

Do not include any internet addresses (URLs) that provide information necessary to review theapplication; information contained in these sites will not be reviewed.
Name File: 2024 CFA Technical Narrative “Insert ID #”E.6

Research Experiences for Undergraduates (REU) Plan

If supplemental REU funds are requested, the applicant shall provide details about the proposed
REU activities including:•

Structure of the REU program (e.g., summer program, on-campus, etc.), including theprocess and criteria for selecting students.

•

Nature of each prospective student’s involvement in the research project, how thestudent will be managed including assessing status of work performed and mentorship.

•

Plan to incorporate REU within the overall project schedule.

•

Anticipated number of students supported.

•

Plan to involve participation of students from underserved communities or minority
serving institutions.

•

The experience of the PI (or other prospective research mentors) in involving
undergraduates in research, including any other REU type support.

Applicants should provide sufficient detail to describe the impacts that an REU supplement
could have for the project and the potential positive impacts to overall student development,
workforce development, research outcomes, and underserved communities and minority serving
institutions.
o 2-page limit, 11-point font.
Name File: 2024 REU “Insert ID #”.pdf
E.7

Vitae (Technical Expertise and Qualifications)(Required: Lead PI, key/senior personnel)

Applicant shall name all teaming partners by name and organization, as well as their proposedroles and responsibilities. For collaborators (including senior key person), who will contribute inPage 33 of 120

Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART IVa substantial, measurable way to the project (including for subrecipients and consultants), theapplicant shall provide brief vitae that list the following:•

Contact information.

•

Education and Training: provide institution, major/area, degree, and year forundergraduate, graduate, and postdoctoral training.

•

Research and Professional Experience: beginning with the current position list, inchronological order (newest to oldest), professional/academic positions with a brief
description.

•

Publications: provide a list of up to 10 publications most closely related to the proposed
project. For each publication, identify the names of all authors (in the same sequence inwhich they appear in the publication), the article title, book or journal title, volume
number, page numbers, year of publication, and website address if available
electronically.

•

Patents, copyrights, and software systems developed may be provided in addition to or
substituted for publications.

•

Synergistic Activities: list no more than five professional and scholarly activities related
to the effort proposed.

Pages outside the specified page limits and font size, including references, will be redacted
and unavailable for evaluators to review.
o 3-page limit, 11-point font.
Name File: 2024 CFA “Last Name of Individual” “Insert ID #”Technical expertise and qualifications are to be provided for all senior/key personnel. All
participants making a defined, material contribution that is critical to the success of the project
must be listed as collaborators on the online application. Applicants must have the full consent of
all collaborators prior to submitting the application.
NOTE: NSUF technical leads and other NSUF support staff are not required to provide a vitae if
they are considered ‘other collaborators or personnel’. NSUF support staff must not be listed on
the application.
E.8

Benefit of Collaboration

The applicant shall provide a narrative that includes an explanation of the contribution that will
be made by the collaborating organizations and/or facilities to be utilized. Please indicate within
this section whether the application has benefit or influence on other ongoing or proposed NE
R&D projects (e.g., modeling and simulation in one application and effect validation in a
separate application).
This document is required unless the application only has a single principal investigator.
Pages outside the specified page limits and font size, including references, will be redacted
and unavailable for evaluators to review.
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PART IVo 4-page limit, 11-point font.
Name File: 2024 CFA Benefit of Collaboration “Insert ID#”
E.9

Capabilities

Provide information on the following, as applicable:•

Infrastructure Requirements: The applicant shall identify the infrastructure (e.g.,facilities, equipment, instrumentation, and other resources) required to execute theproposed scope of work, including applicant’s location, availability, capabilities, andhow they will be used in the project. Describe the non-labor (e.g., facilities,
equipment, and instrumentation) resources that are available and accessible to theapplicant and are required to execute the scope of work. Describe any uniqueequipment and facilities that are needed, are accessible, and will be used to executethe scope of work. Discuss the adequacy of these resources and identify any gaps andhow these will be addressed.

•

Adequate financial resources (if cost sharing).

•

Ability to comply with the required or proposed performance schedule, taking into
consideration all existing commercial and governmental business commitments.

•

A satisfactory record of performance, integrity, and business ethics.

•

Necessary organization, experience, accounting and operational controls, or theability to obtain them (including, as appropriate, such elements as property control
systems, quality assurance measures, and safety programs).

This CINR FOA allows the applicant to propose the purchase of any needed equipment to
conduct the proposed work. If equipment purchases are proposed, describe comparable
equipment, if any, already at the institution and explain why it cannot be used.
Pages outside the specified page limits and font size, including references, will be redacted
and unavailable for evaluators to review.
o 2-page limit, 11-point font.
Name File: 2024 CFA Capabilities “Insert ID #”E.10
E.10.1

Letters of Support or Commitment
Letters of Support (IRPs only), if applicable

A letter of support from non-Federal, non-academic partners (industry/utility, international) is
recommended to describe the level and type of support (e.g., financial or in-kind contributions)contemplated for the project. Letters of support must be on company stationery and signed by anauthorized company official.
Letters of Support for applications in Appendix A and C will not be evaluated as part of thereview process and should not be added to the application.
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Name File: 2024 CFA Letter of Support “Insert ID #”E.10.2NSUF Letter of Commitment Funding (NSUF-2 Only)

Applicants for NSUF Access Only projects that do not have an R&D funding component are
responsible for costs similar to:•

Travel costs to NSUF facilities for facility access training, technical meetings,
examinations, experiment loading, etc.;•

Applicant salary support;•

Graduate student support;•

Post-doctoral or other researcher support; and,•Materials and supplies support at the PI’s work location.

A letter of commitment from an appropriate authority is required that explains how the applicant
will pay for these types of costs. To append the Letter of Commitment: 1) Find the submitted
Pre-Application in the “My Applications” section of the submission website; 2) Open thesubmitted Pre-Application by using the ‘pencil’ icon; 3) Scroll to the bottom of the application
form; and 4) Click “Attach File” on the “Post Submission Attachment” section and attach theLetter of Commitment.
Name File: 2024 NSUF Letter of Commitment “Insert ID #”E.10.3

Program Commitment Letter, (NSUF-1 and NSUF-2 Only), if applicable

For fuels or materials coming from other DOE programs (not NSUF), a statement of programcommitment is required. If invited to submit a Full Application, a statement that includes
concurrence from the appropriate DOE federal program manager or national technical director
must be provided.
Name File: 2024 Program Concurrence “Insert ID #”E.10.4

Project Commitment to Energy Equity and Justice40 Initiative (Optional)

Applicants are encouraged to describe how their projects or project teams will: (1) contribute to
the Justice40 Initiative (as described in Part III A of this FOA); and/or (2) ensure energy justicethrough effective teams and/or partnerships with MSIs, including Historically Black Collegesand Universities (HBCUs) and Tribal Colleges and Universities (TCUs), or institutions locatedin a disadvantaged community.
Justice40 Initiative. Applicants may include information on how the projects supports theJustice40 Initiative, including for example:
Extent to which the applicant identifies the following: specific and measurable
benefits for DACs; how the benefits will flow to DACs; and how negativeenvironmental impacts affecting DACs would be mitigated. Benefits include (but are
not limited to) measurable direct or indirect investments or positive project outcomesthat achieve or contribute to the following in DACs: (1) a decrease in energy burden;oPage 36 of 120

Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART IV(2) a decrease in environmental exposure and burdens; (3) an increase in access to
low-cost capital; (4) an increase in high-quality job creation, the clean energy job
pipeline, and job training for individuals; (5) increases in clean energy enterprisecreation and contracting (e.g., minority-owned or disadvantaged businessenterprises); (6) increases in energy democracy, including community ownership; (7)increased parity in clean energy technology access and adoption; and (8) an increasein energy resilience.
o Extent to which the project would contribute to meeting the objective that 40% of
the benefits of climate and clean energy investments will flow to DACs;o The degree to which the proposed project provides funding to DACs or seeks toaddress communities with environmental justice concerns that experiencedisproportionate and adverse human health or environmental burdens in accordancewith Executive Order 14096;
o Whether the entity is located in a DAC. The onus is on the applicant to selfidentify whether it is located in a DAC or partners with an entity, located in a DAC;o The degree to which the proposed project incorporates applicant or team members
from DACs; ando Whether the proposed project may directly or indirectly benefit DACs or has teammember participants from DACs.
Ensure Energy Equity. (NOTE: Energy equity centers the concerns of disadvantaged
communities and aims to make energy more accessible, affordable, clean, and democraticallymanaged for all communities.) Applicants are also encouraged to describe how their projects or
project teams contribute to energy equity. Applicants may include a section on how the projects
ensures energy equity, including for example: the degree to which the proposed project
incorporates team member diversity with participants from Minority Serving Institutions (e.g.,
Historically Black Colleges and Universities (HBCUs)/Other Minority Serving Institutions);
and/or partnerships with Minority Business Enterprises, Minority Owned Businesses, Woman
Owned Businesses, Veteran Owned Businesses, or Tribal nations.
Name File: 2024 EEandJustice40 “Insert ID#”
E.11
E.11.1

Budget Documents
R&R Lead Budget Form: (TOTAL FED & NON-FED)(Required for all lead institutions; Not required for NSUF-2 Access Only
applications)

Complete the Research and Related Budget (Total Fed & Non-Fed) form in accordance with thefollowing instructions.
A separate budget must be completed for each year of requested support. The form will generatea cumulative budget for the total project period. Complete all the mandatory information on theform. Funds may be requested under any of the categories listed if the item and amount arenecessary to perform the proposed work, meet all the criteria for allowability under theapplicable Federal cost principles, and are not prohibited by the funding restrictions in thisannouncement (see Part IV, Section I of this CINR FOA).
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If proposing an REU supplement, yearly project budgets for the REU portion of the project
should be included in the R&R Lead Budget Form and R&R Subaward Budget Form (ifapplicable).
NOTE: Successful applicants may be requested to participate in an annual program review
meeting and should budget travel accordingly.
NOTE: Do NOT lock the cells when saving this document. Applications containing budget
forms with locked cells may not be evaluated further.
Name File: 2024 CFA Budget “Insert ID #”.xls
E.11.2

R&R Subaward Budget Form: (TOTAL FED & NON-FED)(Required for University and Industry collaborators; Not required for NSUF-2
Access Only applications)

Budgets for subrecipients, other than DOE FFRDC Contractors. Applicant must provide aseparate cumulative SF-424 budget for each subrecipient that is expected to perform work
estimated to be more than $250,000 or 50% of the total work effort (whichever is less). Use up to
10 letters of the subrecipient institution’s name as the file name.
NOTE: Do NOT lock the cells when saving this document. Applications containing budget
forms with LOCKED CELLS may not be evaluated further.
Name File: 2024 CFA Subaward Budget “Insert ID #”.xls
E.11.3

Budget for DOE/NNSA Federally Funded Research and Development Center(FFRDC) Contractor(Required for National Laboratory participants; Not required for NSUF-2 Access
Only applications)

If using a DOE/NNSA FFRDC contractor, the FFRDC must provide a DOE Field Work
Proposal in accordance with the requirements in DOE Order 412.1A, Administrative (Admin)
Change 1, Work Authorization System dated 05/21/2014. FWPs can be obtained from respective
laboratory financial administrators.
FFRDCs are permitted to propose costs in accordance with their established DOE contracts (e.g.,
overhead, fees, etc.).
Name File: 2024 CFA FWP “Insert ID #”E.11.4

Budget Justification(Required for all University and Industry participants; Not required for NSUF-2
Access Only applications)

The Budget Justification Supporting Documentation is available at NEUP.gov. Provide therequired supporting information for all costs required to accomplish the project, including thePage 38 of 120

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following costs: labor; equipment; domestic and foreign travel; participant/trainees; material andsupplies; publication; consultant services; automated data processing/computer services;subaward/consortium/contractual; equipment or facility rental/user fees; alterations andrenovations; and indirect cost type. Provide any other information you wish to submit to justify
the budget request.
If an REU supplement is requested, costs should be justified including itemized student costs
The REU supplement portion of the award is expected to fall under participant support costs as
defined by 2 CFR 200:
Participant support costs means direct costs for items such as stipends or subsistence
allowances, travel allowances, and registration fees paid to or on behalf of participants or
trainees (but not employees) in connection with conferences, or training projects.
Participant support costs are typically excluded from the allocation base of the indirect costcalculations unless explicitly provided for in the awardee’s or subawardee’s Negotiated Indirect
Cost Rate Agreement.
A budget justification is required for the lead applicant and all sub-awardees. The justification
can be combined into one document or submitted as separate files.
Foreign travel must be included in the budget justification request. Any foreign travel not
added to the budget justification will not be approved upon issuance of the grant.
If cost sharing is required or voluntarily proposed, provide an explanation of the source, nature,amount, and availability of any proposed cost sharing.
Third Parties Contributing to Cost Sharing Information (if applicable):
A letter from each third party (i.e., a party other than the organization submitting the application)
contributing to the cost share, at the time the application is submitted. The letter must state thatthe third party is committed to providing a specific minimum dollar amount of cost sharing.
Submitting the letters with the application provides assurance that the letters of commitment
have been signed.
In an appendix to the Budget Justification, the following information for each third party
contributing to cost sharing must be identified: (1) the name of the organization; (2) the proposed
dollar amount to be provided; (3) the amount as a percentage of the total project cost; and (4) the
proposed cost sharing - cash, services, or property. Successful applicants must provide the signed
letters of commitment outlined in Part IV, Section F, Submission from Successful Applicants.
Name File: 2024 CFA Budget Justification “Insert ID #”E.12
E.12.1

Additional Attachments
Current and Pending Support(Required for Lead PI and senior/key personnel)

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Current and pending support is intended to allow the identification of potential duplication,
overcommitment, potential conflicts of interest or commitment, and all other sources of support.
As part of the application, the principal investigator and each senior/key person at the prime
applicant and any proposed subaward level must provide a list of all sponsored activities, awards,
and appointments, whether paid or unpaid; provided as a gift with terms or conditions orprovided as a gift without terms or conditions; full-time, part-time, or voluntary; faculty, visiting,adjunct, or honorary; cash or in-kind; foreign or domestic; governmental or private-sector;
directly supporting the individual’s research or indirectly supporting the individual by supporting
students, research staff, space, equipment, or other research expenses. All involvement in foreign
government-sponsored talent recruitment programs must be identified in current and pending
support.
For every activity, list the following items:
•
•
•
•
•
•

The sponsor of the activity or the source of funding.
The award or other identifying number.
The title of the award or activity. If the title of the award or activity is not descriptive, add
a brief description of the research being performed that would identify any overlaps orsynergies with the proposed research.
The total cost or value of the award or activity, including direct and indirect costs andcost share. For pending proposals, provide the total amount of requested funding.
The award period (start date – end date).
The person-months of effort per year being dedicated to the award or activity.

If required to identify overlap, duplication of effort, or synergistic efforts, append a descriptionof the other award or activity to the current and pending support.
Details of any obligations, contractual or otherwise, to any program, entity, or organization
sponsored by a foreign government must be provided on request to either the applicant institution
or DOE. Supporting documents of any identified source of support must be provided to DOE on
request, including certified translations of any document.
The information may be provided in the format approved by the National Science Foundation(NSF), which may be generated by the Science Experts Network Curriculum Vitae (SciENcv), a
cooperative venture maintained at https://www.ncbi.nlm.nih.gov/sciencv/, and is also available athttps://www.nsf.gov/bfa/dias/policy/nsfapprovedformats/cps.pdf. The use of a format requiredby another agency is intended to reduce the administrative burden to researchers by promoting
the use of common formats. If the online version is used in SciENcv, a signature, date, and acertification statement is attached as part of the document.
If the fillable PDF NSF format is used, the individual must still include a signature, date,
and a certification statement using the language included below.
I, [Full Name and Title], certify to the best of my knowledge and belief that the
information contained in this Current and Pending Support Disclosure Statement is true,complete, and accurate. I understand that any false, fictitious, or fraudulent information,
misrepresentations, half-truths, or omissions of any material fact, may subject me tocriminal, civil or administrative penalties for fraud, false statements, false claims orotherwise. (18 U.S.C. §§ 1001 and 287, and 31 U.S.C. 3729-3733 and 3801-3812). I
further understand and agree that (1) the statements and representations made herein are
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material to DOE’s funding decision, and (2) I have a responsibility to update thedisclosures during the period of performance of the award should circumstances change
which impact the responses provided above.
Definitions:
Current and pending support – (a) All resources made available, or expected to be madeavailable, to an individual in support of the individual’s RD&D efforts, regardless of (i) whether
the source is foreign or domestic; (ii) whether the resource is made available through the entity
applying for an award or directly to the individual; or (iii) whether the resource has monetary
value; and (b) includes in-kind contributions requiring a commitment of time and directly
supporting the individual’s RD&D efforts, such as the provision of office or laboratory space,equipment, supplies, employees, or students. This term has the same meaning as the term Other
Support as applied to researchers in NSPM-33: For researchers, Other Support includes all
resources made available to a researcher in support of and/or related to all of their professional
RD&D efforts, including resources provided directly to the individual or through theorganization, and regardless of whether or not they have monetary value (e.g., even if the support
received is only in-kind, such as office/laboratory space, equipment, supplies, or employees).
This includes resource and/or financial support from all foreign and domestic entities, including
but not limited to, gifts provided with terms or conditions, financial support for laboratory
personnel, and participation of student and visiting researchers supported by other sources offunding.
Foreign Government-Sponsored Talent Recruitment Program – An effort directly or
indirectly organized, managed, or funded by a foreign government, or a foreign government
instrumentality or entity, to recruit science and technology professionals or students (regardlessof citizenship or national origin, or whether having a full-time or part-time position). Someforeign government-sponsored talent recruitment programs operate with the intent to import orotherwise acquire from abroad, sometimes through illicit means, proprietary technology orsoftware, unpublished data and methods, and intellectual property to further the militarymodernization goals and/or economic goals of a foreign government. Many, but not all,programs aim to incentivize the targeted individual to relocate physically to the foreign state forthe above purpose. Some programs allow for or encourage continued employment at U.S.
research facilities or receipt of federal research funds while concurrently working at and/or
receiving compensation from a foreign institution, and some direct participants not to disclose
their participation to U.S. entities. Compensation could take many forms including cash, researchfunding, complimentary foreign travel, honorific titles, career advancement opportunities,
promised future compensation, or other types of remuneration or consideration, including in-kindcompensation.

