DE-FOA-0003254 amendment 000001.pdf

DEPARTMENT OF ENERGY (DOE)

OFFICE OF SCIENCE (SC)

FUSION ENERGY SCIENCES (FES)

RESEARCH IN BASIC PLASMA SCIENCE AND ENGINEERING

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) NUMBER:

DE-FOA-0003254

FOA TYPE: AMENDMENT 000001

CFDA NUMBER: 81.049

FOA Issue Date: January 9, 2024 Submission Deadline for Pre-Applications: February 9, 2024 at 5 PM Eastern Time

A Pre-Application is required Pre-Application Response Date: February 19, 2024 at 5 PM Eastern Time Submission Deadline for Applications: March 29, 2024 at 11:59 PM Eastern Time

This amendment is issued to revise the maximum funding that may be requested by a multi-institutional team.

Table of Contents

SECTION I – FUNDING OPPORTUNITY DESCRIPTION

SECTION II – AWARD INFORMATION

II.A. TYPE OF AWARD INSTRUMENT

II.B. ESTIMATED FUNDING

II.C. MAXIMUM AND MINIMUM AWARD SIZE

II.D. EXPECTED NUMBER OF AWARDS

II.E. ANTICIPATED AWARD SIZE

II.F. PERIOD OF PERFORMANCE

II.G. TYPE OF APPLICATION

SECTION III – ELIGIBILITY INFORMATION

III.A. ELIGIBLE APPLICANTS

III.B. COST SHARING

III.C. ELIGIBLE INDIVIDUALS

III.D. LIMITATIONS ON SUBMISSIONS

SECTION IV – APPLICATION AND SUBMISSION INFORMATION

IV.A. ADDRESS TO REQUEST APPLICATION PACKAGE

IV.B. LETTER OF INTENT (LOI) AND PRE-APPLICATION

IV.C. GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES

IV.D. CONTENT AND APPLICATION FORMS

IV.E. SUBMISSIONS FROM SUCCESSFUL APPLICANTS

IV.F. SUBMISSION DATES AND TIMES

SECTION V - APPLICATION REVIEW INFORMATION

V.A. CRITERIA

V.B. REVIEW AND SELECTION PROCESS

V.C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES

SECTION VI – AWARD ADMINISTRATION INFORMATION

VI.A. AWARD NOTICES

VI.B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

VI.C. REPORTING

VI.D. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY AND

PERFORMANCE (DECEMBER 2015)

VI.E. INTERIM CONFLICT OF INTEREST POLICY FOR FINANCIAL ASSISTANCE...37

SECTION VII - QUESTIONS/AGENCY CONTACTS

VII.A. QUESTIONS

VII.B. AGENCY CONTACTS

SECTION VIII – SUPPLEMENTARY MATERIAL

VIII.A. HOW-TO GUIDES

VIII.B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

VIII.C. REFERENCE MATERIAL

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UPDATES AND REMINDERS

RECOMMENDATION

The Department of Energy (DOE) Office of Science (SC) encourages you to register in all systems as soon as possible. You are also encouraged to submit letters of intent (LOIs), pre-applications, and applications well before the deadline.

PROMOTING INCLUSIVE AND EQUITABLE RESEARCH (PIER) PLAN

All new and renewal applications must provide a Promoting Inclusive and Equitable Research (PIER) Plan as an appendix to the project narrative. Please read the instructions in Section IV and the associated review criteria in Section V.

INTERAGENCY FORMATS FOR CURRENT AND PENDING SUPPORT AND BIOGRAPHICAL SKETCHES

Interagency common instructions for preparing current and pending support and biographical sketches are being developed. The Science Experts Network Curriculum Vitae (SciENcv) system at https://www.ncbi.nlm.nih.gov/sciencv/ will be updated to support the forthcoming common instructions and formats. The fillable PDFs provided by the National Science Foundation at https://nsf.gov/bfa/dias/policy/nsfapprovedformats/ are no longer available. When interagency common formats and instructions are promulgated, their use will be required. SC strongly encourages all researchers to use the online SciENcv system to ensure that their documents are prepared in the appropriate format with the least inconvenience.

INDIVIDUALS WHO SHOULD NOT SERVE AS MERIT REVIEWERS

Follow the updated instructions in Section VIII and consider the use of the Collaborator Template available at https://science.osti.gov/grants/Policy-and-Guidance/Agreement-Forms. Do not include this list as part of the biographical sketch.

LIVING WAGES

SC is committed to ensuring that students, trainees, and postdoctoral fellows are paid a fair and equitable wage sufficient to allow a reasonable standard of living. Applicant institutions are strongly encouraged to examine their institutional pay scales to ensure that all personnel earn a living wage. The provision of fellowships, traineeships, stipends, honoraria, subsistence allowances, and other similar payments may be allowable expenses on SC financial assistance awards, per 2 CFR 200.430, § 200.431, and § 200.466. For graduate students, SC considers a reasonable living wage to be an annual income of $45,000, excluding benefits.

https://www.ncbi.nlm.nih.gov/sciencv/ https://nsf.gov/bfa/dias/policy/nsfapprovedformats/biosketch.pdf https://science.osti.gov/grants/Policy-and-Guidance/Agreement-Forms ii

