DE-FOA-0003361.pdf

DEPARTMENT OF ENERGY (DOE)

OFFICE OF SCIENCE (SC)

FUSION ENERGY SCIENCES (FES)

FUSION INNOVATION RESEARCH ENGINE (FIRE)

COLLABORATIVES

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) NUMBER

DE-FOA-0003361

FOA TYPE: INITIAL

CFDA NUMBER 81.049

FOA Issue Date: May 22, 2024 Submission Deadline for Pre-Applications: July 9, 2024, at 5 pm ET

A Pre-Application is required.

Pre-Applications must be submitted by an authorized institutional representative.

Pre-Application Response Date: July 19, 2024, at 11:59 pm ET Submission Deadline for Applications: August 27, 2024 at 11:59 pm ET

Table of Contents

UPDATES AND REMINDERS ...................................................................................................... I

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...45

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

i

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 pre-applications and applications well before the deadline.

INFORMATIONAL WEBINAR AND FAQS

SC plans to hold an informational webinar about this FOA on Thursday, May 23, 2024, at 3pm ET. Registration instructions and other details will be posted at https://science.osti.gov/fes/Funding-Opportunities.

PROMOTING INCLUSIVE AND EQUITABLE RESEARCH (PIER) PLAN

All 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 are no longer available. When interagency common formats and instructions are adopted, 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://science.osti.gov/fes/Funding-Opportunities https://www.ncbi.nlm.nih.gov/sciencv/ 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.

iv

Checklist for Avoiding Common Errors:

Item Issue Applications Submitted in 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 pre-application in PAMS.

- Pre-Applications must be submitted by an authorized institutional representative.

- Do not submit your pre-application in 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:

- Pre-application

- 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 v

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

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.

Institutions capable of being funded through the DOE Field Work System

If National Laboratories and/or DOE sites are permitted to submit under this FOA:

- Do not create new institutions on the PAMS website.

- Submit applications in Grants.gov using the name of the laboratory or site in Field 5 of the SF-424(R&R) application form, not the contractor operating the laboratory or site.

Submissions under this FOA will be evaluated for technical merit, but any resulting funding, work, or awards will be made under the laboratory or site’s contract with DOE. No separate financial assistance awards will be made. No administrative provisions of this FOA will apply to the laboratory or any laboratory subcontractor.

Section I – FUNDING OPPORTUNITY DESCRIPTION

GENERAL INQUIRIES ABOUT THIS FOA SHOULD BE DIRECTED TO:

All technical questions should be directed to fes.fire@science.doe.gov. For purposes of fairness, a FAQ document will be made available on the same date the FOA opens. It will be updated with new questions and responses as FES receives them. The FAQ and other details will be posted at https://science.osti.gov/fes/Funding-Opportunities.

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 Department of Energy (DOE) Fusion Energy Science (FES) program is embarking on a transformative initiative aimed at creating a fusion innovation ecosystem, the “Fusion Innovation Research Engine (FIRE)”, by forming virtual, centrally managed teams called “Collaboratives”, that have a collective goal of bridging FES’s basic science research programs and growing fusion industries, including the activities supported under the FES milestone-based fusion development program.

At its core, FIRE represents a departure from traditional science programs. It is structured as a framework comprised of Collaboratives with the purpose of bridging the gap between foundational science and practical application. These Collaboratives are envisioned as dynamic hubs of innovation, driving advancements in fusion energy research in collaboration with both public and private entities.

FES envisions the ecosystem surrounding the Collaboratives as a facilitator for collaboration and coordination with the basic science research program and other stakeholders, creating an engine for innovation. FIRE hopes to foster synergy and alignment of goals, accelerating progress towards the realization of fusion energy as a clean, sustainable power source. Moreover, this mailto:fesfirecenters@science.doe.gov https://science.osti.gov/fes/Funding-Opportunities mailto:marty.carlin@science.doe.gov initiative aims to create new economic opportunities, bolster US-based manufacturing and supply chains, and enable the development of technologies crucial for national security, energy security, and defense.