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Senior/key personnel – an individual who contributes in a substantive, meaningful way to thescientific development or execution of a research, development and demonstration (RD&D)
project proposed to be carried out with DOE award. 3
Name File: 2024 CFA Current and Pending Support “Insert ID #”E.12.2

Coordination and Management Plan

Multiple PIs (multiple individuals i.e., Lead PI, Co-PI, etc.): The applicant, whether a single
organization or team/partnership/consortium, must state whether the project will include multiple
PIs. This decision is solely the responsibility of the applicant. If multiple PIs will be designated,
the application must identify the Contact PI/Project Coordinator and provide a “Coordination andManagement Plan” that describes the organization structure of the project as it pertains to thedesignation of multiple PIs. This plan should, at a minimum, include:
•
•
•
•
•
•

Process for making decisions on scientific/technical direction;
Publications;Intellectual property issues;
Communication plans;
Procedures for resolving conflicts; andPIs’ roles and administrative, technical, and scientific responsibilities for the project.

Name File: 2024 CFA CMP “Insert ID #”E.12.3

Letter of Authorization for DOE/NNSA FFRDCs(Required for all National Laboratory participants listed on the application
regardless of funding level or tier)

The cognizant contracting officer for the FFRDC must authorize in writing the use of
DOE/NNSA FFRDC and non-DOE/NNSA FFRDC contractors on the proposed project, and thisauthorization must be submitted with the application. The following wording is acceptable forthis 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 withor complimentary to the missions of the laboratory, will not adversely impact
execution of the DOE/NNSA assigned programs at the laboratory, and will
not place the laboratory in direct competition with the domestic private
sector.”3

Typically, these individuals have doctoral or other professional degrees, although individuals at the masters or
baccalaureate level may be considered senior/key personnel if their involvement meets this definition.
Consultants, graduate students, and those with a postdoctoral role also may be considered senior/key personnel
if they meet this definition.

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PART IVNOTE: Individual Letters of Authorization may be submitted, if all FFRDC/non-FFRDC
management has been notified of all submissions, and all participants are identified, may besubmitted as a blanket permission.
NOTE: Letter of Authorization is not required for NSUF Technical Leads unless the Technical
Lead is named as senior/key personnel requesting R&D funding support under this CINR FOA.
Name File: 2024 CFA CO Authorization “Insert ID #”E.12.4

Project/Performance Site Location(s)Indicate lead and collaborating site(s) where R&D work will be performed. Note theProject/Performance Site Congressional District is entered in the format of the 2-digit state code,
following by the 3-digit Congressional district code (e.g., AA-001).
Name File: 2024 CFA Site Location “Insert ID #”E.12.5Disclosure of Lobbying Activities(Required for ALL applicants)

Applicants must complete and attach the SF-LLL, "Disclosure Form to Report Lobbying," whichis available at the application site document library. Applicants must identify any funds, otherthan federally appropriated funds, that have been paid or will be paid, to any person for
influencing, or attempting to influence, an officer or employee of any agency, a Member ofCongress, an officer or employee of Congress, or an employee of a Member of Congress inconnection with the grant.
Name File: 2024 CFA SF-LLL “Insert ID #”E.12.6

Certifications and Assurances(Required for all University leads; Not required for NSUF Access Only
applications)Applicants must complete and attach the Certifications and Assurances form found on the DOE
Financial Assistance Forms Page at: http://energy.gov/management/downloads/certificationsand-assurances-use-sf-424.
Name File: 2024 CFA Cert & Assurances “Insert ID #”E.12.7

Foreign Government Ownership Disclosure(Required for all leads)

Applicants must complete and attach the Foreign Government Ownership Disclosure template.
Name File: 2024 CFA Foreign Government Ownership Disclosure “Insert ID #”Page 43 of 120

Fiscal Year 2024 Consolidated Innovative Nuclear ResearchF.

REQUIRED DOCUMENTS AFTER SELECTION FOR NEGOTIATIONS

F.1

Environmental Checklist

PART IV

An environmental checklist will be required at the time of award negotiations. If selected foraward negotiations, please fill out the Environmental Checklist.
DOE’s decision whether and how to distribute federal funds under this FOA is subject to the
National Environmental Policy Act (NEPA) (42 U.S.C. § 4321, et seq.). NEPA requires federal
agencies to integrate environmental values into their decision-making processes by considering
the potential environmental impacts of their proposed actions. For additional background on
NEPA, please see DOE’s NEPA website at https://www.energy.gov/nepa.
While NEPA compliance is a federal agency responsibility and the ultimate decisions remain
with the federal agency, all recipients selected for an award will be required to assist in thetimely and effective completion of the NEPA process in the manner most pertinent to their
proposed project. If DOE determines certain records must be prepared to complete the NEPA
review process (e.g., biological evaluations or environmental assessments), the recipient may berequired to prepare the records and the costs to prepare the necessary records may be included aspart of the project costs.
F.2

Data Management Plan (DMP)

A Data Management Plan (DMP) will be required by October 31, 2024, that:
1. Should describe whether and how data generated in the course of the proposed research
will be shared and preserved. If the plan is not to share and/or preserve certain data, thenthe plan must explain the basis of the decision (for example, cost/benefit considerations,other parameters of feasibility, scientific appropriateness, or limitations discussed in#4). At a minimum, DMPs must describe how data sharing and preservation will
enable validation of results, or how results could be validated if data are not shared orpreserved. DMPs may utilize the Nuclear Research Data System (NRDS) for storage ofdigital research data. NRDS is a newly developed NSUF High Performance Computing
data repository solution that can provide secure lifecycle storage of NSUF and NEUP
project data. Access to NRDS would be provided to the PI after award notification andbefore data is generated. Further details on the NRDS can be found at nsuf.inl.gov.
2. Should provide a plan for making all research data displayed in publications resulting
from the proposed research open, machine-readable, and digitally accessible to the
public at the time of publication. This includes data that are displayed in charts, figures,images, etc. In addition, the underlying digital research data used to generate thedisplayed data should be made as accessible as possible to the public in accordance withthe principles stated above. This requirement could be met by including the data as
supplementary information to the published article, utilization of the NRDS, or throughother means. The published article should indicate how these data can be accessed.
3. Should consult and reference available information about data management resources tobe used in the course of the proposed research. In particular, DMPs that explicitly or
implicitly commit data management resources at a facility beyond what is conventionallymade available to approved users should be accompanied by written approval from thatfacility.
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4. DMPs must protect confidentiality, personal privacy, Personally Identifiable Information,and U.S. national, homeland, and economic security; recognize proprietary interests,
business confidential information, and intellectual property rights; avoid significant
negative impact on innovation, and U.S. competitiveness; and otherwise, be consistent
with all applicable laws, regulations, and DOE orders and policies. There is norequirement to share proprietary data.

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PART IV

Fiscal Year 2024 Consolidated Innovative Nuclear Research

Table 3. Summary of Full Application Required Information.
Name of Document
Conflict-of-Interest
SF-424 (R&R)
Research and Related Other Project
Information
Technical Abstract
Technical Narrative
Research Experience for
Undergraduates (REU) Plan*
Other Attachments
Vitae - Technical Expertise andQualifications(3 pages each)
Benefits of Collaborations (4 pages)
Capabilities (2 pages)
SF-424 (R&R) Lead Budget Form
(Total Fed + Non-Fed)
SF-424 (R&R) Subaward Budget(Total Fed + Non-Fed), if applicable
Budget for DOE National Laboratory
Contractor or FFRDC, if applicable
Budget Justification
Subaward Budget Justification, if
applicable

FormatRequired From

Form

Certified by Lead Applicant for all
Participants
Lead Applicant

Form

Lead Applicant

PDF
PDF

Lead Applicant
Lead Applicant

PDF

Lead Applicant, if applicable

PDF

All Leads and Key/Senior Personnel

PDF
PDF

Lead Applicant
Lead Applicant

Form

All Lead Applicants*

Checkbox

Form
PDF
PDF
PDF

Collaborators who meet minimum
requirements (work estimated to be$250,000 or more or 50% of the total
work effort, whichever is less)*
National Laboratory Leads andCollaborators*
University Leads*
Collaborators who meet minimum
requirements (work estimated to be$250,000 or more or 50% of the total
work effort, whichever is less) *Signature
RequiredYes

Yes

Yes, withcertification
statementfrom Part IV
SectionE.11.1

Current and Pending Support

PDF orForm

All University and Industry Leads
and Key/Senior Personnel

Coordination and Management Plan

PDF

Authorization for DOE/NNSA
FFRDCs, if applicable

PDF
Form

Lead Applicant
National Laboratory Applicants(including non-funded national
laboratory collaborators)
All sites performing work

Form

Lead Applicant

Yes

Form

University Leads*

Yes

Form

University and Industry Leads

Project/Performance Site Location
SF-LLL Disclosure of Lobbying
Activities
Certifications and Assurances
Foreign Government Ownership
Disclosure
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YesFiscal Year 2024 Consolidated Innovative Nuclear Research

PART IV*Not required for applications to the NSUF-2 Access Only CINR FOA area. The applicant will need to
upload a document that states “Not required for NSUF-2 Access Only applications” in these upload fields.

G.

SUBMISSION FROM SUCCESSFUL APPLICANTS

If selected for award, during award negotiations, DOE reserves the right to request additional or
clarifying information for any reason deemed necessary including but not limited to, thefollowing:•

Indirect cost information;•

Other budget information;•

Name and phone number of the Designated Responsible Employee for compliance withnational policies prohibiting discrimination (See 10 CFR Part 1040.5);•

Representation of Limited Rights Data and Restricted Software, if applicable;•

Commitment Letter from Third Parties Contributing to Cost Sharing, if applicable; and•Environmental Checklist.

•

Data Management PlanH.

SUBMISSION DATES AND TIMES

H.1

NSUF LOI Due Date
(Mandatory only for NSUF (NSUF-1 and NSUF-2) Projects)

LOIs for NSUF access are required by July 12, 2023, no later than 5:00 p.m. Eastern Time (ET).
The LOI shall be submitted as required in Part IV, Section C.1 of this CINR FOA.
H.2

R&D/NSUF Pre-Application Due Date
(Including R&D and NSUF Projects) (Mandatory except for IRPs)

Pre-Applications are required by July 26, 2023, no later than 5:00 p.m. ET. The Pre-Application
shall be submitted as required in Part IV, Section C.2 of this CINR FOA. Applicants who fail tosubmit a Pre-Application, will be determined non-responsive and ineligible for a comprehensive
merit review.
H.3

NSUF Preliminary Statement of Work Due Date
(Required only for NSUF Projects)

Applicants requesting NSUF access must submit a Preliminary SOW by August 31, 2023, nolater than 5:00 p.m. ET. The preliminary SOW shall be submitted as required in Part IV, Section
C.3. Applicants who fail to submit a preliminary SOW will be determined non-responsive andineligible for further consideration.
H.4

NSUF Final Statement of Work Due Date
(Required only for NSUF Projects)

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PART IV

Applicants requesting NSUF access must submit a Final Statement of Work by December 6,
2023, no later than 5:00 p.m. ET. The final SOW shall be submitted as required in Part IV,
Section C.4. Applicants who fail to submit a final SOW will be determined non-responsive andineligible for further consideration.
H.5

IRP Application Due Date

IRPs must be received by December 20, 2023, no later than 5:00 p.m. ET. Applicants areencouraged to transmit their applications well before the deadline. Applications received after
the deadline will not be reviewed or considered for award.
H.6

Full R&D/NSUF Application Due Date
(Including R&D and NSUF Projects)

Full R&D/NSUF applications (including program concurrence for applicable NSUF projects, seePart I, B.3.1) must be received by December 20, 2023, no later than 5:00 p.m. ET. Applicants areencouraged to transmit their applications well before the deadline. Applications received after
the deadline will not be reviewed or considered for award.
H.7

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

Applicants are responsible for submitting any/all required submissions specified in this CINR
FOA, including LOIs, applications, statements of work, and any modifications or withdrawals
thereto, so as to reach the Government office designated in the CINR FOA by the date/time
specified in the CINR FOA.
Any required CINR FOA submittal, modification, or withdrawal received at the Government
office designated in the CINR FOA after the exact time specified for receipt of that submittal is“late” and will not be considered.
A late modification of an otherwise successful submittal or application that makes its terms morefavorable to the Government will be considered at any time it is received and may be accepted.
Acceptable evidence to establish the time of receipt at the Government installation includes thetime/date stamp of that installation on the required electronic submission, other documentary
evidence of receipt maintained by the installation, or oral testimony or statements of Government
personnel.
If an emergency or unanticipated event interrupts normal Government processes such that therequired submittal cannot be received at the Government office designated for receipt of thesubmittal by the exact time specified in the CINR FOA, and urgent Government requirements
preclude amendment of the CINR FOA, the time specified for receipt of the required submittal
will be deemed to be extended to the same time of day, as specified in the CINR FOA, on thefirst work day on which normal Government processes resume.
Applications and other submittals may be withdrawn by written notice (sent electronically to
NEUP@inl.gov) received at any time before the exact time set for receipt of that submittal. A
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PART IV

required submittal may be withdrawn in person by an applicant or its authorized representative,if, before the exact time set for receipt of that submittal, the identity of the person requesting
withdrawal is established and the person signs a receipt for the submittal.
If electronic applications cannot be submitted, applicants can contact:
INR Integration Office
Attn: Anna Podgorney
PO Box 1625 MS 3730
Idaho Falls, Idaho 83415
Telephone: 208-526-2123
Fax: 208-526-1844
I.

INTERGOVERNMENTAL REVIEWThis program is not subject to Executive Order 12372, “Intergovernmental Review of Federal
Programs.”J.

FUNDING RESTRICTIONS

Funding for all awards is contingent upon the availability of funds appropriated by Congress forthe purpose of this program in current and future fiscal years.
J.1

Prohibition related to Foreign Government-Sponsored Talent Recruitment
Programs
a. Prohibition
Persons participating in a Foreign Government-Sponsored Talent Recruitment Programof a Foreign Country of Risk are prohibited from participating in projects selected forfederal funding under this FOA. Should an award result from this FOA, the recipient
must exercise ongoing due diligence to reasonably ensure that no individuals
participating on the DOE-funded project are participating in a Foreign GovernmentSponsored Talent Recruitment Program of a Foreign Country of Risk. Consequences forviolations of this prohibition will be determined according to applicable law, regulations,and policy. Further, the recipient must notify DOE within five (5) business days uponlearning that an individual on the project team is or is believed to be participating in aforeign government talent recruitment program of a foreign country of risk. DOE may
modify and add requirements related to this prohibition to the extent required by law.
b. Definitions
1. Foreign Government-Sponsored Talent Recruitment Program - An effort
directly or indirectly organized, managed, or funded by a foreign government torecruit science and technology professionals or students (regardless of citizenship or
national origin, and whether having a full-time or part-time position). Some foreign
government-sponsored talent recruitment programs operate with the intent to importor otherwise acquire from abroad, sometimes through illicit means, proprietary

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technology or software, unpublished data and methods, and intellectual property tofurther the military modernization goals and/or economic goals of a foreign
government. Many, but not all, programs aim to incentivize the targeted individual
to physically relocate to the foreign state for the above purpose. Some programs
allow for or encourage continued employment at U.S. research facilities or receipt
of Federal research funds while concurrently working at and/or receiving
compensation from a foreign institution, and some direct participants not to disclose
their participation to U.S. entities. Compensation could take many forms including
cash, research funding, complimentary foreign travel, honorific titles, careeradvancement opportunities, promised future compensation, or other types of
remuneration or consideration, including in-kind compensation.
2. Foreign Country of Risk - DOE has designated the following countries as foreigncountries of risk: Iran, North Korea, Russia, and China. This list is subject tochange.
J.2

Cost Principles

Costs must be allowable, allocable, and reasonable in accordance with the applicable Federal
cost principles referenced in 2 CFR part 200, as adopted and amended by 2 CFR part 910. The
cost principles for for-profit organizations are in FAR part 31.
NOTE: For for-profit organizations, 2 CFR 910.352 incorporates the cost principles located at
the Federal Acquisition Regulation (FAR) part 31.
J.3

Pre-Award Costs

Recipients may charge to an award, resulting from this announcement, pre-award costs that wereincurred within the ninety (90) calendar day period immediately preceding the effective date of
the award if the costs are allowable in accordance with the applicable Federal cost principles.
Recipients must obtain the prior approval of the contracting officer for any pre-award costs thatare for periods greater than this 90-day calendar period.
Pre-award costs are incurred at the applicant’s risk. DOE is under no obligation to reimburse
such costs if for any reason the applicant does not receive an award or if the award is made for alesser amount than the applicant expected.
K.

OTHER SUBMISSION AND REGISTRATION REQUIREMENTS

K.1

Where to Submit

NOTE: Submit applications through www.NEUP.gov to be considered for award.
Submit electronic applications through the “Applications” function at www.NEUP.gov. For
problems with completing the registration process or submitting your application, call Anna
Podgorney at 208-526-2123 or send an email to NEUP@inl.gov.
K.2

Application Validity Timeframe

By submitting an application in response to this CINR FOA, applicants agree that theirapplications are valid for at least one year from the date set forth for receipt of applications toPage 50 of 120

Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART IV

this CINR FOA. DOE reserves the right (with concurrence of the applicant) to use the submitted
application(s) to make additional awards for up to a one year, even after DOE’s initial selection
announcement has occurred.

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART VPART V – APPLICATION REVIEW INFORMATIONNOTE: The following requirements apply to all CINR FOA areas unless specific requirements
are identified.
A.

CRITERIA

A.1

Pre-Application Review (only for R&D and NSUF Projects)

At the Pre-Application review stage, DOE will invite selected applicants to provide Full
Applications, based on relevance to NE mission and technical merit, provided below in Part V,
Sections A.1 of this CINR FOA.
All Pre-Applications, as described in Part IV, Section C.2 submitted under this CINR FOA will
be reviewed and rated, as described below in Part V, Sections A.1 of this CINR FOA.
A.1.1

Initial Review Criteria of Pre-Applications

DOE will perform an initial review to determine the following: (1) the applicant is eligible for anaward; (2) the information required by the announcement has been submitted; and (3) all
mandatory requirements are satisfied. Only applications meeting these Pre-Application initial
review criteria will be considered during the Pre-Application technical review process.
A.1.2

Relevancy Criteria

Following the Pre-Application initial review, programmatic experts will assess those applications
that have met the Pre-Application initial review criteria for relevance to the NE mission. Allapplications that meet the objectives of the FOA will move forward to technical review.
A.1.3

Technical Review Merit Criteria

Several technical experts/peers will assess each pre-application on its technical merit. Reviewers
will review the technical basis of the application, assigning the application a merit category as
described below. During this technical review, applications will be evaluated as meeting all,most, or some expectations for that merit category.
•High Merit: The project unquestionably advances the technical state of knowledge andunderstanding of the NE mission or relevant topic area and is creative and based largely
on original concepts. The scope can be executed fully in the facilities available.