SC STATEMENT OF COMMITMENT

The DOE SC is fully and unconditionally committed to fostering safe, diverse, equitable, and inclusive work, research, and funding environments that value mutual respect and personal integrity. SC is committed to advancing belonging, accessibility, justice, equity, diversity, and inclusion across the portfolio of activities we sponsor. SC’s effective stewardship and promotion of safe, accessible, diverse, and inclusive workplaces that value and celebrate the diversity of people, ideas, cultures, and educational backgrounds across the country and that foster a sense of belonging in our scientific community is foundational to delivering on our mission. We are committed to promoting people from all backgrounds, including individuals and communities that were historically underrepresented and minoritized in science, technology, engineering, and math (STEM) fields and the activities we sponsor in recognition of our responsibility to serve the public. We also recognize that harnessing a broad range of views, expertise, and experiences drives scientific and technological innovation and enables the SC community to push the frontiers of scientific knowledge for U.S. prosperity and security. Discrimination and harassment undermine SC’s ability to achieve its mission by reducing productivity, discouraging, or inhibiting talent retention and career advancement, and weakening the integrity of the SC enterprise overall. SC does not tolerate discrimination or harassment of any kind, including sexual or non-sexual harassment, bullying, intimidation, violence, threats of violence, retaliation, or other disruptive behavior at institutions receiving SC funding or other locations where activities funded by SC are carried out. All applicants and collaborators should familiarize themselves with the SC Statement of Commitment available at https://science.osti.gov/SW- DEI/SC-Statement-of-Commitment.

UPDATING YOUR PORTFOLIO ANALYSIS AND MANAGEMENT SYSTEM (PAMS) PROFILE

All applicants are encouraged to update their profiles in the PAMS website at https://pamspublic.science.energy.gov regularly, at least annually, to ensure SC has your most up to date information. The PAMS profile now requires that individuals provide responses to the demographic related fields. SC strongly encourages personnel at applicant and recipient institutions, including Principal Investigators (PIs), Co-PIs, and other Key Personnel, to provide their demographic information. By providing your demographic information, you are assisting with SC’s continued commitment to advancing diversity, equity, and inclusion in its business practices. Alternatively, for information you wish not to disclose, please select, “Do not wish to provide.” Your individual demographic information will not be shared with peer reviewers and the information in your PAMS profile is protected by the requirements established in the Federal Privacy Act of 1974. Aggregate, anonymized demographic information may be shared with confidential review committees who are charged with evaluating the quality and efficacy of SC’s business practices. For example, summary statistics of all applicants to or award selections from a particular SC FOA may be reviewed by a Committee of Visitors.

PORTABLE DOCUMENT FORMAT (PDF) GENERATION

The project narrative in an application must be one single machine-readable PDF file that contains the DOE Title Page, project narrative, all required appendices, and other attachments.

This single PDF file may not be scanned from a printed document and must be attached in Field https://science.osti.gov/SW-DEI/SC-Statement-of-Commitment https://science.osti.gov/SW-DEI/SC-Statement-of-Commitment https://pamspublic.science.energy.gov/ iii

8 on the Grants.gov form. This must be a plain PDF file consisting of text, numbers, and images without editable fields, signatures, passwords, redactions, or other advanced features available in some PDF-compatible software. The project narrative will be read by SC staff using the full version of Adobe Acrobat: Please ensure that the narrative is readable in Acrobat. If combining multiple files into one research narrative, ensure that a PDF portfolio or binder is not created. If creating PDF files using any software other than Adobe Acrobat, please use a “Print to PDF” or equivalent process to ensure that all content is visible in the project narrative. Once a project narrative has been assembled, please submit the combined project narrative file through a “Print to PDF” or equivalent process to ensure that all content is visible in one PDF file that can be viewed in Adobe Acrobat. Review your submission to ensure that blank pages are not present.

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Checklist for Avoiding Common Errors:

Item Issue Applications Submitted to Grants.gov. Do not submit applications in PAMS or FedConnect.

Grants.gov Submission Ensure that applications are submitted under the correct Opportunity Number.

Standard Form (SF)-424 Research and Related (R&R):

- Attach nothing to field 20

- Attach nothing to field 21

SF-424 Research and Related Other Project Information form:

- Attach the abstract to field 7

- Attach the project narrative, with all appendices, to field 8

- Attach nothing to field 9

- Attach nothing to field 10

- Attach nothing to field 11

- Attach the list of individuals who should not serve as merit reviewers (Collaborator Template) to field 12

- Do not attach other files to field 12

- NOTE: Files attached to field 12 will not be shared with merit reviewers.

Pre-Applications

- Submit your pre-application in PAMS.

- Do not submit your pre-application to

Grants.gov.

- Do not attach your pre-application to the

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

- Follow the instructions in Section IV for the preparation of a pre-application.

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

- Project narrative and appendices

- Biographical sketches

- Data Management Plans (DMPs)

- Promoting Inclusive and Equitable

Research (PIER) Plan

- Letter(s) of Collaboration or Access, if any

Personally Identifiable Information - None present in the application Project Narrative Composed of one PDF file including all appendices (bibliography, facilities, equipment, DMP, PIER) v

Item Issue Project Summary / Abstract Name of PI, PI’s institutional affiliation(s), Co-Investigator(s), Co-Investigator’s institutional affiliation(s)

DOE Title Page Follow instructions closely Budget Use current negotiated indirect cost and fringe benefit rates Budget Justification (attached to budget) Justify all requested costs Biographical Sketches Follow page limits strictly and do not include list of collaborators. Attach the biographical sketch to the Senior/Key Person Profile (Expanded) Form.