•

Moderate Merit: The project advances the technical state of knowledge andunderstanding of the NE mission or relevant topic area and is based on some establishedconcepts, although several creative and original concepts are presented. The scope may
be executed fully in the facilities available.

•

Some Merit: The project incrementally advances the technical state of knowledge andunderstanding of the NE mission or relevant topic area, and is based predominately on
established concepts, with some creative, original concepts. The scope may be difficult toexecute fully in the facilities available.

•

Low Merit: The project recognizes the technical state of knowledge and understandingof the NE mission or relevant topic area and is only marginally creative and contains few

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PART Voriginal concepts. The scope will require resources not named in the project or will
require additional facilities or resources to execute.
•

A.1.4

No Merit: The project does not advance or recognize the technical state of knowledge
and understanding of the NE mission or relevant topic area and is not creative or original.
The scope cannot be executed fully in the facilities available.
Diverse Team Review

A bonus of up to 3 points (constituting up to 3% of a maximum achievable technical rating based
upon the merit ratings given) may be contributed to the average, overall technical rating during
the merit review process based on the degree to which a pre-application is led by or effectively
partners with MSIs, including HBCUs and TCUs. (For a directory of MSIs, please visit:https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html#tips.)
NOTE: Diverse teams and partnerships are not required for projects to be evaluated as
unquestionably relevant; however, diverse teams and partnerships will increase the averageoverall score by up to 3 points, based on the project meeting one of the following criteria: (1) the
project has a substantive contribution by MSIs as lead or collaborator; (2) the project has ademonstrable contribution by MSIs as lead or collaborator; or (3) the project has some relevant
partnership with MSIs as lead or collaborator.
A.1.5

Feasibility Review (only for NSUF Projects)

The feasibility review is a very important part of the NSUF Pre-Application review process.
Many factors will be considered as part of the feasibility review including the following: type of
project; duration of project; experimental degree of complexity; types of samples; number ofsamples; need for shipping and containment; potential needed capability or facility enhancement
or upgrade; project schedule, and cost. The feasibility review may include input from partner
facilities authorization processes to ensure that facility specific factors have been considered.
To ensure that a Pre-Application and eventual application is submitted with the highest possible
degree of feasibility, it is imperative that potential proposers establish contact with an NSUF
Technical Lead at the earliest possible time. The NSUF Technical Lead will have knowledge ofand direct access to the facility or facilities where the work will be performed. It is intended that
the Technical Lead should be an integral collaborator on the project and contribute strongly tothe application preparation. The Technical Lead will provide guidance in establishing the scopeof the project in negotiation with the facility to produce a cost estimate. Should the project beawarded, the Technical Lead will be the primary POC to best ensure the project is performed onschedule and within budget.
Applications deemed not feasible or high risk by the NSUF Program Office will not be
considered for NSUF access.
A.1.6

Readiness Review (only for NSUF Projects)

Prior to final selection, Pre-Applications for NSUF access will be reviewed by the NSUF
Program Office to verify the project is ready for NSUF access, as discussed in Part I, Section
B.3.1 of this CINR FOA. Pre-Applications deemed not ready for NSUF access will not be
considered for NSUF access.
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A.1.7

PART V

Pre-Applications Invitations

After considering the overall evaluation ratings, available funding, and the other selection factors(see Part V, Section A.7 of this CINR FOA) as needed, DOE will make a final determination of
applicants, who will be invited to provide Full Applications.
Applicants, other than NSUF Pre-Application applicants, who are not specifically invited tosubmit Full Applications may still do so at their own risk. There is no guarantee that uninvited
Full Applications will receive a full review; however, all Full Applications will be re-reviewed
for NE mission relevance. Only those uninvited Full Applications that demonstrate relevance to
the NE mission will be forwarded for technical peer review during the evaluation phase for Full
Applications described below in Part V, Section A.4.
NSUF Pre-Applications that do not receive an invitation to submit are not permitted to submit a
Full Application.
A.2

Initial Review Criteria of Full Applications

Prior to a comprehensive merit evaluation, DOE will perform an initial review to determine: (1)the applicant is eligible for an award; (2) the named applicant, PI(s) and collaborators have notchanged from the Pre-Application to the Full Application or, if they have, DOE’s Contracting
Officer has provided signed approval; (3) the information required by the announcement has
been submitted; and (4) all mandatory requirements are satisfied. Only applications meetingthese initial review criteria will be considered during the merit review and award selection
decision.
A.3

R&D Merit Review Criteria: Full Applications (for R&D and NSUF Projects)

Selection will be made in accordance with the review criteria identified for each area and theprogram policy factors (other selection factors) listed in Part V, Section A.7 of this FOA. The
criteria for the respective FOA areas are identified below along with the relative importance ofeach criterion or sub-criterion, if applicable. All applications will be point scored and ranked.
Applications must be fully responsive to each of the following criteria.
Review of Full Applications shall be based on how well the applications meet or exceed thetechnical merit criteria provided below and as weighted as described in Table 4. All invited Full
Applications submitted under this CINR FOA will be reviewed and scored as described in this
CINR FOA. A panel of experts will assess each Full Application’s relevance to the NE mission.
Multiple technical peer reviewers will evaluate the project for technical merit. Effective
partnerships will be incorporated into the overall score, as described in Part V, Section A.1.4.
A.3.1

Relevancy Criteria

Same criteria used for the R&D Pre-Application (including R&D and NSUF Projects) evaluation
phase applies to Full Applications. See Part V, Sections A.1 of this CINR FOA.
A.3.2

Technical Review Merit Criteria

Applications will be subjected to formal merit review and will be evaluated against the following
criteria.
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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART V•

Criterion 1 – Advances the State of Knowledge and Understanding and Addresses
Gaps in Nuclear Science and Engineering Research: DOE will evaluate the technicalmerit of the proposed R&D project, including the extent to which the project advances
the state of knowledge and understanding and addresses gaps in nuclear science andengineering research. Evaluation will consider how important the proposed project is toadvance knowledge and understanding within the area selected and how well the
proposed project advances, discovers, or explores creative, original, or potentiallytransformative concepts.

•

Criterion 2 – Technical Quality of the Proposed R&D Project: DOE will evaluate theoverall quality/acceptability of the proposed R&D project. In evaluating this criterion,
DOE may consider the following: (1) merit, feasibility, and realism of the proposed
methodology and approach to the project; (2) schedule, including sequence of projecttasks, principal milestones, and times for each task; (3) planned assignment ofresponsibilities; (4) proposed project efficiencies; and (5) technical expertise available tothe applicant in carrying out the project.

•

Criterion 3 – Applicant Team Capabilities, Risks, and Experience: DOE will evaluate
the extent to which the applicant team provides objective evidence that it has theresources and abilities to successfully complete the R&D project in a technicallydefensible manner. Current activities, relevance, and depth of the organization’s
experience and capabilities, integration of students, past performance, together with thatof the PI, and the adequacy of the requested resources and their supporting justification
will all be evaluated as they relate to the likely successful completion of the R&D
objectives.
In evaluating criterion 3, DOE will consider the extent to which the application
demonstrates the following:•••That the capabilities and qualifications of engineering and scientific personnel, PI,
and other key contributors are such that they can successfully accomplish thetechnical scope of the proposed project.
That the applicant or respective team members have demonstrated successful
experience/past performance, knowledge, and understanding of the business andregulatory requirements for projects of similar size, scope, and complexity inachieving project technical success on time with no significant, unresolved safety
and quality issues.
The applicant team’s identification of, and work with nuclear energy stakeholders,to gain perspective and technical knowledge important to project decisions, andhow the applicant will work with stakeholders to best achieve the objectives ofthis FOA and the project.

Note: REU supplements will be considered as part of the overall technical approach, andwill receive consideration based on how well students are integrated into the project inCriterion 3 of the full application review
A.3.3

Diverse Team Review

DOE may allocate up to 3 points (constituting up to 3% of a maximum achievable technicalscore based upon the rated merit criteria) to be added to the average, overall technical score
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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART Vduring the merit review process based on the degree to which an application is led by oreffectively partners with MSIs, including HBCUs and TCUs. (For a directory of MSIs, please
visit: https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html#tips.)
NOTE: Diverse teams and partnerships are not required for projects to be evaluated as
unquestionably relevant; however, diverse teams and partnerships will increase the averageoverall score by up to 3 points, based on the project meeting one of the following criteria: (1) the
project has a substantive contribution by MSIs as lead or collaborator; (2) the project has ademonstrable contribution by MSIs as lead or collaborator; or (3) the project has some relevant
partnership with MSIs as lead or collaborator.
A.3.4

Readiness Review (only for NSUF Projects)

Prior to final selection, Full Applications for NSUF access will be reviewed by the NSUF
Program Office to verify the project is ready for NSUF access, as discussed in Part I, Section
B.3.1 of this CINR FOA. Full Applications deemed not ready for NSUF access will not be
considered for NSUF access.

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PART V

Fiscal Year 2024 Consolidated Innovative Nuclear Research

Table 4. R&D and NSUF Projects Pre-Applications andFull Applications - Weighting of Evaluation Scores
Criterion
Technical Application – Peer Review
Pre-Applications
Relevancy to the NE mission
Feasibility Review (NSUF only)
Readiness Review (NSUF only)Technical Merit Category
Diverse Team Review
Full Applications
Relevancy to the NE mission
Readiness Review (NSUF only)
Criterion 1: Advances the State of Scientific Knowledge andUnderstanding and Addresses Gaps in Nuclear Science andEngineering Research
Criterion 2: Technical Quality of the Proposed R&D ProjectCriterion 3: Applicant Team Capabilities, Risks, andExperience
Peer Review Score
Diverse Team Review

A.4

Percentage of Peer Review Score
Yes/NoYes/NoYes/No100%
Up to 3 points (equivalent of up to 3%of the maximum overall technicalrating based upon the technical review
criteria ratings)
Yes/NoYes/No
35%
35%30%
Sum of ratings
x weights
Up to 3 points (equivalent of up to 3%of the maximum overall technicalrating based upon the technical review
criteria ratings)

IRP Merit Review for Full Applications

Selection for the IRP for U.S. university-led projects will be based on the following relevancy
and technical merit attributes and criteria and sub-criteria in Part V, Section A.6.1-A.6.3. The
criteria are equally important. Review of Full Applications shall be based on how well theapplications meet or exceed the technical merit criteria and relevance to the NE mission, as
weighted and described in Table 5.
A.4.1

Initial Review Criteria for IRPs

Same criteria used for the R&D pre-application (including R&D and NSUF Access) evaluation
phase applies to IRPs. See Part V, Section A.1.1 of this CINR FOA.
A.4.2

Relevancy Criteria

Same criteria used for the R&D Pre-Application (including R&D and NSUF Access) evaluation
phase applies to IRPs. See Part V, Section A.1.2 of this CINR FOA.

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Fiscal Year 2024 Consolidated Innovative Nuclear Research

A.4.3

PART V

Technical Review Merit Criteria•

Criterion 1 – Scientific and/or Technical Merit of the Project: DOE will evaluate thescientific and technical merit of the proposed IRP, including the extent to which the
project advances the state of scientific knowledge and understanding relative to the IRP
and addresses key scientific challenges and shifts in research directions towards
promising developments. Evaluations will consider how important the proposed project
presents a balanced and comprehensive program of research that, as needed, supports
experimental, theoretical, and computational efforts and develops new approaches inthese areas.

•

Criterion 2 – Appropriateness of the Proposed Method or Approach: DOE will
evaluate the appropriateness of the proposed IRP method or approach, including risk
posed by the approach, as well as the extent to which the strategy and plan for thedevelopment and operation of the proposed IRP identifies an acceptable approach
involving senior/key personnel, the means for achieving integration on the IRP, and plans
for leadership and guidance for the scientific and technical direction. DOE shall consider
whether the applicant presents a comprehensive management plan for a world-classprogram that encourages research, including high-risk, high-reward, as well as
synergisms among investigators. The organization structure should delineate the roles
and responsibilities of senior/key personnel and describes the means of providing
external oversight and guidance for scientific and technical direction and approval of theresearch program. Additionally, DOE will also consider the following:••

The applicant’s plans (if any) for education, outreach, and training in the proposed
IRP are appropriate and, if needed, described as part of the scope.

•

Appropriateness and reasonableness of applicant’s plans (if any) for external
collaborations and partnerships.

•

The roles and intellectual contributions of the IRP lead PI, other investigator(s),and each senior/key person.

•

Maximizing the use of other available facilities and existing equipment.

•

Relation to existing and planned research programs at the host or collaborator
institution.

Criterion 3 – Applicant Team Capabilities, Risks, and Experience: DOE will
evaluate the extent to which the applicant team provides objective evidence that it has or
can obtain the professional resources and abilities to successfully complete the IRP
project in a technically defensible manner. Current activities, relevance, integration of
students, and depth of the organization’s experience and capabilities, together with that of
the PI, will be evaluated as it relates to the likely successful completion of the IRP. DOE
will evaluate risk posed by the applicant team. In evaluating this criterion, DOE willconsider the extent to which the application demonstrates the following:•

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Maximizing the use of other available facilities and existing equipment.

Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART V•The proposed access to existing research space, instrumentation, and facilities at
the host institutions and its partners are likely to meet the needs of the proposed
IRP.

•

There is adequate access to experimental and computational capabilities as needed
to ensure successful completion of the proposed research.

•

The lead institution and the senior/key personnel for the IRP have proven recordsof success in project, program, and personnel management for projects ofcomparable magnitude.

•

The plan for recruiting any additional scientific and technical personnel including
new senior staff, students, and post-docs is reasonable and appropriate.

•

The IRP leadership has the capability to communicate effectively with scientistsof all required disciplines.

•

The IRP lead PI and senior/key personnel will be adequately involved in the
proposed IRP, particularly taking into account their potential involvement in othermajor projects.

Note: REU supplements will be considered as part of the overall technical approach, andwill receive consideration based on how well students are integrated into the project inCriterion 3 of the full application review
A.4.4

Diverse Team Review

DOE may allocate up to 3 bonus points (constituting up to 3% of a maximum achievable
technical score based upon the merit ratings given) to be added to the average, overall technicalscore during the merit review process based on the degree to which an application is led by oreffectively partners with MSIs, including HBCUs and TCUs. (For a directory of MSIs, please
visit: https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html#tips.)
NOTE: Diverse teams and partnerships are not required for projects to be evaluated as
unquestionably relevant; however, diverse teams and partnerships will increase the averageoverall score by up to 3 points, based on the project meeting one of the following criteria: (1) the
project has a substantive contribution by MSIs as lead or collaborator; (2) the project has ademonstrable contribution by MSIs as lead or collaborator; or (3) the project has some relevant
partnership with MSIs as lead or collaborator.

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PART V

Fiscal Year 2024 Consolidated Innovative Nuclear Research

Table 5. IRP Full Applications - Weighting of Evaluation Scores
Criterion
Technical Application – Peer Review
Criterion 1: Scientific and/or Technical Merit of the ProjectCriterion 2: Appropriateness of the Proposed Method or
Approach
Criterion 3: Applicant Team Capabilities, Risks, andExperience
Peer Review Score
Relevance to the NE mission
Diverse Team Review

A.5

Percentage of Peer Review Rating
35%
35%
30%
Sum of ratings
x weights
Yes/NoUp to 3 points (equivalent of up to 3%of the maximum overall technicalrating based upon the technical review
criteria ratings)

Other Selection Factors

Program Policy Factors. The Selection Official may consider the following program policy
factors in the selection process:•Degree to which proposed project optimizes/balances/maximizes use of available DOE
funding to achieve DOE program goals and objectives, including how those R&D and
IRP projects support DOE research. It may also include research portfolio diversity,
geographic distribution and/or how the projects support other complementary efforts that,when taken together, will best achieve program research goals and objectives.

•

Application selection may optimize appropriate mix of projects to best achieve DOE
research goals objectives.

•

Cost/Budget considerations, including availability of funding.

•

Extent that the applicant has awards in progress, or not completed, from DOE, from aprevious year’s FOA, or has existing no cost time extensions.

•

Demonstrated ability of the applicant to successfully complete projects (including
relevant prior projects) and do so within budget and within the specified timeframe of theaward.

•

Applicability across multiple reactor technologies, including future design types.
Proposed cost share that exceeds minimum required amounts on the part of the applicant
may be given preferential consideration.

•

Applications that have national security concerns.

•

Projects that contribute to energy equity•

Projects that support the Justice40 Initiative

The Selection Official may consider any of the above factors independently in determining the
optimum mix of applications that will be selected for support. These factors, while not indicators
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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART Vof the application’s merit, may be essential to the process of selecting the application(s) that,
individually or collectively, will best achieve the program objectives. Such factors are often
beyond the control of the applicant.
Applicants should recognize that some very good applications might not receive an award
because of program policy factors and available funding. Therefore, the Selection Official
may use program policy factors to assist in determining which applications shall receive DOE
funding support.
B.