Current and Pending Support Ensure complete listing of all activities, regardless of source of funding. Attach the current and pending support to the Senior/Key Person Profile (Expanded) Form.

List of Individuals who Should not Serve as Merit Reviews

Attach to field 12 of the SF-424 Research and Related Other Project Information form.

Data Management Plans (DMP) - If referring to an experiment’s DMP, describe the relationship to the proposed research.

- Include a DMP even if no experimental data is expected.

Promoting Inclusive and Equitable Research (PIER) Plan

- PIER Plans are required for new and renewal applications.

Section I – FUNDING OPPORTUNITY DESCRIPTION

GENERAL INQUIRIES ABOUT THIS FOA SHOULD BE DIRECTED TO:

Technical/Scientific Program Contact:

Dr. Nirmol Podder 301-903-9536 Nirmol.Podder@science.doe.gov

Administrative Contact (questions about budgets and eligibility):

Ms. Marty Carlin

301-903-3287 Marty.Carlin@science.doe.gov

STATUTORY AUTHORITY

Section 646 of Public Law 95-91, U.S. Department of Energy Organization Act Section 901, et seq. of Public Law 109-58, Energy Policy Act of 2005

APPLICABLE REGULATIONS

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal

Awards, codified at 2 CFR 200 U.S. Department of Energy Financial Assistance Rules, codified at 2 CFR 910 U.S. Department of Energy, Office of Science Financial Assistance Program Rule, codified at 10

CFR 605

SUMMARY

The DOE SC program in Fusion Energy Sciences (FES) hereby announces its interest in receiving new or renewal single-investigator or small-group research applications from universities and non-profit organizations to carry out frontier-level research in basic plasma science and engineering. The FES Discovery Plasma Science: Plasma Science and Technology– General Plasma Science (GPS) program supports research at the frontiers of basic and low temperature plasma science. This includes: (i) dynamical processes in laboratory, space, and astrophysical plasma, such as magnetic reconnection, plasma dynamo, shocks, turbulence cascade, structures, waves, flows and their interactions; (ii) behavior of dusty plasma, non-neutral, single-component matter or antimatter plasma, and ultra-cold neutral plasma; and (iii) plasma chemistry and processes in low temperature plasma, interfacial plasma, and interaction of plasma with materials and/or biomaterials. Through the support of this research, the FES GPS Program plays a key role in training the next generation of plasma scientists and engineers.

SUPPLEMENTARY INFORMATION

Principal Investigators (PIs) from universities and non-profit organizations are encouraged to choose their best research idea and develop it into a well-focused, well-organized, clearly written mailto:Nirmol.Podder@science.doe.gov mailto:Marty.Carlin@science.doe.gov application with timeline and milestones.

Program Objective

The objective of this FOA is to provide research opportunities to single investigators or small-group researchers from universities and non-profit organizations, with an aim to expand current knowledge or explore new frontiers of knowledge leading to significant advances in the fundamental understanding of basic plasma science and engineering. For more information, see National Academies of Science, Engineering, and Medicine Plasma 2020 Decadal Survey, FESAC Long Range Plan 2020, and Community Planning Process (CPP) Report 2019-2020.

Research projects are generally expected to support students, postdocs, or individuals from diverse backgrounds, including individuals historically underrepresented in the research community.

Description of Topical Areas

The specific areas of interest for this FOA are the following:

1. Dynamical Processes in Plasma

Specific areas of interest include but are not limited to understanding: (1) the onset of magnetic reconnection and trigger mechanisms for explosive instabilities in nature (solar flares, geomagnetic storms) and in the laboratory; (2) plasma dynamo processes by which magnetic fields are generated in the laboratory and nature; (3) mechanisms by which energy is transferred between fields, flows, and particles; and (4) how energy is partitioned in various forms (thermal, magnetic, turbulent).

Integrated research projects, involving detailed laboratory experiments or data, advanced modeling or simulation, and observation data from one or more advanced spacecraft or satellite missions including the National Aeronautics and Space Administration (NASA) Magnetospheric Multiscale Mission (MMS), Parker Solar Probe, are encouraged.

2. Nonneutral, Ultracold Neutral, and Dusty Plasma Physics

Specific areas of interest include but are not limited to understanding: (1) trapped antimatter plasmas to probe the symmetries of nature and recreate the conditions of exotic astrophysical plasmas; (2) how coherent structures are created through the electrical self-fields of the plasma and its interactions with waves; and (3) strongly coupled dusty plasmas and/or other properties of dust particles in space or fusion-relevant plasmas.

Integrated research projects, combining precision measurements, theory and modeling, and/or providing a test for theoretical models, are encouraged.

3. Low Temperature Plasma Processes

Specific areas of interest include but are not limited to: (1) innovative, predictive control and manipulation of plasma kinetics and energy distribution functions; (2) understanding underlying mechanisms and plasma interactions with liquid, pathogens, and biomaterials through activated surface processes and chemical reactions; and (3) the predictive understanding of self-organization or pattern formation in plasmas interacting with surfaces.