SUMMARY OF THE REVIEW AND SELECTION PROCESS

B.1

R&D and NSUF Pre-Applications

DOE will evaluate Pre-Application projects against the technical criteria and relevance to the NE
mission described in this CINR FOA. This evaluation process will produce a list ofrecommended projects for each topic area. DOE will consider the overall evaluation results andprogram policy factors to select a final set of invited projects to provide a Full Application.
NOTE: Applicants not requesting NSUF access, who do not receive a formal invitation from
DOE to submit Full Applications in response to the Pre-Application review process may still doso at their own risk. There is no guarantee uninvited Full Applications will receive a full review;
however, all Full Applications received will be re-reviewed for relevance to the NE mission.
Only uninvited Full Applications determined to be relevant to the NE mission will receive atechnical peer review during the evaluation phase for Full Applications.
NOTE: Applicants requesting NSUF access who are not specifically invited by DOE tosubmit Full Applications will NOT be allowed to submit Full Applications. Due to resource
limitations within the NSUF, the feasibility review, which is a critical element of NSUF access,will continue only for applications that are specifically invited. An uninvited NSUF application
without a complete NSUF feasibility review is incomplete and cannot be re-reviewed for NE
mission relevancy.
B.2

R&D and NSUF Full Applications

Multiple peer reviewers will independently evaluate the applications in accordance with thetechnical review evaluation criteria described in this CINR FOA. Also, DOE will complete a
Relevancy Criteria Review in accordance with the criteria described above. DOE will consider
the overall evaluation results and subjective programmatic factors to ultimately recommend a
final set of applications for approval by the Selection Official.
B.3

IRP Full Applications

Multiple technical experts independently evaluate the applications in accordance with the review
criteria as described above. Also, DOE will complete a Relevancy Criteria Review in accordancewith the criteria described above. Following individual review, reviewers meet as a panel forfinal recommendation to DOE. DOE will consider the overall evaluation results and program
policy factors to ultimately recommend applications for approval by the Selection Official.
Due to the expected complexity of these projects, DOE may require clarification on the contents
of application(s) and an opportunity to ask questions regarding the proposed project. As part ofthe evaluation and selection process for any review cycle, DOE may elect to do pre-selection
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Fiscal Year 2024 Consolidated Innovative Nuclear Research

PART Vclarifications. These pre-selection clarifications, if done, will be used for the purposes ofclarifying the applications, not supplementing the applications. Use of such pre-selection
clarifications neither obligates DOE to make an award nor to use a clarification process for
successive review cycles.
B.4

Reporting of Matters Related to Recipient Integrity and Performance

DOE, prior to making a Federal award with a total amount of Federal share greater than thesimplified acquisition threshold, is required to review and consider any information about theapplicant that is in the designated integrity and performance system accessible through SAM(currently FAPIIS) (see 41 U.S.C. § 2313).
The applicant, at its option, may review information in the designated integrity and performancesystems accessible through SAM. The applicant may comment on any information about itself
which a Federal awarding agency previously entered that is currently in the designated integrityand performance system accessible through SAM.
DOE will consider any written comments by the applicant, in addition to the other information in
the designated integrity and performance system, in making a judgment about the applicant's
integrity, business ethics, and record of performance under Federal awards when completing thereview of risk posed by applicants as described in 2 CFR 200.205 - Federal awarding agency
review of risk posed by applicants.
B.5

Government Discussions with Applicant (December 2014)

The Government may enter into discussions with a selected applicant for any reason deemednecessary, including but not limited to: (1) the budget is not appropriate or reasonable for therequirement; (2) only a portion of the application is selected for award; (3) the Government
needs additional information to determine that the recipient is capable of complying with therequirements in 2 CFR part 200 as amended by 2 CFR part 910; and/or (4) special terms andconditions are required. Failure to resolve satisfactorily the issues identified by theGovernment will preclude award to the applicant.
C.

ANTICIPATED NOTICE OF SELECTION

DOE anticipates making selection announcements no later than July 31, 2024.

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PART VI

PART VI – AWARD ADMINISTRATION INFORMATIONA.

AWARD NOTICES

A.1

Notice of Selection

DOE will notify applicants selected for award. This notice of selection is not an authorization to
begin performance. (See Part IV, Section I.3 of this CINR FOA with respect to the allowabilityof pre-award costs.) Organizations whose applications have not been selected will be advised as
promptly as possible. This notice will explain why the application was not selected.
An assistance agreement, signed by the DOE Contracting Officer, is the authorizing award
document for any grants awarded as a result of this CINR FOA. A post-selection/pre-award
process will occur prior to issuing the actual award. This process includes such activities as a
responsibility review/review of risk posed by the selected applicant, a technical and budget
review of the selected applicant’s proposed budget, etc. Once approved, DOE will provide theactual award notice to the recipient by electronic means.
A.2

Nondisclosure and Confidentiality Agreements Representations

In submitting an application in response to this CINR FOA, the Applicant represents that:•

It does not and will not require its employees or contractors to sign internal nondisclosure
or confidentiality agreements or statements prohibiting or otherwise restricting its
employees or contractors from lawfully reporting waste, fraud, or abuse to a designatedinvestigative or law enforcement representative of a Federal department or agency
authorized to receive such information.

•

It does not and will not use any Federal funds to implement or enforce any nondisclosure
and/or confidentiality policy, form, or agreement it uses unless it contains the following
provisions:‘‘These provisions are consistent with and do not supersede, conflict with, orotherwise alter the employee obligations, rights, or liabilities created by existing
statute or Executive order relating to (1) classified information, (2) communications
to Congress, (3) the reporting to an Inspector General of a violation of any law, rule,or regulation, or mismanagement, a gross waste of funds, an abuse of authority, or asubstantial and specific danger to public health or safety, or (4) any otherwhistleblower protection. The definitions, requirements, obligations, rights, sanctions,and liabilities created by controlling Executive Orders and statutory provisions areincorporated into this agreement and are controlling.’’
The limitation and representations above in Part VI, Section A.2 of this CINR FOA
shall not contravene requirements applicable to Standard Form 312, Form 4414, or
any other form issued by a Federal department or agency governing the nondisclosureof classified information.

Notwithstanding the limitation and representations listed Part VI, Section A.2 of this CINR FOA
above, a nondisclosure or confidentiality policy form or agreement that is to be executed by aperson connected with the conduct of an intelligence or intelligence-related activity, other than
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PART VIan employee or officer of the U.S. Government, may contain provisions appropriate to theparticular activity for which such document is to be used. Such form or agreement shall, at aminimum, require that the person will not disclose any classified information received in thecourse of such activity, unless specifically authorized to do so by the U.S. Government. Suchnondisclosure or confidentiality forms shall also make it clear that they do not bar disclosures toCongress, or to an authorized official of an executive agency or the Department of Justice, thatare essential to reporting a substantial violation of law.
A.3

Notice of AwardAn assistance agreement issued by the Contracting Officer is the authorizing award document(excludes NSUF-2 Access Only awards). It normally includes, either as an attachment or byreference, the following: (1) special terms and conditions; (2) applicable program regulations, ifany; (3) application as approved by DOE; (4) DOE assistance regulations at 2 CFR part 200, as
amended by 2 CFR part 910; (5) National Policy Assurances to be incorporated as award terms;(6) Budget Summary; and (7) Federal Assistance Reporting Checklist, which identifies thereporting requirements.
If an award is made to a DOE national laboratory, it will be made against their existing prime
M&O contract with DOE through the work authorization system as outlined in DOE O 412.1A,
Admin Change 1. DOE national laboratories remain bound by the terms and conditions of theircontract with DOE. DOE O 481.1E., Strategic Partnership Projects, is not applicable.
B.

ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

B.1

Administrative Requirements

The administrative requirements for DOE grants are contained in 2 CFR part 200, as amended by
2 CFR part 910 (See: http://ecfr.gov). Grants made to universities, non-profits, and other entities
subject to Title 2 CFR are subject to the Research Terms and Conditions located on the National
Science Foundation website at http://www.nsf.gov/bfa/dias/policy/rtc/index.jsp.
B.1.1

Unique Entity ID and SAM Requirements

Additional administrative requirements for DOE grants are contained in 2 CFR part 25 (seehttp://www.ecfr.gov/cgi-bin/ECFR?page=browse). Prime awardees must be registered in SAM
before submitting an application and must continue to maintain a SAM registration with current
information at all times during which it has an active Federal award or an application or planunder consideration by DOE under this CINR FOA. Primes and subawardees at all tiers mustobtain Unique Entity ID numbers and provide it to the prime awardee before the subaward canbe issued. The prime will provide this valid Unique Entity ID in its application. DOE may not
make a Federal award to an applicant until the applicant has complied with all applicable uniqueentity ID and SAM requirements and, if an applicant has not fully complied with therequirements by the time DOE is ready to make the award, DOE may determine that theapplicant is not qualified to receive an award and use that determination as a basis for making anaward to another applicant.

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B.1.2

PART VI

Subaward and Executive Reporting

Additional administrative requirements necessary for DOE grants to comply with the Federal
Funding and Transparency Act of 2006 (FFATA) are contained in 2 CFR, part 170 (seehttp://www.ecfr.gov/cgi-bin/ECFR?page=browse). Prime awardees must register with the new
FFATA Subaward Reporting System (FSRS) database and report the required data on their firsttier subawardees. Prime awardees must report the executive compensation for their own
executives as part of their registration profile in the SAM.
B.2

Special Terms and Conditions and National Policy Requirements

The DOE special terms and conditions for use in most grants are located at
http://energy.gov/management/office-management/operational-management/financialassistance/financial-assistance-forms under “Award Terms”.
If the Federal share of any Federal award includes more than $500,000 over the period of
performance, post award reporting requirements reflected in 2 CFR part 200, Appendix XII—Award Term and Condition for Recipient Integrity and Performance Matters, may also apply to
any resultant award made under this CINR FOA.
The National Policy assurances to be incorporated as award terms are located at
http://www.nsf.gov/bfa/dias/policy/rtc/appc.pdf and at http://energy.gov/management/officemanagement/operational-management/financial-assistance/financial-assistance-forms underAward Terms.
Quality Assurance (QA) to be incorporated as award terms (applicable to educational institutions
only). While DOE will normally rely on the institution’s quality assurance (QA) system, below
are general guidelines that those systems should adhere to, as applicable, for the type of work
being done. No separate deliverable is required by this provision, unless the institution’s existing
QA systems are not compliant with these guidelines, or in the case that the institution identifies
that the work to be performed has any special or unique QA requirements. The DOE has the rightof access to the university facilities and records for surveillance or inspection. Any surveillance
or inspections will be coordinated with the PI.
Test Planning, Implementation, and Documentation (Research Planning)•

Test methods and characteristics shall be planned and documented, and the approaches
and procedures recorded and evaluated. Characteristics to be tested and test methods shallbe specified. The test results shall be documented and their conformance to acceptancecriteria evaluated.

•

Documentation shall be developed to ensure replication of the work. The
researcher/developer shall document work methods and results in a complete andaccurate manner. The level of documentation shall be sufficient to withstand a successful
peer review. Protocols on generation and safeguarding of data and process developmentfrom research shall be developed for consistency of R&D work.

•

Laboratory notebooks shall be controlled by a university documented procedure/process.
Also, the process for development of intellectual property documentation shall becontrolled under university document control procedures/processes.

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PART VI

If the university identifies any special or unique QA requirements for Test Planning,
Implementation, and Documentation, the university shall submit a Test Plan/Research
Plan to the funding organization for review and concurrence prior to use.

Equipment Calibration and Documentation
The researcher shall specify the requirements of accuracy, precision, and repeatability ofmeasuring and test equipment (M&TE). Depending upon the need for accuracy, precision,and repeatability of M&TE used in research, standard university documented procedures
shall be implemented. During the process development stage, and for all R&D support
activities, M&TE shall be controlled. The degree of control shall be dependent on theapplication of the measurement. The university shall have available calibration records
documenting instrument calibration to a national standard.
Procurement Document Control
University documented procurement document control procedures/processes shall be
implemented, if results of initial research work are expected in the next stage of work, and if
the pedigree of materials being used could influence the usefulness of the research work
results. Procurement document specifications shall be controlled. For development andsupport activities, the level of procurement document control shall be applied to support adesign basis (i.e., engineering design system criteria). If procurement document control
requirements apply, the university shall have a documented procedure/process for control ofsuspect/counterfeit items (S/CI) and have available for submission for DOE review material
pedigree records.
Training and Personnel Qualification
Personnel performing research activities shall be trained per university documented
requirements to ensure work is being conducted properly to prevent rework or the productionof unacceptable data. The university shall have available personnel training records for
submission for DOE review.
Records
In many cases, the notebook or journal of the researcher is the QA record. These documents
shall be controlled in accordance with university documented procedure/process, e.g.,maintain notebook as a controlled document, maintain copies of critical pages or accesscontrolled filing when not in use to preserve process repeatability and the QA record.
Electronic media may be used to record data and shall be subject to documented
administrative controls for handling and storage of data. Work activity records shall bemaintained by the university and available for DOE review, upon request, within sixty (60)days of completion of the topic area.
Data Acquisition/Collection and Analysis
When gathering data, the researcher shall ensure that the systems and subsystems of theexperiment are operating properly. Software systems used to collect data and operate theexperiment requires verification that it meets functional requirements prior to collection of
actual data. Data anomalies require investigation. When performing data analysis, define thefollowing: (1) assumptions and the methods used; (2) the results obtained so that independent
qualified experts can evaluate how data was interpreted; (3) methods used to identify andPage 66 of 120

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PART VI

minimize measurement uncertainty; (4) the analytical models used; and (5) whether the R&D
results have been documented adequately and can be validated.
Peer Review
Peer reviews shall be performed in accordance with peer review best practices as described inPart V of this CINR FOA. The peer reviews shall be documented and maintained by theuniversity. Peer review documentation and results shall be provided to DOE.
B.3

Intellectual Property Provisions

The standard DOE financial assistance intellectual property provisions applicable to the various
types of recipients are located at http://energy.gov/gc/standard-intellectual-property-ipprovisions-financial-assistance-awards.
B.4

Interim Conflict of Interest Policy for Financial Assistance

The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy) can be foundat Financial Assistance Letter No. FAL 2022-02 | Department of Energy. This policy isapplicable to all non-Federal entities applying for, or that receive, DOE funding by means of afinancial 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 to participate 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 inpart 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 therequirements of the interim COI Policy and within each application for financial assistance, theapplicant 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 therequirements of the interim COI Policy to any subrecipient non-Federal entities.
B.5

Lobby Restrictions

By accepting funds under this award, the applicant agrees that none of the funds obligated on theaward shall be expended, directly or indirectly, to influence congressional action on any
legislation or appropriation matters pending before Congress, other than to communicate toMembers of Congress as described in 18 U.S.C. § 1913. This restriction is in addition to thoseprescribed elsewhere in statute and regulation.
B.6

Corporate Felony Conviction and Federal Tax Liability Representations

In submitting an application in response to this CINR FOA, the applicant represents that:•

It is not a corporation that has been convicted (or had an officer or agent of such corporation
acting on behalf of the corporation convicted) of a felony criminal violation under any
Federal law within the preceding 24 months; and•It is not a corporation that has any unpaid Federal tax liability that has been assessed, forwhich all judicial and administrative remedies have been exhausted or have lapsed, and that

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PART VI

is not being paid in a timely manner pursuant to an agreement with the authority responsible
for collecting the tax liability.
For purposes of these representations the following definitions applies:•

A corporation includes any entity that has filed articles of incorporation in any of the
50 states, the District of Columbia, or the various territories of the United States (but notforeign corporations); and•It includes both for-profit and non-profit organizations.

B.7

Statement of Federal Stewardship

DOE/NNSA will exercise normal Federal stewardship in overseeing the project activities
performed under this award. Stewardship activities include, but are not limited to, conductingsite visits; reviewing performance and financial reports; providing technical assistance and/or
temporary intervention in unusual circumstances to correct deficiencies which develop during
the project; assuring compliance with terms and conditions; and reviewing technical performanceafter project completion to ensure that the award objectives have been accomplished.
The recipient’s responsibilities are listed in Part VI, Section B.6 below:
Recipient’s Responsibilities. The recipient is responsible for:
•

•
•

•
•
•

Complying with all award requirements, including performing the activities supported bythis award, including providing the required personnel, facilities, equipment, supplies andservices.
Defining approaches and plans as may be required by this award, submitting the plans to
DOE for review, and incorporating DOE’s comments.
Managing and conducting the project activities, including coordinating with DOE
management and operating (M&O) contractor(s) as required and as proposed in therecipient’s project plan on activities performed under the M&O contract(s) that are
related to the project.
Attending annual program review meetings and reporting project status, if requested by
the program.
Submitting technical reports as stated in the Federal Assistance Reporting Checklist andincorporating DOE comments.
Completing reporting requirements as outlined in the instructions provided in the awards
Attachment B “Federal Assistance Reporting Checklist and Instructions” including:o NE Program Information Collection System (PICS:NE): NE CINR R&D award
PIs are required to complete reporting requirements as outlined in the instructions
provided in the awards Attachment B “Federal Assistance Reporting Checklist andInstructions”. Information provided in required award reporting will be utilized topopulate PICS:NE (PICS:NE data entry will be done by DOE using information
provided by the PI). PIs may be asked by the DOE PICS:NE representative for
additional information during the initial work package setup process to accurately
document the project plan, as well as through the award’s project period to populate
information in PICS:NE. PIs may be requested to provide additional assistance forPage 68 of 120

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clarification purposes in assuring accuracy of the information being entered into
PICS:NE.
o NE Program Accrual Information: DOE policy requires the monthly tracking of
uncosted obligations on financial assistance awards in the DOE accounting system
to assist DOE in accomplishing more accurate project management and to moreaccurately recognize Department liabilities to the recipient. DOE personnel do thisinternally by subtracting paid costs and any costs accrued (yet to be paid incurredcosts of the recipient) from the amounts obligated on the financial assistance award.
In accomplishing this, DOE may request the recipient provide additional costaccrual information to accurately estimate/document the accrual in the DOE
accounting system. If such information is needed, it will typically be done onawards over $1M and DOE will normally do this using an e-mail to the recipient
requesting the recipient identify the dollar value of work it has performed eachmonth but not yet invoiced (or done a Treasury system draw on) as of month end.
Recipients will cooperate with DOE in providing the needed cost accrual
information.
NOTE: There are limitations on recipient responsibilities and authorities in the performance ofthe project activities. Performance of the project activities must be within the scope of theStatement of Objectives, the terms and conditions of the grant, and the funding and schedule
constraints.
C.

REPORTING

Reporting requirements are identified on the Federal Assistance Reporting Checklist,
DOE F 4600.2, attached to the award agreement. A sample checklist is available at
http://energy.gov/management/office-management/operational-management/financialassistance/financial-assistance-forms under Award Forms.
NOTE: A new award may be delayed due to delinquent reporting, including delinquent final
reports for past awards.
NOTE: The DOE F 4600.2 identifies in box 4.E “Other Reporting”, a marked checkbox titled“Other (see special instructions)”, which requires submission of the following:••Work Package Template (one time submission) – Completed and submitted by the PI toassist DOE with populating general award information in the PICS:NE system. The
template is due no later than 10/31/2024 for awardees in the above listed areas. The
Work Package should contain milestones that are appropriate, meaningful andmeasurable, over the life of the project.
Quad Chart (semi-annual submission) – The chart is completed and submitted by the PI
to provide NE program managers and technical leads with a quick “snap-shot” look at
R&D progress.

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PART VIIPART VII – QUESTIONS/AGENCY CONTACTSA.