Integrated research projects, combining detailed laboratory experiments or data, theory, and advanced modeling or simulation, are encouraged.

References

1. Plasma Science: Enabling Technology, Sustainability, Security, and Exploration – A

NASEM Consensus Study Report, 2021

2. Powering the Future: Fusion & Plasmas - A Report of the Fusion Energy Sciences Advisory

Committee, 2020

3. A Community Plan for Fusion Energy and Discover Plasma Sciences, 2019-2020

4. Plasma: at the frontier of scientific discovery – A report of the FES Panel on Frontiers of

Plasma Science, 2016

5. A list of FES GPS Program funded Collaborative Research Facilities is available upon request. Inquiries should be sent to the program contact listed on this FOA.

Open Science

SC is dedicated to promoting the values of openness in Federally supported scientific research, including, but not limited to, ensuring that research may be reproduced and that the results of Federally supported research are made available to other researchers. These objectives may be met through any number of mechanisms including, but not limited to, data access plans, data sharing agreements, the use of archives and repositories, and the use of various licensing schemes.

The use of the phrase “open-source” does not refer to any particular licensing arrangement but is to be understood as encompassing any arrangement that furthers the objective of openness.

Guidance for Application Budgets and Costs

All costs requested in a budget must adhere to standard requirements for all Federal awards:

• Costs must be reasonable, using a prudent-person standard. (2 CFR 200.404),

• Costs must be allocable, related to the particular Federal award. (2 CFR 200.405),

• Costs must be allowable under the relevant Federal cost principles. (See 2 CFR 200.420 and following), and

• Costs must be consistently treated, whether they are paid for with Federal funds or institutional funds. (2 CFR 200.403(c)).

Allowable costs may include, but are not limited to, the following, subject to the applicable cost principles:

• “Buying out” faculty time dedicated to teaching or administrative responsibilities,

• Support for administrative personnel dedicated to the proposed activity,

• Support for professional development, training, mentoring of students and junior researchers, https://www.nap.edu/read/25802/chapter/1 https://science.osti.gov/-/media/fes/fesac/pdf/2020/202012/FESAC_Report_2020_Powering_the_Future.pdf https://drive.google.com/file/d/1w0TKL_Jn0tKUBgUc8RC1s5fIOViH5pRK/view https://science.osti.gov/-/media/fes/pdf/program-news/Frontiers_of_Plasma_Science_Final_Report.pdf?la=en&hash=85B22EBF1CF773FFC969622524D603D755881999 https://science.osti.gov/-/media/fes/pdf/program-news/Frontiers_of_Plasma_Science_Final_Report.pdf?la=en&hash=85B22EBF1CF773FFC969622524D603D755881999

• Travel to meet with collaborators at other institutions and relevant DOE/NNSA national laboratories, including costs for internships at the national laboratories; or to attend one or more science team, user facility, scientific conference, workshop, or professional society meetings relevant to the proposed research; or for the conduct of off-site research,

• Fringe benefits, which must be paid in accordance with an institution’s negotiated rates agreement, institutional policies, and the individual’s appointment,

• Temporary dependent-care costs incurred during travel,

• Membership costs in relevant professional societies, including both scientific societies and those dedicated to research administration,

• Instrumentation required to conduct proposed research,

• Equipment (items with a useful life of more than 12 months and a per-item acquisition cost of more than $5,000) required to conduct proposed research,

• Purchase of equipment, modification of equipment, or provision of services necessary to enable work to be carried out by project personnel with a disability,

• Stipends and benefits for students and post-doctoral researchers, recognizing their dual nature as both trainees and employees,

• Participation in standards development relevant to the proposed research, including travel and membership costs,

• Salary support to cover time to participate in outreach for recruitment, internships, and training events, science team meetings, partnership development, or information gathering, and

• Other direct costs, e.g., materials and supplies such as office supplies, desktop, or laptop computer, and/or software licenses that are directly necessary to enable the proposed activities.

Multi-Project Applications

SC permits applications that span multiple research areas described in this FOA, including applications that span multiple programs or that involve multiple sub-projects or tasks. If proposing such an application:

• Ensure that the application describes an integrated and synergistic research effort. Do not propose an unconnected agglomeration of discrete research efforts.

• Provide a description of the management of the overall research effort.

• Organize the narrative portion of the application by the topics, thrusts, programs, projects, or tasks.

• Provide both a summary budget and a budget for each topic, thrust, program, project, or task, using the Research & Related Subaward Budget Attachment(s) Form to provide the multiple budgets by identifying the budget type as being for a “project.” If required by your system-to-system software, the budgets may be identified as “subawards” from the same institution as the summary budget.

Multi-Institutional Teams

SC uses two different mechanisms to support teams of multiple institutions.

COLLABORATIVE APPLICATIONS

Teams of multiple institutions may submit collaborative applications. Each submitted application in such a team must indicate that it is part of a collaborative project/group. Every partner institution must submit an application through its own sponsored research office. Each multi-institutional team can have only one lead institution. Each application within the multi-institutional team, including the narrative, starting with the title page, and all required appendices and attachments, must be identical with the following exceptions:

• Each application must contain a correct SF-424 (R&R)1 cover page for the submitting institution only.

• Each application must contain a unique budget corresponding to the expenditures for that application’s submitting institution only.

• Each application must contain a unique budget justification corresponding to the expenditures for that application’s submitting institution only.

• Each application must contain a Project/Performance Site Location(s) form for the submitting institution and its subawards.

• Each application must include a list for the Identification of Merit Review Conflicts for the submitting institution’s senior/key personnel and its subawards’ senior/key personnel.

• Each application must include a Research and Related Senior/Key Person Profile (Expanded) form with the biographical sketches and current and pending support from that institution’s senior/key personnel. The applicant leading the multi-institutional team must include biographical sketches and current and pending support from each institution’s senior/key personnel.

Our intent is to create from the various applications associated with a multi-institutional team one document for merit review that consists of the common, identical materials combined with a set of detailed budgets from the partner institutions. Each team member’s application must contain the same project title. Team members may use Grants.gov Workspace(s), webforms, and their system-to-system services in any combination.

SUBAWARDS2

Multi-institutional teams may submit one application from a designated lead institution with all other team members proposed as subrecipients.

DOE/National Nuclear Security Administration (NNSA) National Laboratories3, other Federal agencies, and another Federal agency’s FFRDCs4 are not eligible under this FOA.

1 The Standard Form 424 (SF-424) family of forms is used to apply for Federal financial assistance through https://www.Grants.gov. The Research and Related (R&R) set of forms is used by the Office of Science.

2 Subawards are made to subrecipients. Both terms are defined in 2 CFR 200.1 (https://www.ecfr.gov) 3 The phrase “National Laboratories” is used broadly to encompass DOE/NNSA laboratories and sites capable of performing the work described in this FOA and capable of receiving funds through the DOE Field Work System.

4 An authoritative list of all Federally Funded Research and Development Centers (FFRDCs) may be found at https://www.nsf.gov/statistics/ffrdclist/ https://www.grants.gov/ https://www.ecfr.gov/ https://www.nsf.gov/statistics/ffrdclist/

DISTINGUISHING BETWEEN COLLABORATIVE APPLICATIONS AND SUBAWARDS

The following points of advice to applicants may be helpful:

1. Both collaborative applications and proposed subawards are methods by which multiple institutions can work together to reach the scientific objectives described in this FOA.

Choose the appropriate structure based on the nature of the scientific work being proposed. If multiple institutions will be functioning as a network of peer-level researchers, a collaborative structure would be more appropriate. If multiple institutions will be functioning with leadership and direction coming from one institution, a subaward arrangement would be more appropriate.

a. Collaborative applications are assembled from multiple identical applications submitted by the proposing institution. Such applications may be submitted under this FOA in Grants.gov. The multiple applications will be assembled into one joint collaborative application, which will be merit-reviewed as one document, with recommendations to fund or decline the application made at the level of each independent application.

b. Subawards exist when multiple institutions work together to submit one application with a designated prime recipient and multiple potential subrecipients.

c. DOE/NNSA National Laboratories, other Federal agencies, and another Federal agency’s FFRDCs may be proposed as subrecipients, but the value of any such proposed subaward may be removed from any such prime award: DOE will often make separate awards to Federally affiliated institutions.

2. A well-thought-out research plan and its associated budget(s) should leave no confusion about which institution will do which parts of the research.

Section II – AWARD INFORMATION

II.A. TYPE OF AWARD INSTRUMENT

DOE anticipates awarding grants under this FOA.

DOE will consider funding multi-institution teams submitted as collaborative applications, in which each institution must submit its own application with an identical common research narrative, under this FOA. Alternately, multi-institutional teams may choose to apply using a prime and subaward model with one application submitted by the lead institution.

Statement of Substantial Involvement

Not applicable.

II.B. ESTIMATED FUNDING

DOE anticipates that, subject to the availability of current and future year appropriations, a total of $5 million in current and future fiscal year funds will be used to support awards under this

FOA.

Research Grant Awards (single-investigator or small-group projects) are expected to be made for a period of three years (an additional year may be requested when an extensive research scope is sufficiently justified) at a funding level appropriate for the proposed scope, with out-year support contingent on the availability of funds and satisfactory progress.

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

II.C. MAXIMUM AND MINIMUM AWARD SIZE

(See B. Estimated Funding above.)

The award size will depend on the number of meritorious applications and the availability of appropriated funds.

A multi-institutional team, whether applied for as a prime applicant with subawards or as collaborative applications, is limited to a request of no more than $770,000 for 3 years.

The ceiling and floor specified below are for total costs, both direct and indirect costs.

Ceiling

Previously, an average award for a project (counting both small-group and single investigator projects) under this program has been $770,000 for three years. Requests for budget amounts larger than this average award size for a project require sufficient justification.

Floor

$100,000 per year

II.D. EXPECTED NUMBER OF AWARDS

(See B. Estimated Funding above.)

The exact number of awards will depend on the number of meritorious applications and the availability of appropriated funds.

II.E. ANTICIPATED AWARD SIZE

(See B. Estimated Funding above.)

The award size will depend on the number of meritorious applications and the availability of appropriated funds.

II.F. PERIOD OF PERFORMANCE

(See B. Estimated Funding above.)

DOE anticipates making awards with a project period of 3 years.

Continuation funding (funding for the second and subsequent budget periods) is contingent on:

(1) availability of funds appropriated by Congress and future year budget authority; (2) progress towards meeting the objectives of the approved application; (3) submission of required reports;

and (4) compliance with the terms and conditions of the award.