QUESTIONSInterested parties are encouraged to ask questions as early in the CINR FOA process as possible.
Questions and comments concerning this CINR FOA shall be submitted no later than five (5)business days prior to the application due date. Questions submitted after that date may not allow
the Government sufficient time to respond.
Questions regarding the content of this CINR FOA must be submitted to NEUP@inl.gov.
Questions or concerns can also be directed to the Agency Contact listed in Part VII, Section B ofthis CINR FOA. PIs are not allowed to contact Federal POCs or other POCs who may have anadvisory role to NE. Questions regarding topic areas may be submitted to NEUP@inl.gov and a
response from the applicable DOE federal and technical POCs will be relayed back to theinquirer. Inquiries regarding topic areas and technical questions can be submitted in this manner
until Full Applications are submitted.
Answers to submitted questions containing information about the CINR FOA, topic areas andtechnical questions, or the FOA process that would be necessary for the preparation of
applications will be posted to www.NEUP.gov as soon as practical. Information provided to apotential applicant in response to its request will not be disclosed if doing so would reveal thepotential applicant’s confidential business strategy and/or is otherwise protected. DOE will try to
respond to a question within three (3) business days unless a similar question and answer havealready been posted on the website.
B.

AGENCY CONTACT

Name: Andrew Ford
E-mail: fordaj@id.doe.gov
C.

INFORMATIONAL WEBINAR

DOE holds a webinar each year to discuss the structure and execution of this FOA, including
major updates from previous years, including topic areas. Applicants can watch and participate
in the live webinars and submit questions, through the GoToWebinar interface, to be answered inreal time. Registration information and webinar presentations are available on www.NEUP.gov
for review by applicants.

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PART VIIIPART VIII – OTHER INFORMATIONA.

AMENDMENTS

Notices of any amendments to this announcement will be posted on www.FedConnect.net andwww.Grants.gov and will also be posted as a courtesy on www.NEUP.gov. It is recommended
that the website is checked frequently at www.NEUP.gov to ensure you receive timely notice of
any amendments or other announcements.
B.

GOVERNMENT RIGHT TO REJECT OR NEGOTIATE

DOE reserves the right, without qualification, to reject any or all applications received in
response to this announcement and to select any application, in whole or in part, as a basis fornegotiation and/or award.
C.

COMMITMENT OF PUBLIC FUNDSThe Contracting Officer is the only individual who can make awards or commit the Government
to the expenditure of public funds. A commitment by anyone other than the Contracting Officer,
either explicit or implied, is invalid.
Funding for all awards is contingent upon the availability of funds appropriated by Congress forthe purpose of this program.
D.

PROPRIETARY APPLICATION INFORMATION

Patentable ideas, trade secrets, proprietary or confidential commercial or financial information,
disclosure of which may harm the applicant, should be included in an application only when suchinformation is necessary to convey an understanding of the proposed project. The use anddisclosure of such data may be restricted, provided the applicant includes the following legendon the first page of the project narrative and specifies the pages of the application which are to be
restricted:“The data contained in pages [Insert pages] of this application have been
submitted in confidence and contain trade secrets or proprietary
information, and such data shall be used or disclosed only for evaluation
purposes, provided that if this applicant receives an award as a result of orin connection with the submission of this application, DOE shall have theright to use or disclose the data herein to the extent provided in the award.
This restriction does not limit the government’s right to use or disclose
data obtained without restriction from any source, including theapplicant.”
To protect such data, each line or paragraph on the pages containing such data must be
specifically identified and marked with a legend similar to the following:“The following contains proprietary information that (name of applicant)requests not be released to persons outside the Government, except for
purposes of review and evaluation.”
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E.

PART VIIIEVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL

In conducting the merit review evaluation, the Government may seek the advice of qualified
non-Federal personnel as reviewers. The Government may also use non-Federal personnel toconduct routine, nondiscretionary administrative activities. The applicant, by submitting anapplication, consents to the use of non-Federal reviewers/administrators. Non-Federal reviewers
must sign COI and non-disclosure agreements prior to reviewing an application. Non-Federal
personnel conducting administrative activities must sign a non-disclosure agreement.
F.

INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM

Patent Rights. Domestic small businesses and domestic nonprofit organizations will receive thepatent rights clause at 37 CFR 401.14, i.e., the implementation of the Bayh-Dole Act. This clause
permits domestic small business and domestic non-profit organizations to retain title to subject
inventions.
Class Patent Waiver. For applicant’s that are not domestic small businesses or nonprofit
organizations, the Office Nuclear Energy (NE) Class Patent Waiver W(C) 2020-002 may be
applicable to an award made under this announcement. The class patent waiver will provide
applicants, not subject to the Bayh-Dole Act, the option to retain title to their own inventions,subject to the same government retained rights identified in the Act above. To receive the classwaiver, an applicant, must agree to provide statutory minimum cost share required under theaward and agree to substantially manufacture technology created under the award in the U.S., orprovide other economic benefits to the U.S. in accordance with the U.S. Competitivenessprovision set forth in the above-referenced class patent waiver.
Rights in Technical Data. Normally, the Government has unlimited rights in technical data
created under a DOE agreement. Delivery or third-party licensing of proprietary software or data
developed solely at private expense will not normally be required except as specificallynegotiated in a particular agreement to satisfy DOE’s own needs or to ensure thecommercialization of technology developed under a DOE agreement.
Special Protected Data Statutes. This program is covered by a special protected data statute.
These special protected data statutes apply to only those applicants who cost share. The
provisions of the statute provide for the protection from public disclosure, for a period of up to
five (5) years from the development of the information, of data that would be a trade secret, orcommercial or financial information that is privileged or confidential, if the information had beenobtained from a non-Federal party. Generally, the provision entitled, Rights in Data - Programs
Covered Under Special Protected Data Statutes (Item 4 under 2 CFR 910, Appendix A to
Subpart D), would apply to an award made under this announcement. This provision will identify
data or categories of data first produced in the performance of the award that will be madeavailable to the public, notwithstanding the statutory authority to withhold data from publicdissemination, and will also identify data that will be recognized by the parties as protected data.
Copyright. The recipient and subrecipients may assert copyright in copyrightable works, such assoftware, first produced under the award without DOE approval. When copyright is asserted, thegovernment retains a paid-up nonexclusive, irrevocable worldwide license to reproduce, prepare
derivative works, distribute copies to the public, and to perform publicly and display publicly the
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copyrighted work. This license extends to contractors and others doing work on behalf of thegovernment.
U.S. Manufacturing. On June 07, 2021, DOE approved a DETERMINATION OF
EXCEPTIONAL CIRCUMSTANCES (DEC) UNDER THE BAYH-DOLE ACT TO
FURTHER PROMOTE DOMESTIC MANUFACTURE OF DOE SCIENCE AND ENERGYTECHNOLOGIES. In accordance with this DEC, all awards, including sub-awards, under thisFOA shall include the U.S. Competitiveness Provision in accordance with Intellectual Property
Provisions referenced at Part VI, Section B.3. The Provision requires that any products
embodying any subject invention or produced through the use of any subject invention will be
manufactured substantially in the United States unless the recipient can show to the satisfactionof DOE that it is not commercially feasible. A copy of the DEC can be found at
ttps://www.energy.gov/gc/determination-exceptional-circumstances-decs. Pursuant to 37 CFR §401.4, any nonprofit organization or small business firm as defined by 35 U.S.C. 201 affected byany DEC has the right to appeal it by providing written notice to DOE within 30 working days
from the time it receives a copy of the determination.
G.

UNDERSTANDING COST SHARING REQUIREMENTS(Cost sharing is not required for universities and FFRDCs)

Department-wide cost sharing requirements are established by Section 988 of the Energy Policy
Act of 2005. The DOE Financial Assistance Rules at 2 CFR part 200 and 2 CFR part 910
implement cost sharing requirements (see 2 CFR 200.306 and 2 CFR 910.130).
In accordance with section 988 (d) of the Energy Policy Act of 2005, Calculation of Amount,when calculating the amount of the non-Federal contribution, the Government:
1. May include the following costs as allowable in accordance with the applicable costprinciples:a. Cash.
b. Personnel costs.
c. The value of a service, other resource, or third-party in-kind contribution determinedin accordance with the applicable circular of the Office of Management and Budget[Note: In-kind contributions, like any other cost, need to be incurred during the award
project period, e.g., cannot give credit for costs incurred prior to the award, including
prior development costs, unless otherwise authorized by the applicable costprinciples].
d. Indirect costs or facilities and administrative costs.
e. Any funds received under the power program of the Tennessee Valley Authority(except to the extent that such funds are made available under an annual appropriation
act).
Shall not include:
f. Revenues or royalties from the prospective operation of an activity beyond the time
considered in the award.
g. Proceeds from the prospective sale of an asset of an activity.
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h. Other appropriated Federal funds.
The terms and conditions of the grant will include appropriate provisions on allowable costs.
The Federal share shall not be required to be repaid as a condition of award. Royalties should not
be used to repay or recover the Federal share but may be used as a reward for technology transfer
activities.
Cost share is often confused with some form of cost matching. The key to understanding how
cost share works is to understand the base from which the cost share percentage is calculated.
Cost share percentage is a percentage of the total allowable costs of the project. Note that it is
NOT a percentage of the DOE funds, but rather the entire project, including all awardee funds,
DOE funds, and all FFRDC requirements.
When determining the cost share requirement in dollars, it is first necessary to determine theentire project cost. Initially, no consideration would be given as to where the funds would comefrom. An applicant would determine that a certain cost (e.g., hours, travel, supplies, etc.) would
be needed to complete the project as proposed in the application. Once the project cost isdetermined, an applicant can then calculate the cost share requirement by multiplying the costshare percentage by the project cost. The resulting dollar figure would be the dollar requirementthat the applicant must provide as cost share.
Below are several examples of how the cost share amount would be calculated:
Example 1
The applicant determines that the following budget requirements are needed to carry out thework described in its application to DOE:
Direct Labor
TravelEquipment
Supplies
Subcontract$100,000$3,000$17,000$10,000$20,000

Total Project Cost $150,000
A cost share requirement of 20% was specified in the funding announcement.
Cost Share = (cost share percentage) × (total project cost)
Cost Share = (20%) × ($150,000)
Cost Share = $30,000
The applicant must now identify $30,000 of $150,000 as Cost Share.
The applicant would then request DOE funding in the amount of $120,000.
DOE Share = $120,000
Example 2
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Fiscal Year 2024 Consolidated Innovative Nuclear Research

The applicant determines that the following budget requirements are needed to carry out thework described in its application to DOE:
Direct Labor
TravelEquipment
Supplies
FFRDC Subcontract
Total Project Cost

$200,000$10,000$20,000$10,000$60,000$300,000

A cost share requirement of 20% was specified in the funding announcement.
Cost Share = (cost share percentage) × (total project cost)
Cost Share = (20%) × ($300,000)
Cost Share = $60,000
The applicant must now identify $60,000 of $300,000 as Cost Share. DOE would pay$60,000 directly to the FFRDC. The applicant would then request DOE funding in theamount of $180,000.
DOE Share = $180,000 (funds to Awardee) + $60,000 (FFRDC) = $240,000
Awardee Share = $60,000
NOTE: FFRDC funds are paid directly to the FFRDC by DOE. The work provided by the
FFRDC is still considered part of the total project cost; therefore, it is included in the base fromwhich the awardee cost share is calculated.
In all cases, the applicant must specify the individual costs that make up each part of the total
project cost and indicate whether DOE or non-DOE funds will be used to cover the cost.
The budget from Example 1 might look something like the following:
Direct Labor
TravelEquipment
Supplies
Subcontract
Total Project Cost

$100,000$3,000$17,000$10,000$20,000$150,000

DOE$70,000$3,000$17,000$10,000$20,000$120,000

Non-DOE$30,000$0$0$0$0$30,000

The application forms in this CINR FOA will facilitate the identification of funding sources.

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H.

PART VIIINOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIESEligible activities under this program include those which describe and promote theunderstanding of scientific and technical aspects of specific energy technologies, but not thosethat encourage or support political activities such as the collection and dissemination of
information related to potential, planned, or pending legislation.
I.

NO-COST TIME EXTENSIONS

Unilateral no-cost time extensions will NOT be permitted to awards made under this CINR FOA.
All no-cost time extensions must provide adequate justification and receive approval from theContracting Officer. No-cost time extensions should be requested as soon as the need is
identified within the last year of the award.
A request for a no-cost time extension on existing NE funded projects must only be madebetween October 1 - April 15. Any request outside of this period will need to be substantiallyjustified and receive approval from the Contracting Officer. One no-cost time extension request
may be granted for up to 12 months, pending review and approval. No-cost time extensions
should be submitted only during the period of October 1 – April 15 to NEUP@inl.gov.
J.

REBUDGET REQUEST

Any rebudget request where the cumulative amount of such change is expected to exceed 10
percent of the total budget as last approved by the Federal awarding agency must be requested inwriting (see 2 CFR 200.308). The request must include a detailed budget justification, and an
updated budget in the same format that was used in the original application. Any request for thepurchase of equipment exceeding $5,000 must be requested in writing to include a valid quote,and justification for purchase.
Budget forms can be found at: https://www.energy.gov/management/downloads/sf-424-researchand-related-budget-rr
K.

CONFERENCE SPENDING

The recipient shall not expend any funds on a conference not directly and programmaticallyrelated to the purpose for which the grant was awarded that would defray the cost to the UnitedStates government of a conference held by any executive branch department, agency, board,commission, or office for which the cost to the United States government would otherwise
exceed $20,000, thereby circumventing the required notification by the head of any suchexecutive branch department, agency, board, commission, or office to the inspector general (orsenior ethics official for any entity without an inspector general), of the date, location, andnumber of employees attending such conference.

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PART IXPART IX – APPENDICES/REFERENCE MATERIAL
Appendix A: Topic areas for U.S. University-led R&D Projects and NSUF Access with R&D(NSUF-1) Projects
Appendix B: Topic areas for U.S. University-led IRPs
Appendix C: Topic areas for U.S. University-, National Laboratory-, or Industry-led NSUF
Access Only (NSUF-2) Projects
Appendix D: Accessing Nuclear Science User Facilities
Appendix E: Draft Nuclear Science User Facilities User Agreement

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Appendix A

Appendix A: Topic areas for U.S. University-led R&D Projects and NSUF Access with
R&D (NSUF-1) Projects

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Appendix A

TOPIC AREA 1 - REACTOR DEVELOPMENT AND PLANT OPTIMIZATION(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
Advanced reactor concepts have the potential to offer significant benefits, including lower
costs, enhanced safety and security, greater resource utilization, and simplified operations. NE
performs research and development (R&D) to support a range of advanced reactor concepts,
including high temperature gas-cooled reactors (HTGRs), sodium-cooled fast reactors (SFRs),
molten salt reactors (MSRs), microreactors, and other concepts. Proposals are being sought for
activities that could help reduce the technical risks associated with these designs. Somepotential challenges that could be addressed include, but are not limited to, advanced reactor
component development and testing; advanced reactor transient and safety analysis, including
experimental software validation; innovative solutions to material and operational challenges
presented by molten salts (as distinct from fuel development described in Topic Area 5); coreand system design optimization or modifications; characterization of system changes overtime, such as to the reflector geometry in pebble-bed reactors; optimization of fuelingstrategies; and materials surveillance during reactor operations.
Additionally, advances are of interest in reactor development, design, and testing that improve
technical, cost, safety, and security issues associated advanced reactor technologies across a
broad range of sizes, coolants, fuels, neutron spectra, and applications. NE is also interested inresearch related to plant optimization, including, but not limited to, siting, economics,
construction and scheduling outcomes, reducing cost and deployment timelines, remote
deployment of reactors, environmental justice and equity considerations, and secure
operations, among other relevant topics. Proposals should clearly identify the challenge being
addressed and how proposed activities will advance the development, demonstration, andfuture deployment of advanced reactor concepts.
For investigators applying to Topic Area 1: Reactor Development and Plant Optimization,
incremental funding is potentially available through participation in the Department ofEnergy’s interactions with the Organization for Economic Cooperation and Development(OECD) Nuclear Energy Agency (NEA) Nuclear Education, Skills and Technology (NEST)
program. NEST ties together university research projects across multiple countries to provide
students a fuller professional experience as they pursue their degree. NEST funds are provided
to allow travel for students to interact with colleagues in other NEST countries in accordancewith NEST program rules. Applications submitted to this Topic Area do not require NEST
participation. Access to NEST funds do require investigators to agree to participate in NEST.
Investigators must clearly indicate in their application if they are willing to join as a NEST
project or not.
NOTE: Anticipated budget requirements for NEST participation must not be included in an
application submitted to this topic area. NEST funding received by successful applicants will
not be included or tracked as part of the overall project budget and not subject to inclusion inproject financial reporting. Additionally, participation in NEST will not be a factor consideredin the review of applications.
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TOPIC AREA 2 – EXISTING PLANT OPTIMIZATION(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
The United States benefits from the largest existing fleet of nuclear reactors in the world.
Maintaining access to the carbon-free energy supplied by our current fleet of nuclear reactors
is essential to reducing carbon emissions. To support this goal, NE is seeking proposals forresearch projects to develop technologies or other solutions to significantly reduce operating
costs, improve economic competitiveness of existing plants, and extend plant operational
lifetimes.
Reduced operating costs could arise from innovation in areas including, but not limited to,
implementation of human-factors-informed digital technologies, risk-informed reductions insecurity conservatism, and plant asset management. Meanwhile, research underpinning thescientific bases for reactor power uprates has the potential to increase revenues. Similarly,
understanding the aging of structures, systems, and components (SSCs), have the potential tooptimize and extend the safe, cost-effective operational lifetimes of existing reactors.
Successful proposals in this topic area will pioneer discoveries, methods, and solutions thatbolster the economic and technical sustainability of the current fleet of nuclear reactors.

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TOPIC AREA 3 – NON-TRADITIONAL AND NON-ELECTRIC APPLICATIONS(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
Some advanced reactors, such as microreactors, are uniquely suited for servicing nontraditional energy markets such as off-grid communities, remote locations, military bases,
maritime applications, and disaster relief missions. Additionally, new large electrical loads
pose several challenges to the U.S. electric power grid that could potentially be addressed
through use of microreactors or small advanced reactors to serve as dedicated power sources.
Proposals are sought for research related to high value opportunities for new and advanced
reactors to service non-traditional energy markets and/or provide a dedicated supply of heat
and/or electricity to specific applications.
Additionally, both existing and advanced nuclear reactors are attractive energy sources for
multiple applications where clean, reliable energy, or high-quality heat is needed with very
high availability, such as the production of hydrogen, synthetic fuels, polymers, chemicals,
and minerals; refineries; and district heating. Nuclear reactors offer the ability to provide heatand electricity at the location where it is needed, greatly reducing the cost totransmit/distribute energy. NE is seeking proposals that advance the potential for commercial
deployment of nuclear power for such applications including, but not limited to, thermal andelectrical requirements for specific industrial applications and design, optimization ormodeling of the infrastructure needed to connect the nuclear plant to the industrial application
and/or their integrated operations.
For investigators applying to Topic Area 3: Non-Traditional and Non-Electric Applications,incremental funding is potentially available through participation in the Department ofEnergy’s interactions with the Organization for Economic Cooperation and Development(OECD) Nuclear Energy Agency (NEA) Nuclear Education, Skills and Technology (NEST)
program. NEST ties together university research projects across multiple countries to provide
students a fuller professional experience as they pursue their degree. NEST funds are provided
to allow travel for students to interact with colleagues in other NEST countries in accordancewith NEST program rules. Applications submitted to this Topic Area do not require NEST
participation. Access to NEST funds do require investigators to agree to participate in NEST.
Investigators must clearly indicate in their application if they are willing to join as a NEST
project or not.
NOTE: Anticipated budget requirements for NEST participation must not be included in an
application submitted to this topic area. NEST funding received by successful applicants will
not be included or tracked as part of the overall project budget and not subject to inclusion inproject financial reporting. Additionally, participation in NEST will not be a factor consideredin the review of applications.