II.G. TYPE OF APPLICATION

DOE will accept new or renewal applications under this FOA. Information about how to distinguish between new and renewal applications is located in Section VIII.

Section III – ELIGIBILITY INFORMATION

III.A. ELIGIBLE APPLICANTS

In order to solicit applications from those institutions with the greatest history of successful basic and fundamental research in plasma sciences, and in accordance with 2 CFR 910.126, Competition, eligibility for award is restricted to domestic institutions of higher education and non-profit organizations, except nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995.

Federally affiliated5 entities must adhere to the eligibility standards below:

III.A.1. DOE/NNSA National Laboratories

DOE/NNSA National Laboratories are neither eligible to submit applications under this FOA nor to be proposed as subrecipients under another organization’s application.

III.A.2. Non-DOE/NNSA FFRDCs

Non-DOE/NNSA FFRDCs are neither eligible to submit applications under this FOA nor to be proposed as subrecipients under another organization’s application.

III.A.3. Other Federal Agencies

Other Federal Agencies are neither eligible to submit applications under this FOA nor to be proposed as subrecipients under another organization’s application.

Notes for applicants of all types:

• Individual applicants are unlikely to possess the skills, abilities, and resources to successfully accomplish the objectives of this FOA. Individual applicants are encouraged to address this concern in their applications and to demonstrate how they will accomplish the objectives of this FOA.

• This FOA seeks to support basic research to advance understanding rather than to develop the applications of basic research and address commercial opportunities. Proposals that propose investigations related to the applications of basic research, current commercial activity, or current customer needs may be declined without merit review.

III.B. COST SHARING

Cost sharing for basic and fundamental research is not required pursuant to an exclusion from the requirements of Section 988 of the Energy Policy Act of 2005.

5 Institutions that are not DOE/NNSA National Laboratories, a non-DOE/NNSA FFRDC, or another Federal agency are not Federally affiliated, even if they receive Federal funds or perform work under a Federal award or contract.

Cost sharing will not be considered as a factor during merit review or award selection.

III.C. ELIGIBLE INDIVIDUALS

Individuals with the skills, knowledge, and resources necessary to carry out the proposed research as a Principal Investigator (PI) are invited to work with their organizations to develop an application. Individuals from underrepresented groups as well as individuals with disabilities are always encouraged to apply.

III.D. LIMITATIONS ON SUBMISSIONS

Applicant institutions are limited to no more than 2 pre-applications and 2 lead applications, and PIs may only be named on no more than one pre-application or lead application.

If a multi-institutional team is submitting collaborative applications, only the lead institution should submit a pre-application that should include all institutions, institutional Co-PIs, and all other personnel and relevant information.

DOE will consider the latest received submissions to be the institution’s intended submissions.

• Pre-applications in excess of the limited number of submissions will be discouraged.

• Applications in excess of the limited number of submissions will be declined without review.

LIMITATIONS ON PI

The PI on a pre-application or application may also be listed as a senior or key personnel, including in any role on a proposed subaward, on an unlimited number of separate submissions.

Section IV – APPLICATION AND SUBMISSION INFORMATION

IV.A. ADDRESS TO REQUEST APPLICATION PACKAGE

Application forms and instructions are available at Grants.gov. To access these materials, go to https://www.Grants.gov, select “Search Grants”, and then enter the Catalog of Federal Domestic Assistance (CFDA) number (81.049) and/or the FOA number shown on the cover of this FOA.

Select the “Apply” button to access the application package.

Applications submitted through www.FedConnect.net will not be accepted. Applications may not be submitted through PAMS at https://pamspublic.science.energy.gov.

IV.B. LETTER OF INTENT (LOI) AND PRE-APPLICATION

IV.B.1. Letter of Intent (LOI)

Not applicable.

IV.B.2. Pre-application

PRE-APPLICATION DUE DATE

The pre-application due date is printed on the cover of the FOA.

ENCOURAGE/DISCOURAGE DATE

The pre-application response date is printed on the cover of the FOA.

A pre-application is required and must be submitted by the date indicated on the cover of the

FOA.

Pre-applications will be reviewed for responsiveness of the proposed work to the research topics identified in this FOA and for all required information. DOE will send a response by email to each applicant encouraging or discouraging the submission of an application by the date indicated on the cover of the FOA. Applicants who have not received a response regarding the status of their pre-application by this date are responsible for contacting the program to confirm this status.

If a multi-institutional team is submitting collaborative applications, only the lead institution should submit a pre-application that should include all institutions, institutional Co-PIs, and all other personnel and relevant information.

Applications that have not been encouraged by DOE may be declined without merit review.

The pre-application must include, at the top of the first page, the following information:

Title of Pre-application https://www.grants.gov/ https://www.fedconnect.net/ https://pamspublic.science.energy.gov/

Principal Investigator Name, Job Title [Lead] Institution

PI Phone Number, PI Email Address FOA Number: Include the FOA Number indicated on the cover of this FOA

Include a list of all senior/key personnel at the applicant and team member institutions.

List of Collaborating Institutions Including Sub-Recipients

Institutional PI Names and Job Titles at the Collaborating Institutions Including Sub-Recipients The research area(s), specified in Section I, primarily addressed by the proposed work.

The material listed here defines the minimum acceptable information on a cover page. Additional information may be provided at the applicant’s discretion.

The first page of the pre-application must specify at least one scientific hypothesis whose investigation motivates the proposed work, using no more than 100 words, in a box with a black border. For any hypothesis that is not itself innovative, the pre-application must describe at least one innovative insight into how the hypothesis can be investigated that may be exploited by the planned research.

This information must be followed by a clear and concise description of the objectives and technical approach of the proposed research. The pre-application should contain sufficient technical information on one or more research topics identified on this FOA, including a short description with references on how the proposed work addresses frontier-level research in basic plasma science and engineering, and a brief description of the proposed team, including students, postdocs, or individuals from diverse backgrounds, such as individuals historically underrepresented in the research community. The pre-application may not exceed 4 pages, when printed using standard letter-size (8.5 inch x 11 inch) paper with 1-inch margins (top, bottom, left, and right). The font must not be smaller than 11 point. Figures and references will not count toward the pre-application’s page limit.

DOE has no obligation to review a sufficiently identical scope of work from a proposal that was submitted and reviewed in the previous cycle. It is the applicant's responsibility to make sure that the current pre-application or application’s scope of work is sufficiently revised or completely delineated. Pre-applications with a sufficiently identical scope of work from a previously reviewed proposal will be discouraged without a review.

In addition, the pre-application must include a listing of individuals (advisee, advisor, close associate, co-author, co-editor, co-investigator, collaborator) who should not serve as merit reviewers of a subsequent application. Detailed instructions for how to craft the required listings are provided in SectionVIII of this FOA. Note that the listing of individuals who should not serve as merit reviewers is rarely empty because the instructions contain mandatory inclusions requirements. This listing will not count toward the pre-application’s page limit. The list of individuals must be included as an “Additional Attachment” to your pre-application in PAMS. Pre-applications missing this information will be discouraged without a review.

The pre-application may include a list of suggested reviewers (including email address and organizational affiliation) who PIs believe are especially well qualified to review the proposal.

This list will not count toward the pre-application’s page limit. DOE is under no obligation to consider any suggested reviewers.

The pre-application must be machine-readable. Do not submit a scanned image of a printed document.

If a multi-institutional team is being proposed, provide the following information on a separate page. This information will not count toward the page limitation.

• List all institutions by name with each institution’s PI on the same line.

• Indicate the lead PI who will be the point of contact and coordinator for the combined research activity.

• Include a table modeled on the following chart providing summary budget information from all institutions. Provide the total costs of the budget request in each year for each institution and totals for all rows and columns.

Multi-Institutional Team Information

Names Institution Year 1 Budget

Year 2 Budget

Year 3 Budget

Year 4 Budget

Total Budget

Lead

PI

Co-PI

Co-PI

Example budget table ($ in thousands)

PRE-APPLICATION REVIEW

Program Managers and/or other Federal/non-Federal subject matter experts may also evaluate all or some portion of pre-applications to determine their competitiveness within a scientific topic.

Any review will be based on the following criteria:

1. Responsiveness to the objectives of the FOA as stated in Section I.

2. Scientific and technical merit.

3. Appropriateness of the proposed research approaches.

4. Likelihood of scientific impact.

5. Ensuring a diverse pool of applicants.

The decision to encourage or discourage the submission of an application may also be influenced by the following factors:

• Relevance of the proposed activity to SC/FES and DOE priorities

• Ensuring an appropriate balance of activities within SC/FES programs

• Performance under current awards

• Ensuring a distribution of supported researchers at various career stages

• Promoting the diversity of supported investigators and institutions.

• Increasing participation of institutions historically underrepresented in the SC/FES research portfolio.

Any such review will be conducted by no less than three subject matter experts under the direction of Federal program managers, chosen for their topical knowledge and diversity of perspective.

Reviews within a topical field will be a comparative review with priority given to programmatically relevant, scientifically innovative, and forward-looking basic research with the highest likelihood of success as an application. The results of the review will be documented.

Applicants with the highest rated pre-applications will be encouraged to submit applications;

others will be discouraged from submitting applications.

Oral feedback about preproposals will be provided upon request after award selections have been announced.

Topics with comparatively few pre-applications may not make use of such pre-application reviews. The ratio of encourage/discourage results will differ between topical subjects.

SC is committed to ensuring that a sufficient number of applicants will be encouraged to submit applications to foster a competitive merit review of the applications. SC’s intent in discouraging submission of certain applications is to save the time and effort of applicants in preparing and submitting applications with a low likelihood of success.

The PI will be automatically notified when the pre-application is encouraged or discouraged. The DOE SC Portfolio Analysis and Management System (PAMS) will send an email to the PI from PAMS.Autoreply@science.doe.gov, and the status of the pre-application will be updated at the PAMS website https://pamspublic.science.energy.gov/. Notifications are sent as soon as the decisions to encourage or discourage are finalized.

PRE-APPLICATION SUBMISSION

Pre-applications are created in the software system of your choice and must be submitted electronically through the DOE SC Portfolio Analysis and Management System (PAMS) website https://pamspublic.science.energy.gov/. You cannot draft or edit a pre-application in PAMS. Do not submit a pre-application through FedConnect or Grants.gov.