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Appendix A

TOPIC AREA 4 – NUCLEAR FUEL RECYCLE TECHNOLOGIES(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
Deployment of advanced nuclear reactors will inevitably introduce new challenges fordevising and implementing an efficient, safe, secure, and economical nuclear fuel cycle thatmeets society’s need for clean energy and expectations for environmental stewardship.
Innovative technologies and processes for the recovery, recycle and reuse of valuable
components from used nuclear fuel, including development of transmutation targets to destroy
long lived isotopes, will enable sustainable nuclear energy development.
NE seeks proposals for R&D on advanced fuel recycle technologies that have the potential to
improve resource utilization and energy generation, reduce long-term radiotoxicity, reduce
waste generation, and limit proliferation risk. Specific emphasis is on developing advanced
fuel recycling technologies and addressing fundamental materials separations and recovery
challenges that present significant degrees of technical risks and financial uncertainties. Areasfor emerging technologies and future research directions are described in the following
workshop reports: (1) Innovative Separations R&D Needs for Advanced Fuel Cycles(https://info.ornl.gov/sites/publications/Files/Pub172641.pdf) and (2) Technology and Applied
R&D Needs for Molten Salt Chemistry(https://www.ornl.gov/sites/default/files/Molten%20Salt%20Workshop_Final_092917.pdf).

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TOPIC AREA 5 – FUELS(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
Advancements in fuel systems, fabrication processes, cladding concepts, and evaluation
techniques are important to ensure that a robust supply chain of well-characterized andoptimized fuels is available to support the emerging advanced reactor fleet. NE is seeking
proposals for R&D to enhance the performance or resilience of innovative fuels for light-water
reactor (LWR) or advanced reactor applications. Topics of interest include, but are not limited
to accident tolerant fuels, silicon carbide fuel cladding, TRISO-particle fuels, metallic fuels,and salt fuels. All aspects of fuel design, testing, and evaluation will be considered.
NE has cooperated with U.S. fuel suppliers to develop ATF concepts with significant support
from the U.S national laboratories and universities. Near-term concepts include coatedzirconium cladding and doped UO2 pellets. Longer term concepts include iron-chromiumaluminum cladding, silicon carbide composite cladding, and high uranium density fuels.
Proposals are sought in areas that can contribute to enhancing LWR safety and performance
including, but not limited to, potential applications of ATF fuel concepts to Small Modular
Reactors (SMRs).
Silicon Carbide fuel cladding is being studied as part of the ATF Program in order to provide
robust safety performance for high temperature thermal hydraulic transient conditions.
Proposals are sought for activities that enable the goal of licensing silicon carbide cladding for
operating nuclear reactors. Potential focus areas could include, but are not limited to, nondestructive evaluation methods, quality assurance characterization techniques, and advances insilicon carbide fuel cladding fabrication methods.
TRISO-particle fuel has demonstrated robust safety performance for high temperatureapplications. Numerous U.S. companies are pursuing the use of TRISO fuel in their advanced
high temperature reactor concepts. Proposals are sought for activities that enable the goal oflicensing and operating nuclear reactors that utilize TRISO fuel. Potential focus areas could
include, but are not limited to, a comprehensive understanding of fuel and fuel matrix
properties under irradiated conditions; addressing unique challenges associated with the use of
TRISO fuel in non-typical environments; and activities to evaluate or develop novel TRISOfuel forms, including new fuel kernel compositions.
Metallic fuels for advanced reactors can operate in open or closed fuel cycles. The design ofopen cycle metallic fuels focuses on optimizing fuel life and energy output and facilitatingstorage and disposal. For example, chemically reactive or liquid bonds are to be avoided inthis group due to complications with storage and disposal. Closed cycle metallic fuel designs
seek to maximize fuel burnup to support an efficient and economic fuel cycle, facilitate
reprocessing, and minimize geologic repository burden. Fuel/clad bonding is acceptable in thisgroup as long as it does not hinder reprocessing operations. Both open and closed metal fuelcycle applications place a high priority on manufacturability, economics, safety, and resource
utilization. Proposals are sought that will develop and evaluate new or already proposed
metallic fuel innovations. Ideally, results will support modeling of metallic fuel performance.

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Appendix A

TOPIC AREA 5 – FUELS(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
Unlike conventional reactors in which the fuel and coolant are separate phases, some MSR
concepts use a molten salt solution as both the fuel and the coolant. There has been
considerable effort in characterizing and modeling the thermophysical and thermochemical
properties of molten salt as well as the atomic level structure and chemistry of potential salt
fuels as a function of composition. Additional progress is needed to develop scalable process
chemistries and technologies to produce molten salt fuels that meet the MSR developer
specifications for impurities such as oxygen and water. Process chemistries and technologies
should be able to produce fuel salt from a variety of non-irradiated enriched uranium sources
including high purity UF6 and U metal as well as uranium oxides, carbides, silicides, or
nitrides. In addition to high purity enriched uranium sources, there are mixed sources whereenriched uranium is incorporated in an inert metal, ceramic, or graphite matrix. Proposals aresought for development of robust scalable processes and/or equipment for preparing molten
fluoride or molten chloride startup or make-up fuel salt to meet one or more MSR vendor
specifications using one or more types of the more plentiful non-irradiated enriched uranium
source materials.
Innovative fuel concepts that support next generation LWR fuel and other advanced reactor
applications of fuel design, testing, and evaluation will also be considered.

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Appendix A

TOPIC AREA 6 – SPENT FUEL, WASTE SCIENCE & TECHNOLOGY AND INTEGRATED WASTE
MANAGEMENT SYSTEM(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
NE seeks to provide a sound technical basis for the safety and security of long-term storage,transportation, and disposal of spent nuclear fuel and wastes from the nuclear energy
enterprise. NE is seeking proposals for R&D in the areas of disposal research, storage,transportation, and the Integrated Waste Management System (IWMS), each of which is
described further below.
The disposal research area seeks to develop a sound technical basis for multiple viabledisposal options, identify and research sources of uncertainty that challenge the viability ofdisposal concepts, increase confidence in robustness of disposal concepts to site-specificcomplexity, and develop the science and engineering tools required to address these needs.
The areas of highest priority for disposal research are described in the following
document: Sevougian, et al. 2019, ‘DOE SFWST Campaign R&D Roadmap Update Rev. 1’
SAND2019-9033R, which can be found at https://www.osti.gov/biblio/1559571. Topics ofinterest could include, but are not limited to, waste package failure modes, post closure
criticality, radio geochemistry, buffer materials, and modeling & simulation.
Spent nuclear fuel (SNF) will continue to be stored, typically in dry cask storage systems(DCSS), until a determination on final disposition is made. Over 90% of DCSSs in the UnitedStates are welded dry storage canisters (DSC), typically fabricated from 5/8-inch thick (Type304 or 316) stainless steel, stored either vertically or horizontally. The U.S. Nuclear
Regulatory Commission has identified key safety functional areas for storage, including
retrievability, thermal performance, confinement, radiation protection, and subcriticality. It is
important to demonstrate that these safety functions are met during extended storage and after
transportation. The areas of highest priority for storage and transportation are described in thefollowing document: Teague et al. 2019, ‘Gap Analysis to Guide DOE R&D in Supporting
Extended Storage and Transportation of Spent Nuclear Fuel: An FY2019 Assessment’,
SAND2019- 15479R, which can be found at https://www.osti.gov/servlets/purl/1592862.
Topics of interest could include, but are not limited to, chlorine induced stress corrosion
cracking in the canister wall, canister internal environment monitoring, fuel cladding
degradation, and stresses and strains on fuel bundle components due to transportation orseismic loads.
NE is working toward implementing an IWMS for SNF and high-level radioactive waste(HLW), including federal consolidated interim storage, eventual permanent disposal, andassociated transportation. Freight rail is expected to be the primary mode for SNF transport.
Siting for storage and disposal facilities is following a consent-based approach with broad
public participation and communications. NE is also evaluating considerations for integrationof advanced reactor fuel concepts into the IWMS. This topic area is focused on research andanalysis to fill relevant information gaps, as well as provide independent expert input and/or
review. Example topics of interest could include, but are not limited to, innovative approaches
to computationally and visually represent to the public the risks and likely outcomes of SNF
train derailment and release, means of estimating the amount and characteristics of dust
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TOPIC AREA 6 – SPENT FUEL, WASTE SCIENCE & TECHNOLOGY AND INTEGRATED WASTE
MANAGEMENT SYSTEM(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
generated by pebble-based TRISO SNF during handling and transportation under normal andhypothetical accident conditions, and means of assessing the integrity of the pebbles andpotential for additional amounts of dust generation when subjected to possible external events
during extended storage such as a design-basis earthquakes.

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Appendix A

TOPIC AREA 7 – CONSENT-BASED SITING FOR SNF MANAGEMENT(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
The U.S. Department of Energy (DOE) is committed to a consent-based siting process inmanaging the nation’s spent nuclear fuel. A consent-based siting process prioritizes the wellbeing and needs of people and communities, centers upon equity and environmental justice,and is collaborative, phased, and adaptive. As DOE works toward siting one or more federal
consolidated interim storage facilities for spent nuclear fuel using a consent-based process, itaims to reduce barriers to meaningful participation and public engagement. To that end,
understanding the factors that may influence the quality and/or extent of public engagement
would allow DOE to tailor the consent-based siting process to better fit the needs of different
people and communities.
NE is seeking qualitative, quantitative, and mixed methods research examining public
engagement, broadly construed, within the context of consent-based siting. Empirical research
addressing the following topics, in no particular order, is of interest: a) methods to measurepublic engagement and its characteristics, either in general or specific to different people orcommunities, b) the ways in which considerations regarding equity (e.g., intergenerational)
and/or environmental justice may impact public engagement, c) factors influencing the quality
and/or extent of the government’s perceived or actual engagement (including, but not limited
to DOE), d) what community-led development, as it relates to consent-based siting, means todifferent people and communities, and e) how discussions on regional development may
impact public or government engagement (e.g., local, State, Tribal, federal).

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Appendix A

TOPIC AREA 8 – MODELING AND SIMULATION(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
Science-based, verified, and validated modeling and simulation capabilities are essential forthe design, implementation, and operation of nuclear energy systems and fuel cycle
technologies. This topic area focuses on nuclear energy related modeling and simulation
projects that develop or improve tools for many different applications including, but notlimited to: high fidelity reactor modeling, including neutronics, structural dynamics, andthermal hydraulics; multi-scale, multi-physics models for characterizing complex neutron
kinetics, dynamics, microstructural, and thermomechanical phenomena; verification andvalidation; Uncertainty quantification; and flow modeling, among other relevant areas.
Applications under this Topic Area should primarily focus on development or improvement ofmodeling tools, while the use of modeling and simulation tools would be in one of the other
Topic Areas that best relates to the reactor, fuel type or technology being investigated. One
exception to this would be development of single or multi-physics benchmarks, which should
be proposed under this Topic Area. Applications to develop a benchmark must allocate
adequate time and resources to complete and publish the benchmark.

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Appendix A

TOPIC AREA 9 – MEASURING, MONITORING, AND CONTROLS(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
Robust sensors, instrumentation, and controls are needed to enhance capabilities, provide forhigher accuracy, and to accommodate new and challenging operational environments in theexisting fleet and advanced reactors. NE seeks proposals for sensor development that adds
new capabilities to existing technologies or develops novel technologies to support relevant
and challenging operational conditions.
NE has identified the value of coupling instrumentation and controls (I&C) with artificial
intelligence (AI) and machine learning (ML) and integrating these techniques into digital twin(DT) platforms. Topics of interest in this area could include, but are not limited to,development of techniques and/or applications relevant to the current fleet or advanced
reactors and means of meaningfully training models using existing research reactor data.

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Appendix A

TOPIC AREA 10 – LICENSING, SAFETY, AND SECURITY(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
There is a continued need for enhancing understanding of licensing and safety requirements asthey apply to the safe and secure operations of reactors and all fuel cycle related facilities. NE
is seeking proposals in the areas of safeguards and security, nuclear materials control andaccountability, cybersecurity, safety analysis methods, regulatory frameworks, and systems
engineering and integration of these areas. Topics of interest include, but are not limited to,enhancing the applicability, usability and efficiency of PRA tools or other innovative risk
assessment methodologies; combined hazard PRA models; cost-effective MC&A methods andtools for advanced reactors, and fuel fabrication and recycling processes; cost-effective meansof managing advanced cybersecurity threats; enabling the cyber-secure deployment ofadvanced digital technologies; and addressing specific gaps in licensing technicalrequirements for advanced reactors.
For investigators applying to Topic area 10, incremental funding is potentially available
through participation in the Department of Energy’s interactions with the Organization for
Economic Cooperation and Development (OECD) Nuclear Energy Agency (NEA) Nuclear
Education, Skills and Technology (NEST) program. NEST ties together university research
projects across multiple countries to provide students a fuller professional experience as they
pursue their degree. NEST funds are provided to allow travel for students to interact withcolleagues in other NEST countries in accordance with NEST program rules. Applications
submitted to this work-scope do not require NEST participation. Access to NEST funds do
require investigators to agree to participate in NEST. Investigators must clearly indicate intheir application if they are willing to join as a NEST project or not.
NOTE: Anticipated budget requirements for NEST participation must not be included in an
application submitted to this topic area. NEST funding received by successful applicants will
not be included or tracked as part of the overall project budget and not subject to inclusion inproject financial reporting. Additionally, participation in NEST will not be a factor consideredin the review of applications.

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Appendix A

TOPIC AREA 11 – ADVANCED NUCLEAR MATERIALS(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
Identification, investigation, and research and development of revolutionary technologies incrosscutting materials science areas have the potential for radical improvement in reactor orfuel cycle performance, safety, and economics. NE is seeking proposals for R&D to better
understand core and structural materials, to qualify and/or test existing materials, and to
explore and develop new classes of materials for identified applications. Topics of interest
under this are include, but are not limited to, environmental, thermal and irradiation effects onmaterials, materials to efficiently immobilize fission products and off-gas capture species,
development of comprehensive frameworks to characterize and model degradation or key
materials, components and structures such as concrete or polymers, development of relevant
advanced metal alloys for core materials and cladding, and development of materials to
support waste minimization and management, such as sorbents and transmutation targets.

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Appendix A

TOPIC AREA 12 – ADVANCED MANUFACTURING TECHNOLOGIES(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $1,000,000)
The emerging fleet of advanced reactors, of virtually all types and sizes, is supported by its
strongest business case when coupled with advanced manufacturing techniques that allow forsignificant reductions to the costs of original construction and major component replacement.
The concepts under consideration range from advanced manufacturing of components throughcomplete factory fabrication of reactors for delivery and installation at the site. NE is seeking
proposals for R&D that support the development, nuclear qualification, and/or regulatory
acceptance of advanced manufacturing processes, methods, equipment, and/or materials orcomponents manufactured using such techniques. Topics of interest include, but are notlimited to, processing and fabrication methods for composites, concrete, and metals; joining
and repair; and specific applications to components, sub-systems, systems, and structures.

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Appendix A

TOPIC AREA 13 – STRATEGIC NEEDS BLUE SKY(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $500,000)
NE is seeking proposals to advance foundational models, methods, and theory. Maintaining
fundamental skills and knowledge in key nuclear engineering topics is important tomaintaining and establishing research excellence and expertise. Areas of interest could
include, but are not limited to, thermal hydraulics, heat transfer, reactor physics, and nuclear
chemistry. A response should address innovative research in the identified area and could
include any aspect (experiments, modeling, etc.) that is necessary to accomplish the proposed
scope.

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Appendix A

NUCLEAR SCIENCE USER FACILITIES (NSUF) JOINT R&D AND ACCESS (NSUF-1)
Applicants interested in utilizing a joint R&D and Nuclear Science User Facilities (NSUF)
capabilities should submit under this topic area (NSUF-1). Projects requiring NSUF Accessonly (see NSUF-2, Appendix C) or “R&D funding only” must be submitted under otherappropriate topic areas. In this topic area, R&D support will be provided to university led
projects to support their research directly associated with the proposed irradiation and/or post
irradiation examination including compilation and interpretation of results. All applications
submitted under this topic area will be projects coupling funding with NSUF access.
Proposals with NSUF access can include ion, neutron, and gamma irradiation, x-ray
synchrotron beam or neutron beam interrogation, post-irradiation examination, advanced
materials characterization, and high-performance computing. Applicants can access the fulllist of NSUF capabilities at https://nsuf.inl.gov/. NSUF may have additional capabilities
online by FY25 that can be included in the FY24 CINR applications. Users should contact the
NSUF directly with questions prior to submitting an application.
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 application. To ensure compliancethroughout 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, andthe terms and conditions are accepted. Further, submission of a pre-application and a full
application indicates the applicant will comply with and agree to the terms and conditions of
the User Agreement. Upon award of an NSUF supported project, the User Agreement must be
signed before activities will begin on the project. Failure to sign the non-negotiable User
Agreement within 30 days of receipt of the User Agreement may result in cancellation of anawarded project.

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Appendix A

NSUF-1.1: CORE AND STRUCTURAL MATERIALS BEHAVIOR AND DEVELOPMENT(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 7 YEARS AND $1,000,000)(NSUF READINESS REQUIREMENTS APPLY)This NSUF topic is focused on fundamental understanding of irradiation effects in core andstructural materials. This includes the behavior of nuclear fuels (including cladding) in reactor
and research into advanced nuclear fuels and improving the performance of current fuels. For
the core and structural materials aspect of the topic, areas of interest include materials aging
and degradation mechanisms, testing alternate and/or radiation resistant materials forapplication in current and future fission reactors, and innovative materials from alternate oradvanced joining and manufacturing techniques. For the nuclear fuels aspect of the topic,
areas of interest include the fundamental physics and chemistry of nuclear fuels, irradiationand thermal effects on microstructure development, and thermophysical andthermomechanical properties. Proposed projects may involve research in the areas of fuels andmaterials irradiation performance and combined effects of irradiation and environment onfuels and materials. Advanced fuel types extend to fast spectrum transmutation systems,
coated particle fuels for high-temperature reactor systems, robust fuels for light water reactors
including accident tolerant fuels, and innovative fuel for small modular, micro-, and otheradvanced reactor concepts. Activities can be aimed at irradiation experiments (neutron steadystate or transient, ion, and gamma) and post irradiation examination that explore fundamental
aspects of fuel performance such as radiation damage, amorphization, fuel restructuring,
species diffusion and migration, and fission product behavior. Separate effects testing focusedon validation of specific modeling and simulation issues is encouraged. Applications coupling
experimental methods with modeling and simulation are strongly encouraged.

NSUF-1.2: TESTING OF ADVANCED MATERIALS FOR SENSORS(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 7 YEARS AND $1,000,000)(NSUF READINESS REQUIREMENTS APPLY)
Applications are sought for irradiation testing and post-irradiation examination that support
the development of advanced sensor materials, and the development of advanced
instrumentation or measurement systems to support NE’s mission to enhance the long-term
viability and competitiveness of the existing fleet, and to develop an advanced reactor
pipeline, and to implement and maintain national strategic fuel cycle and supply chain
infrastructure. For this topic, areas of interest include irradiation testing and post irradiation
examination of candidate sensor materials and candidate instrumentation systems. Proposed
projects can include irradiations and post-irradiation examination to address fundamental andapplied technology gaps.

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Appendix B: Topic areas for U.S. University-led IRPs

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Appendix B

Fiscal Year 2024 Consolidated Innovative Nuclear Research Topic areas

Appendix B

IRP-1: GRAND CHALLENGE IRP – ACCELERATING REACTOR DEVELOPMENT(FEDERAL POC – JANELLE EDDINS)(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $3,000,000)
NE’s goal of demonstrating several advanced reactor types within this decade resulting in
advanced reactor deployment in the 2030s, is a core aspect of addressing U.S. clean energy
climate change goals. One of the primary challenges is reducing overall capital and operating andmaintenance (O&M) costs while also de-risking the technologies for more rapid adoption byindustry. NE solicits applications for this scope that take a holistic, multi-disciplinary approach toreactor deployment considerations for specific reactor technologies. Applications can cover awide variety of topics including innovative component, instrumentation, and fuel handlingsystems; design optimization including integrated systems or reducing the size of the core or
number of components; technologies to reduce the cost and schedule for construction; and siting
infrastructure considerations for remote applications and transition from fossil generation
sources, including environmental justice considerations. Proposals that suggest innovative ideas
for cost reduction or shortening the deployment timeline by developing a holistic, multi-faceted
approach, including a focus on key technical needs areas, like nuclear economics, accelerated
testing, and reactor/plant design expertise, are desired.
For investigators applying to this work scope, incremental funding is potentially available
through participation in the Department of Energy’s interactions with the Organization for
Economic Cooperation and Development (OECD) Nuclear Energy Agency (NEA) Nuclear
Education, Skills and Technology (NEST) program. NEST ties together university research
projects across multiple countries to provide students a fuller professional experience as they
pursue their degree. NEST funds are provided to allow travel for students to interact withcolleagues in other NEST countries in accordance with NEST program rules. Applications
submitted to this work-scope do not require NEST participation. Access to NEST funds do
require investigators to agree to participate in NEST. Investigators must clearly indicate in theirapplication if they are willing to join as a NEST project or not.
NOTE: Anticipated budget requirements for NEST participation must not be included in an
application submitted to this work scope. NEST funding received by successful applicants will
not be included or tracked as part of the overall project budget and not subject to inclusion inproject financial reporting. Additionally, participation in NEST will not be a factor considered in
the review of applications.

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Appendix B

IRP -2: GRAND CHALLENGE RESEARCH AND DEVELOPMENT AT MINORITY SERVINGINSTITUTIONS (MSI)(FEDERAL POC – JENNA PAYNE)(ELIGIBLE TO LEAD: UNIVERSITIES ONLY; UP TO 3 YEARS & 2 MONTHS AND $3,000,000)
NE’s mission is to advance nuclear energy science and technology to meet U.S.
energy, environmental, and economic needs. Toward this mission, NE has identified goals to
address challenges in the nuclear energy sector, to help realize the potential of advanced
technology, and to leverage the unique role of the government in spurring innovation:
1. Enable continued operation of existing U.S. nuclear reactors
2. Enable deployment of advanced nuclear reactors
3. Develop advanced nuclear fuel cycles and spent nuclear fuel management options
This opportunity is restricted to MSI lead institutions, including historically black colleges anduniversities (HBCUs), tribally controlled colleges and universities, (TCCUs), Asian Americanand Native American Pacific Islander-serving institution (AANAPISI) and Hispanic-serving
institutions (HSIs), as defined in Title III and Title V of the Higher Education Act. This scopesolicits applications that address one or more NE mission related technical areas that advancenuclear engineering research and development at MSI institutions.
NE is allowing a flexible framework for consortia construction and recognizes several viable andeffective models including partnering in a multi-MSI consortia style model, partnering withnational laboratories, other institutions of higher education, or industry collaborators. This scopeis intended to develop nuclear expertise and capabilities at Minority Serving Institutions.
Therefore, 80% of the total budget request should directly support lead or collaborating partners
that are MSIs. Other institutions of higher education, national laboratories, or industry may
participate in a supporting capacity at no more than 20% of total budget in composite.
Applications should focus on addressing an important NE mission related topic area with aparticular focus on broad student involvement and capacity building to support the nextgeneration workforce in nuclear energy.

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Appendix C

Appendix C: Topic areas for U.S. University-, National Laboratory-, or Industry-led NSUF
Access Only (NSUF-2) Projects

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Appendix C

NUCLEAR SCIENCE USER FACILITIES (NSUF) ACCESS ONLY (NSUF-2)
Applicants interested in utilizing Nuclear Science User Facilities (NSUF) capabilities only should
submit “access only” applications under this topic areas. This topic does not provide R&D
support. Applications under the NSUF-2 work scope must support the Department of Energy
Office of Nuclear Energy’s mission. Capabilities available through the NSUF can be found on
the website at https://nsuf.inl.gov/.
Proposals with NSUF access can include ion, neutron, and gamma irradiation, x-ray synchrotron
beam or neutron beam interrogation, post-irradiation examination, advanced materials
characterization, and high-performance computing. Applicants can access the full list of NSUF
capabilities at https://nsuf.inl.gov/. NSUF may have additional capabilities online by FY25 thatcan be included in the FY24 CINR applications. Users should contact the NSUF directly withquestions prior to submitting an application.
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 application. To ensure compliancethroughout 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. Failure to sign the non-negotiable User Agreement
within 30 days of receipt of the User Agreement may result in cancellation of an awarded
project.

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Appendix C

NSUF-2.1: CORE AND STRUCTURAL MATERIALS BEHAVIOR AND DEVELOPMENT(ELIGIBLE TO LEAD: UNIVERSITY, NATIONAL LABORATORY, AND INDUSTRY)(LIMITED TO 7 YEARS)(NSUF READINESS REQUIREMENTS APPLY)This NSUF topic is focused on fundamental understanding of irradiation effects in core andstructural materials. This includes the behavior of nuclear fuels (including cladding) in reactor
and research into advanced nuclear fuels and improving the performance of current fuels. For thecore and structural materials aspect of the topic, areas of interest include materials aging anddegradation mechanisms, testing alternate and/or radiation resistant materials for application incurrent and future fission reactors, and innovative materials from alternate or advanced joining
and manufacturing techniques. For the nuclear fuels aspect of the topic, areas of interest include
the fundamental physics and chemistry of nuclear fuels, irradiation and thermal effects on
microstructure development, and thermophysical and thermomechanical properties. Proposed
projects may involve research in the areas of fuels and materials irradiation performance andcombined effects of irradiation and environment on fuels and materials. Advanced fuel types
extend to fast spectrum transmutation systems, coated particle fuels for high-temperature reactor
systems, robust fuels for light water reactors including accident tolerant fuels, and innovative fuelfor small modular, micro-, and other advanced reactor concepts. Activities can be aimed at
irradiation experiments (neutron steady state or transient, ion, and gamma) and post irradiation
examination that explore fundamental aspects of fuel performance such as radiation damage,amorphization, fuel restructuring, species diffusion and migration, and fission product behavior.
Separate effects testing focused on validation of specific modeling and simulation issues is
encouraged. Applications coupling experimental methods with modeling and simulation arestrongly encouraged.

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Appendix C

NSUF-2.2: TESTING OF ADVANCED MATERIALS FOR SENSORS(ELIGIBLE TO LEAD: UNIVERSITY, NATIONAL LABORATORY, AND INDUSTRY)(LIMITED TO 7 YEARS)(NSUF READINESS REQUIREMENTS APPLY)
Applications are sought for irradiation testing and post-irradiation examination that support thedevelopment of advanced sensor materials, and the development of advanced instrumentation ormeasurement systems to support NE’s mission to enhance the long-term viability andcompetitiveness of the existing fleet, and to develop an advanced reactor pipeline, and to
implement and maintain national strategic fuel cycle and supply chain infrastructure. For thissub-topic, areas of interest include irradiation testing and post irradiation examination ofcandidate sensor materials and candidate instrumentation systems. Proposed projects can include
irradiations and post-irradiation examination to address fundamental and applied technology
gaps.

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Appendix D: Accessing Nuclear Science User Facilities

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Appendix D

Fiscal Year 2024 Consolidated Innovative Nuclear Research

Appendix D

As previously described in this document, the NSUF provides access, at no cost to the user, to
DOE, University, and Industry facilities. Access to these facilities includes the support of thetechnical staff at each facility to ensure that the applicant is able to successfully complete theirresearch. Requesting NSUF access funding is more complex than requesting R&D funding
through this FOA. Figure D-1 depicts the process for requesting NSUF access. Note that NSUF
Rapid Turnaround Experiments (RTEs) are not part of this FOA, for information on RTEs see
NSUF.inl.gov. A list of NSUF topic areas can be found on the topic area index on Table 1.
The applicant is required to submit a NSUF Letter of Intent (LOI) and Pre-Application to apply
for the FOA. The applicant is expected to work with the NSUF Technical Lead(s) to prepare the
Pre-Application. If invited to submit a Full Application, the applicant and NSUF Technical
Lead(s) will work together to develop the application and define the scope of the application. If
an application requests irradiation at INL, the INL Technical Lead submits an INL Irradiation
Work Acceptance (IWA) request which is an approval process required for any irradiation workthat may occur at INL.
Developing a successful application for NSUF access requires effort from the applicant, as wellas the NSUF Technical Leads who should be included at the earliest possible date. Non-INL
Technical Leads are listed as contacts at NSUF.inl.gov/Page/Partners. The NSUF Program
Office assigns INL Technical Leads then informs the applicant. If NSUF capabilities arerequested at multiple institutions, then multiple Technical Leads will support the application.
Because NSUF Technical Leads are an integral part of the application, it is expected that they belisted as Other Collaborators or Personnel in the Pre-Application and in the Full Application
For all applications, the NSUF Technical Lead(s) will work with the applicant to define thescope in the form of a Statement of Work (SOW). A Preliminary SOW will be submitted as a“post submission attachment” in the Pre-Application. If invited to submit a Full Application, aFinal SOW will be submitted prior to the Full Application as a “post submission attachment” in
the Pre-Application. At a minimum, the SOW will include the following (as applicable):•

Facilities and equipment required to conduct the experiment,•

Specific requirements for specimen acquisition (e.g., material location, material
condition, and fabrication or preparation requirements),•

Specific requirements for irradiation or beam-time (e.g., neutron, gamma or ion beamenergy spectrum, target temperature, flux and fluence [or burn-up/dpa] for eachspecimen, in-pile instrumentation, etc.) including a detailed test matrix; and,•Specific requirements for post-irradiation examination (PIE) of each specimen (e.g.,visual examination, dimensional examinations, tensile testing, radiography, microscopy,etc.) including a detailed test matrix.

The Preliminary and Final SOW (Statement of Work Template) will be utilized by the NSUF
facility technical staff to develop an execution plan and cost. Execution Plan details may be
included in the final SOW at the discretion of the NSUF Technical Lead and typically addresses
the following elements (as applicable):
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Concept for the irradiation device including fabrication and assembly plans;•

Irradiation position and duration (if known);•

Experiment shipping;•

Disassembling and cataloging the experiment;•

Specimen preparation and shipping;•Specimen examination details;•

Waste disposal; and,•Resource loaded schedule.

Appendix D

NSUF Access Values will be entered in the corresponding data field in the Full Application by a
NEUP.gov website administrator. This occurs after Full Applications are submitted.
After award announcement, several steps will be required prior to initiating work. The successful
applicant’s institution will be required to sign a Non-Proprietary User Agreement with Battelle
Energy Alliance. Appendix E contains the standard User Agreement. The User Agreement is not
negotiable. The SOW becomes an appendix in the User Agreement so as to bind the PI to the
SOW and define the NSUF policies applicable to the scope of work. A subcontract(s) or work
authorization(s), with a total value equal to the previously developed cost estimate, will beplaced with NSUF institutions performing the work as defined in the SOW and experimentexecution plan. The award is made to the User who is defined as the institution (not theindividual) who submitted the Full Application.
NSUF Quality Assurance Requirements
Irradiation of materials in test reactors requires additional rigor and quality assurance
requirements beyond those described in other sections of this FOA. Specific requirements will
depend on the reactor license, the irradiation vehicle design, and specimen constituents. NSUF
Technical leads will assist the PI in understanding the specific requirements early in the process.
Budget Development for NSUF Applications
Applicants are responsible for costs which are not allowed in NSUF Access Only topic areas. A
letter of commitment from an appropriate authority is required that explains how the applicant
will pay for costs similar to:•

Travel costs to NSUF facilities for facility access training, technical meetings,
examinations, experiment loading, etc.;•

Applicant salary support;•

Graduate student support;•

Post-doctoral or other researcher support; and,•Materials and supplies support at the PI’s work location.

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Appendix D

To append the Letter of Commitment: 1) Find the submitted Pre-Application in the “My
Applications” section of the submission website; 2) Open the submitted Pre-Applicationby using the ‘pencil’ icon; 3) Scroll to the bottom of the application form; and 4) Click“Attach File” on the “Post Submission Attachment” section and attach the Letter ofCommitment.
o Name File: 2024 Letter of Commitment “Insert ID #”NOTE: Do not resubmit the Pre-Application. A timestamp will appear in the “File Upload Date”
area, which is confirmation that the Letter of Commitment was appended correctly.
Cancellation of an Award
If the project or any part of the project falls two years or more behind the schedule established in
the final SOW, DOE reserves the right to cancel the project or any part of the project without
concurrence of the Principal Investigator.
NSUF Nuclear Fuels and Materials Library
The NSUF Nuclear Fuels and Materials Library (NFML), which is owned by NE and curated by
the NSUF, is a collection of specialized information and nuclear fuel and material specimensfrom past and ongoing neutron irradiation test campaigns, as well as real-world components
retrieved from decommissioned power reactors, and donations from other sources. The NFML
database can be accessed at NSUF.inl.gov. To continue the expansion of the NFML, any
specimens created as the result of an awarded NSUF neutron irradiation project will be added to
the NFML, including unirradiated archive materials. The Principal Investigator (PI) will be given
exclusive rights to the specimens for a three-year period of PIE following completion of theneutron irradiation portion of the project. The specimens will be listed as Not Available in the
NFML throughout the three-year exclusivity period. To populate the NFML, the NSUF program
office may recommend irradiating a larger number of specimens than required for an awarded
project. PIs of all future awarded applications requesting specimens from previously awarded
neutron irradiation tests are encouraged to contact the original PI(s) for potential collaboration.
Although collaboration with the original PI(s) is encouraged, permission from the original PI(s)to use previously generated materials that are currently Available in the NFML is not required. It
is strongly suggested that CINR FOA applicants contact the NFML Coordinator, listed at
NSUF.inl.gov/Home/Staff, to confirm availability of specimens to be requested.

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Figure D-1. Process for NSUF applications.

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Appendix D

Fiscal Year 2024 Consolidated Innovative Nuclear Research

Appendix E

Appendix E: Draft Nuclear Science User Facilities User Agreement

NOTE: Access to NSUF capabilities will require agreement and final signature to the User
Agreement (copy provided in Part IX, Appendix E). The terms and conditions of the User
Agreement are non-negotiable, and failure to accept the terms and conditions of the User
Agreement will terminate processing and review of the NSUF applications. In order toensure compliance throughout the application review process, applicants must indicate in the
LOI and Full Application submission that the User Agreement has been read, understood, andthe 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 theUser Agreement. Upon award of an NSUF supported project, the User Agreement must be
signed before activities will begin on the project.

Failure to sign the non-negotiable User Agreement within 30 days of receipt of the User
Agreement may result in cancellation of an awarded project.
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INL Non-Proprietary User Facility Agreement
NOTE: For Public Institutions residing in the State of Colorado, a version of the User Agreement,compliant with Colorado statute, is available. Contact the NSUF program office for more information.