Pre-applications may only be submitted by a user at the PI’s institution with the “Submit to DOE” privilege in PAMS. A PI may draft a pre-application but will only be able to submit the pre-application for institutional countersignature.

Applicants are strongly encouraged to inform their DOE Program Manager if teaming arrangements, proposed personnel, topics, or the anticipated title change between submitting the pre-application and when an application is submitted, to ensure that their application is properly linked to their pre-application and that reviewers are properly assigned to the application.

mailto:PAMS.Autoreply@science.doe.gov https://pamspublic.science.energy.gov/ https://pamspublic.science.energy.gov/ https://www.fedconnect.net/ https://www.grants.gov/

Detailed instructions about how to submit a pre-application are in Section VIII of this FOA.

IV.C. GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES

Applications in response to this FOA must be submitted through Grants.gov. Detailed instructions for registering in and using Grants.gov are in Section VIII of this FOA.

IV.D. CONTENT AND APPLICATION FORMS

LETTERS OF COLLABORATION OR ACCESS

Letters from collaborators or from institutions providing access to data, models, software, equipment and/or facilities may be appended to your project narrative and are not considered part of the project narrative’s page limit. Please ensure that letters from collaborators or from institutions providing access to data, models, software, equipment and/or facilities only describe the nature of the collaboration or the access to data, models, software, equipment and/or facilities. Letters of recommendation are not allowed in applications under this FOA.

All letters may be addressed “To Whom It May Concern:”.

Letters of collaboration or access should be placed in Appendix 6 (Other Attachments). Letters of collaboration or access must not be written as recommendation or endorsement letters, which are not allowed. Each letter of collaboration or access may contain two and only two sentences and must use the following format:

Dear <Principal Investigator Name>:

If your application entitled, “<Application Name>,” is selected for funding under the FOA Name, it is my intent to collaborate in this research by <Complete Sentence With a Very Short Description of What the Collaborator Offers to Do or Provide>.

Thank you for the opportunity to participate.

Sincerely, <Collaborator’s Name and Signature Block>

IV.D.1. SF-424 (R&R)

Complete this form first to populate data in other forms. Complete all the required fields in accordance with the pop-up instructions on the form. The list of certifications and assurances referenced in Field 17 is available on the DOE Financial Assistance Forms Page at https://energy.gov/management/office-management/operational-management/financial-https://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms assistance/financial-assistance-forms under Certifications and Assurances6. Applicants are bound by their representations and certifications in SAM.gov.

TYPE OF SUBMISSION (FIELD 1)

Select the checkbox for “Application” for an initial submission. Select the checkbox for “Changed/Corrected Application” if submitting an updated version of an application. Do not submit pre-applications via Grants.gov: Do not select the checkbox for “Pre-application.”

IDENTIFYING NUMBERS (FIELD 4)

For renewals and supplemental funding, enter the DOE award number in Field 4a. Do not enter any other number in Field 4a. Do not enter anything in Field 4b. If submitting an updated version of an application, you may enter the previous Grants.gov Tracking ID in Field 4c, though this is not required.

UEI AND EIN NUMBERS (FIELDS 5 AND 6)

The Uniform Entity Identifier (UEI) and Employer Identification Number (EIN) fields on the SF-424 (R&R) form are used in PAMS to confirm the identity of the individual or organization submitting an application.

• Enter the UEI as a 12-digit alpha-numerical sequence.

• Enter the EIN as a nine-digit number.

• Do not use hyphens or dashes.

• SC does not use the 12-digit EIN format required by some other agencies.

• Applications will not be rejected if an applicant’s system-to-system service uses a 12-digit

EIN format or inserts hyphens or dashes in an EIN.

TYPE OF APPLICATION (FIELD 8)

A new application is one in which DOE support for the proposed research is being requested for the first time. A renewal application requests additional funding for a period of time following a current award. If the application requests a significant change in the scope of work, please consult with the Program contact identified in this FOA to determine if the application should be considered new or a renewal.

SC does not make use of the Resubmission or Continuation options.

Applications for supplemental support of an existing award should be marked as “Revision.”

Please answer “yes” to the question “Is this application being submitted to other agencies?” if substantially similar, identical, or closely related research objectives are being submitted to another Federal agency. Indicate the agency or agencies to which the similar objectives have

6 No separate form or submission is required for the Certifications and Assurances.

https://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms been submitted.

Do not attach pre-applications to Field 20 of the SF-424(R&R) form or letters of intent to Field 21 of the SF-424(R&R) form.

IV.D.2. Research and Related Other Project Information

Complete questions in fields 1 through 6 of the SF-424 Research and Related Other Project Information form.

Note regarding question 4.a. and 4.b.:

If any environmental impact, positive or negative, is anticipated, indicate “yes” in response to question 4.a., “potential impact – positive or negative - on the environment.” Disclosure of the impact should be provided in response to question 4.b. First indicate whether the impact is positive or negative and then identify the area of concern (e.g., air, water, exposure to radiation, impacts to endangered species or historic properties, etc.). Should the applicant have any uncertainty, they should check “yes.”

DOE understands the phrase in field 4.a., “potential impact … negative” to apply if the work described in the application could potentially have any of the impacts listed in (1) through (5) of 10 CFR 1021, Appendix B, Conditions that Are Integral Elements of the Classes of Action in Appendix B. (https://www.ecfr.gov)

Additionally, for…