Non-Proprietary User Agreement
User Facility Agreement No. xxxxx BETWEENBATTELLE ENERGY ALLIANCE, LLC(" CONTRACTOR")

Operator of The Idaho National Laboratory (hereinafter “Laboratory”) under U.S. Department of Energy(DOE) Contract No. DE-AC07-05ID14517
AND

XXXXXXXXXXXXXXXXXX("USER")(Collectively, “the Parties”)
The obligations of the above-identified DOE Contractor may be transferred to and shall apply to
any successor in interest to said Contractor continuing the operation of the DOE Non-Proprietary
User Facility involved in this User Agreement.
ARTICLE I. FACILITIES AND SCOPE OF WORK
Subject to the terms and conditions of this Agreement, CONTRACTOR
will make available to employees, consultants and representatives of
USER (hereinafter called “Participants”) certain Laboratory NonProprietary User facilities, which may include equipment, services,
information and other material, with or without Laboratory scientist
collaboration, for purposes as described in the attached Scope of Work andin accordance with the attached Funding Statement, both of which areincorporated by this reference and are made a part of this Agreement.
Amendments to the attached Scope of Work and Funding Statement may
be submitted by USER for identifying facilities and purposes during theterm of this Agreement (see Article II). Such amendments will beconsidered to be part of this Agreement upon written acceptance by
CONTRACTOR. The attached Scope of Work sets forth a specificproject, including deliverables, to be performed pursuant to thisAgreement. The Scope of Work and abstracts thereof, shall not be
considered proprietary information and shall be publicly releasable. The
Parties agree that an initial abstract of the work to be performed shall be
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deliverable under this Agreement.
ARTICLE II. TERM OF THE AGREEMENT
This Agreement shall have a term of X years from the effective date. The
term of this Agreement shall be effective as of the date on which it issigned by the last of the Parties.
ARTICLE III: COST
Each Party will bear its own costs and expenses associated with this Agreement unless otherwise
agreed to by the Parties or as may otherwise be agreed to by the User and DOE.
ARTICLE IV: ADMISSION REQUIREMENTS
USERs and Participants are subject to the administrative and technical supervision and control of
CONTRACTOR; and will comply with all applicable rules of CONTRACTOR and DOE withregard to admission to and use of the User facility, including safety, operating and health-physics
procedures, environment protection, access to information, hours of work, and conduct.
Participants shall execute any and all documents required by CONTRACTOR acknowledging
and agreeing to comply with such applicable rules of CONTRACTOR. Participants will not be
considered employees of CONTRACTOR for any purpose.
ARTICLE V: PROPERTY AND MATERIALS***
USER may be permitted by Contractor to furnish equipment, tooling, test apparatus, or materials
necessary to assist in the performance of its experiment(s) at the USER facility. Such items
shall remain the property of USER, except as otherwise provided in this Article. Unless theParties otherwise agree, all such property furnished by USER or equipment and test apparatus
provided by USER will be removed by USER within sixty (60) days of termination or expirationof this Agreement or will be disposed of as directed by USER at User’s expense. Any equipmentthat becomes integrated into the facility shall be the property of the Government. USER
acknowledges that any material supplied by USER may be damaged, consumed or lost. USER
will return facilities and equipment utilized in their original condition except for normal wear
and tear.
CONTRACTOR shall have no responsibility for USER's property in CONTRACTOR's
possession other than loss or damage caused by willful misconduct or gross negligence of
CONTRACTOR or its employees.
Personal property produced or acquired during the course of this Agreement shall be disposed ofas directed by the owner at the owner’s expense.
USER represents that it owns and has full authority to transfer ownership and title to any
materials it supplies for the purpose of irradiation under this Agreement and those said materials
are free of any liens, claims of ownership, or other liabilities. Transfer of materials forirradiation and/or examination under this Agreement, shall constitute a transfer of title of said
materials from User to DOE upon delivery of the materials at the Nuclear Science User Facility
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After the material has been irradiated, transferred to an examination facility and extracted from theencapsulation and/or holders, the USER will be notified by the CONTRACTOR that the irradiatedmaterial is available for examination. The USER will have exclusive research rights to theirradiated material for a period of three (3) years from the date of notification. After the three (3)years, DOE and CONTRACTOR have full discretion to make the irradiated material available to
the general research community, maintain possession, transfer possession, or dispose of theirradiated material. DOE may transfer title to the material at its discretion.
ARTICLE VI: SCHEDULING***
USER understands that CONTRACTOR will have sole responsibility and discretion forallocating and scheduling usage of the User Facilities and equipment needed for or involved
under this Agreement.
ARTICLE VII: INDEMNITY AND LIABILITY***
A. Personnel Relationships - USER shall be responsible for the acts or omissions ofParticipants.
B. Product Liability - To the extent permitted by US and US State law, if USER utilizes thework derived from this Agreement in the making, using, or selling of a product, process
or service, then USER hereby agrees to hold harmless and indemnify CONTRACTOR
and the United States Government, their officers, agents and employees from any and all
liability, claims, damages, costs and expenses, including attorney fees, for injury to ordeath of persons, or damage to or destruction of property, as a result of or arising out ofsuch utilization of the work by or on behalf of USER, its assignees or licensees.
C. General Indemnity - To the extent permitted by US and US State law, USER hereby
agrees to indemnify and hold harmless CONTRACTOR and the United States
Government, their officers, agents and employees from any and all liability, claims,
damages, costs and expenses, including attorney fees, for injury to or death of persons, or
damage to or destruction of property, to the extent such liability, claims, or damages iscaused by or contributed to the negligence or intentional misconduct of USER or its
employees or representatives during the performance of the work under this Agreement.
D. Patent and Copyright Indemnity—Limited - To the extent permitted by US and US State
law, USER shall fully indemnify the Government and CONTRACTOR and their officers,
agents, and employees for infringement of any United States patent or copyright arising out of
any acts required or directed or performed by USER under the Agreement to the extent suchacts are not normally performed at the facility.

E. The liability and indemnity provisions in paragraphs B, C and D above shall not apply
unless USER shall have been informed as soon as practicable by CONTRACTOR or theGovernment of the suit or action alleging such infringement, and such indemnity shall not
apply to a claimed infringement that is settled without the consent of USER unless
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required by a court of competent jurisdiction.
F. General Disclaimer THE GOVERNMENT AND CONTRACTOR MAKE NO EXPRESS OR IMPLIEDWARRANTY AS TO THE CONDITIONS OF THE USER FACILITY FURNISHEDHEREUNDER. IN ADDITION, THE GOVERNMENT, CONTRACTOR AND USER
MAKE NO EXPRESS OR IMPLIED WARRANTY AS TO THE RESEARCH OR ANY
INTELLECTUAL PROPERTY, GENERATED INFORMATION, OR PRODUCTMADE OR DEVELOPED UNDER THIS AGREEMENT, OR THE OWNERSHIP,
MERCHANTABILITY, OR FITNESS FOR A PARTICULAR PURPOSE OF THE
RESEARCH OR RESULTING PRODUCT; THAT THE GOODS, SERVICES,
MATERIALS, PRODUCTS, PROCESSES, INFORMATION, OR DATA TO BE
FURNISHED HEREUNDER WILL ACCOMPLISH INTENDED RESULTS OR ARE
SAFE FOR ANY PURPOSE INCLUDING THE INTENDED PURPOSE; OR THATANY OF THE ABOVE WILL NOT INTERFERE WITH PRIVATELY OWNEDRIGHTS OF OTHERS. THE GOVERNMENT, CONTRACTOR AND/OR USERSHALL NOT BE LIABLE FOR SPECIAL, CONSEQUENTIAL, OR INCIDENTALDAMAGES ATTRIBUTED TO USE OF SUCH FACILITIES, RESEARCH OR
RESULTING PRODUCT, INTELLECTUAL PROPERTY, GENERATEDINFORMATION, OR PRODUCT MADE OR DELIVERED UNDER THISAGREEMENT.
ARTICLE VIII: PATENT RIGHTS***
A. Definitions
1. “Subject Invention” means any invention or discovery conceived or first actually reduced
to practice in the course of or under this Agreement.
2. "USER Invention" means any Subject Invention of USER.
3. “CONTRACTOR Invention” means any Subject Invention of CONTRACTOR.
4. "Patent Counsel" means the DOE Counsel for Intellectual Property assisting the DOE
Contracting activity.
B. Subject Inventions
CONTRACTOR and USER agree to disclose their Subject Inventions, which
includes any inventions of their Participants, to each other, concurrent with
reporting such Subject Inventions to DOE.
C. CONTRACTOR’s Rights
Except as provided below in the case of joint inventions, CONTRACTOR
Inventions will be governed by the provisions of CONTRACTOR’S Prime
Contract for operation of the User facility.
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D. USER’s Rights
Subject to the provisions herein, USER may elect title to any USER Invention andin any resulting patent secured by USER within one year of reporting the subject
invention to DOE. The USER shall file a US patent application within areasonable period of time. Where appropriate, the filing of patent applications by
USER is subject to DOE security regulations and requirements.
E. Joint Inventions
For Subject Inventions conceived or first actually reduced to practice under thisAgreement that are joint Subject Inventions made by CONTRACTOR and USER,
each Party shall have the option to elect and retain title to its undivided rights insuch joint Subject Inventions.
F. Rights of Government
1.

USER agrees to timely assign to the Government, if requested, the entire right, title, andinterest in any country to each USER Invention where USER:a.

Does not elect to retain such rights; orb.

Fails to timely have a patent application filed in that country on the USER Invention
or decides not to continue prosecution or not to pay the maintenance fees covering theInvention; orc.

At any time, no longer desires to retain title.

2. USER shall provide the Government a copy of any application filed by USER promptly
after such application is filed, including its serial number and filing date.
3. USER hereby grants to the Government a nonexclusive, nontransferable, irrevocable,
paid-up license to practice or have practiced for or on behalf of the United States the
USER Invention made under said project throughout the world.
4. USER acknowledges that the DOE has certain March-in Rights to any USER Inventions
elected by the USER in accordance with 48 C.F.R. 27.304-1(g) and that the USER is
subject to the requirements with respect to preference for U.S. industry pursuant to 35
U.S.C. § 204 to any USER Inventions elected by the USER.
5. The USER agrees to include, within the specification of any U.S. patent applications andany patent issuing thereon covering a USER Invention, the following statement: “TheGovernment has rights in this invention pursuant to a USER Agreement (specify number)
between (USER name) and (CONTRACTOR Name), which manages and operates (nameof Laboratory) for the US Department of Energy.”
6. USER agrees to submit on request periodic reports to DOE no more frequently thanannually on the utilization of USER Inventions or on efforts to obtain such utilization thatare being made by USER or its licensees or assignees.
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7. Facilities License: USER agrees to and does hereby grant to the Government anonexclusive, nontransferable, irrevocable, paid-up license in and to any inventions or
discoveries, regardless of when conceived or actually reduced to practice or acquired by
USER, which are incorporated in the User Facility as a result of this Agreement to suchan extent that the facility is not restored to the condition existing prior to the Agreement(1) to practice or to have practiced by or for the Government at the facility, and (2) totransfer such licenses with the transfer of that facility. The acceptance or exercise by theGovernment of the aforesaid rights and license shall not prevent the Government at any
time from contesting the enforceability, validity or scope of, or title to, any rights orpatents herein licensed.
G. Invention Report and Election
USER shall furnish the Patent Counsel a written report concerning each USER Invention
within six months after conception or first actual reduction to practice, whichever occurs
first. If USER wished to elect title to the Invention, a notice should be submitted with thereport or within one year of such date of reporting.

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ARTICLE IX: RIGHTS IN TECHNICAL DATA***
A. Definitions:
1. "Technical Data" means recorded information regardless of form or characteristic, of ascientific or technical nature. Technical Data as used herein does not include financial
reports, costs analyses, and other information incidental to Agreement administration.
2. "Proprietary Data" means Technical Data which embody trade secrets developed at
private expense, outside of this agreement, such as design procedures or techniques,chemical composition of materials, or manufacturing methods, processes, or treatments,
including minor modifications thereof, provided that such data:a.

Are not generally known or available from other sources without obligation
concerning their confidentiality.

b.

Have not been made available by the owner to others without obligation
concerning their confidentialityc.

Are not already available to the CONTRACTOR or the Government withoutobligation concerning their confidentiality.

d.

Are marked as “Proprietary Data.”

3. "Unlimited Rights" means right to use, duplicate, or disclose Technical Data, in whole orin part, in any manner and for any purpose whatsoever, and to permit others to do so.
B. Allocation of Rights
1. The Government shall have Unlimited Rights in Technical Data first produced or
specifically used in the performance of this Agreement except as otherwise provided inthis Agreement.
2. USER shall have the right to use for its private purposes, subject to patent, security orother provisions of this Agreement, Technical Data it first produces in the performance of
this Agreement provided the data delivery requirements of this Agreement have been met
as of the date of the private use of such data; and Technical Data first produced by
CONTRACTOR, if any, under this Agreement. USER agrees that to the extent it
receives or is given access to Proprietary Data or other technical, business or financial
data in the form of recorded information from DOE or a DOE contractor or
subcontractor, USER shall treat such data in accordance with any restrictive legend
contained thereon, unless use is specifically authorized by prior written approval of theContracting Officer.
C. Deliverables
1. USER agrees to furnish to DOE or CONTRACTOR those data, if any, whichare (a) specified to be delivered in Appendices, (b) essential to theperformance of work by CONTRACTOR personnel or (c) necessary for thehealth and safety of such personnel in the performance of the work. Any data
furnished to DOE or CONTRACTOR shall be deemed to have been delivered
with unlimited rights unless marked as "Proprietary Data" of USER.
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2. Upon completion or termination of the project, USER agrees to deliver to
DOE and CONTRACTOR a nonproprietary report describing the work
performed under this Agreement.
D. Legal Notice
The following legal notice shall be affixed to each report or publication resulting
from this Agreement which may be distributed by USER:DISCLAIMER NOTICEThis document was prepared by as a result of the use of facilities provided
through the U.S. Department of Energy (DOE) Nuclear Science User Facilities
program, which is managed by Battelle Energy Alliance, LLC, acting underContract No.DE-AC-07-05ID14517. Neither Battelle Energy Alliance, LLC, DOE,
the U.S. Government, nor any government contractors, nor other persons andfacilities performing work under this Agreement or acting on behalf of any of theabove: (a) make any warranty or representation, express or implied, with respect tothe information contained in this document; or (b) assume any liabilities withrespect to the use of, or damages resulting from the use of any information
contained in the document.
E. Copyrighted Material
1. USER agrees to, and does hereby grant to the Government, and to its officers, agents,
servants and employees acting within the scope of their duties:
a. A royalty-free, nonexclusive, irrevocable license to reproduce, translate,publish, use, and dispose of and to authorize others so to do, allcopyrightable material first produced or composed in the performance of
this Agreement by USER, its employees or any individual or concern
specifically employed or assigned to originate and prepare such material;andb. A license as aforesaid under any and all copyrighted or copyrightable works not
first produced or composed by USER in the performance of this Agreement but which
are incorporated in the material furnished or delivered under the Agreement, provided
that such license shall be only to the extent USER now has, or prior to completion or
final settlement of the Agreement may acquire, the right to grant such license without
becoming liable to pay compensation to others solely because of such grant.
2. USER agrees that it will not knowingly include any copyrightable material furnished ordelivered under this Agreement without a license as provided for in subparagraph 1(b)hereof, or without the consent of the copyright owner, unless it obtains specific written
approval of the Contracting Officer for the inclusion of such copyrighted materials.
F. Disclosure of Proprietary Data
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In the absence of a properly executed and effective non-disclosure agreement between
USER and CONTRACTOR, the USER shall not bring Proprietary Data into the USER
facility except at USER’s own risk and any such data, regardless how it is marked, shallbe deemed Technical Data and shall be treated according to this article of this Agreement.
ARTICLE X: LABORATORY SITE ACCESS, SAFETY AND HEALTH***As a precondition to using CONTRACTOR facilities, Participants must complete all CONTRACTOR
Site Access documents and requirements. USER and participant shall take all reasonable precautions in
activities carried out under this Agreement to protect the safety and health of others and to protect theenvironment. Participants must comply with all applicable safety, health, access to information, security
and environmental regulations and the requirements of the Department and CONTRACTOR, including
the specific requirements of the User Facility covered by this Agreement. In the event that USER or
Participant fails to comply with said regulations and requirements, CONTRACTOR may, without
prejudice to any other legal or contractual rights, issue and order stopping all or any part of USER’s
activities at the User Facility.

Article XI: PERSONNEL RELATIONSHIPS***
Participants will remain employees or representatives of the USER at all times during their
participation in the work under this Agreement and shall not be considered employees of
CONTRACTOR or DOE for any purpose. Participants shall be subject to the administrative andtechnical supervision and control of CONTRACTOR during and in connection with theParticipant’s activities under this Agreement.
ARTICLE XII: EXPORT CONTROLS***
USER acknowledges that the export of goods or Technical Data may require some form ofexport control license from the U.S. Government and that failure to obtain such export control
license may result in criminal liability under the laws of the United States.
ARTICLE XIII: PUBLICATIONS***
A. USER and CONTRACTOR will provide each other copies of articles of any publicationof information generated pursuant to this Agreement for review and comment fourteen(14) days prior to publication.
B. USER will not use the name of CONTRACTOR or the United States
Government or their employees in any promotional activity, such as
advertisements, with reference to any product or service resulting from thisAgreement, without prior written approval of the Government andCONTRACTOR.
ARTICLE XIV: DISPUTES***The parties will attempt to jointly resolve all disputes arising under this agreement. If the parties
are unable to jointly resolve a dispute within a reasonable period of time, either party may
contact the laboratory's Technology Transfer Ombudsman (TTO) to provide assistance. The
TTO may work directly to resolve the dispute or, upon mutual agreement of the parties, contact athird-party neutral mediator to assist the parties in coming to a resolution. The costs of themediator's services will be shared equally by the parties. In the event that an agreement is not
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reached with the aid of the ombudsman or mediator, the parties may agree to have the disputeaddressed by neutral evaluation. The decision rendered by the neutral evaluator shall benonbinding on the parties, and any costs incurred there from shall be divided equally between theparties. Upon mutual agreement, the parties may request a final decision by the DOE
Contracting Officer. Absent resolution, either party may seek relief in a court of competentjurisdiction.
ARTICLE XV: CONFLICT OF TERMS***
This Agreement constitutes the primary document which governs the work described in theattached Appendices. In the event of any conflict between the terms of this document and anyother document issued by either Party, the terms of this document shall prevail.
ARTICLE XVI: TERMINATION***
Either Party may terminate this Agreement for any reason at any time by giving not less than
thirty (30) days prior written notice to the other Party. Notice will be deemed made as of the dayof receipt. The obligations of any clause of this Agreement, which by their nature extend beyond
its termination, shall remain in full force and effect until fulfilled.

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BATTELLE ENERGY ALLIANCE, LLC (CONTRACTOR):

BY:_________________________________________
Signature

NAME:________________________________________
PrintedTITLE:

Deputy Laboratory Director, Science & Technology

DATE:____________________

User’s Formal Name (USER):
BY:________________________________________
Signature

NAME:________________________________________
PrintedTITLE:___________________________________________________________DATE:_________________ADDRESS:____________________________________________________________TELEPHONE:__________________

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User Principal Investigator Acknowledgment

I, XXXXXXXX, have read and hereby acknowledge the above terms and conditions.
BY:________________________________________
Signature

TITLE:____________________________________________________________DATE:__________________ADDRESS:____________________________________________________________TELEPHONE: __________________*** Any changes to the *** or substantive changes to the non *** provisions will require
formal written approval by DOE.

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