Through the concerted efforts of the Collaboratives within FIRE, FES aims to de-risk Fusion Materials and Technology (FM&T) gaps, connecting the three science drivers of Fusion Science and Technology (FS&T)—Sustain a Burning Plasma, Engineer for Extreme Conditions, and Harness Fusion Energy—FES is poised to accelerate the transition of fusion energy from theory to reality.

This initiative represents a significant step forward in FES’ commitment to advancing fusion energy research and development, ultimately benefiting society with a clean, sustainable energy source, and fostering economic growth and national security.

SUPPLEMENTARY INFORMATION

Background

The mission of the FES program is to expand the fundamental understanding of matter at very high temperatures and densities and to build the scientific foundations needed to develop a fusion energy source. This is accomplished by studying the plasma state and its interactions with its surroundings. Section 2008 of the Energy Act of 2020 amended the Department of Energy Research and Innovation Act (42 U.S.C. § 18645) to expand the scientific mission of FES by adding the goal of “supporting the development of a competitive fusion power industry in the U.S.”

In 2020, alongside this expansion, the Fusion Energy Sciences Advisory Committee (FESAC) was charged with developing a Long-Range Plan (LRP)1 for FES. The FESAC LRP articulated that achieving a thriving and sustainable fusion energy industry of the future requires addressing key scientific and technology gaps with a diverse set of tools and strategic approaches, including fulfilling the fusion energy mission focused on the FESAC LRP FS&T drivers:

• Sustain a Burning Plasma: Building the science and technology required to confine and sustain a burning plasma.

• Engineer for Extreme Conditions: Developing the materials required to withstand the extreme environment of a fusion energy system.

• Harness Fusion Power: Engineering the technologies required to breed fusion fuel and generate electricity in a fusion pilot plant by the 2040s.

Following the FESAC LRP, momentum grew in the community, resulting in many workshops (e.g., Inertial Fusion Energy Basic Research Needs Workshop2, Fusion Prototypic Neutron

1 Carter, T., Baalrud, S., Betti, R., Ellis, T., Foster, J., Geddes, C., ... & Rej, R. (2020). Powering the future: Fusion & plasmas. US Department of Energy (USDOE), Washington, DC (United States). Office of Science, https://science.osti.gov/-/media/fes/fesac/pdf/2020/202012/FESAC_Report_2020_Powering_the_Future.pdf 2 https://science.osti.gov/-/media/fes/pdf/workshop-reports/2023/IFE-Basic-Research-Needs-Final-Report.pdf https://science.osti.gov/-/media/fes/fesac/pdf/2020/202012/FESAC_Report_2020_Powering_the_Future.pdf https://science.osti.gov/-/media/fes/pdf/workshop-reports/2023/IFE-Basic-Research-Needs-Final-Report.pdf

Source Performance Requirements Workshop3, Fusion Fuel Cycles and Blankets Workshop4, U.S. Fusion Materials Roadmapping Workshop5), reports (e.g., FESAC International Benchmarking6, the Bold Decadal Vision7 as underpinned by the National Academics Science Engineering Medicine (NASEM) 2021 report “Bringing Fusion to the U.S. Grid”8), and the FESAC Decadal Plan9 and Facilities Construction Projects10 charges. In response to the activity listed above, FES initiated the U.S. FS&T road mapping activity11, which leverages these reports and input from the new FESAC charges. Alongside these initiatives, the Administration12 took action to encourage international partnerships to leverage market forces, inclusive technological innovation, and investments to accelerate the next generation of clean energy technology breakthroughs, including fusion energy.

Additionally, in response to the FESAC LRP, FES seeks to develop the Fusion Innovation Research Engine (FIRE) Collaboratives. Motivated by the imperative to address the FS&T drivers, the FIRE Collaboratives represents a bold step forward in bridging the gap between the FES foundational science programs and the growing fusion industry.

The FIRE Collaborative

Attaining an efficient energy source relies on comprehensive development across multiple fronts, including fusion fundamental science, technologies, techniques, capabilities, and facilities. These elements are essential for informing and de-risking the pathway to a fusion energy system.

Foundational science serves as the engine of innovation, and bridging the critical gap between foundational science and enabling science is central to defining the framework of FIRE Collaboratives.

FES envisions FIRE Collaboratives as a collection of virtual, centrally managed teams.

These teams leverage expertise, capabilities, and facilities to systematically address FS&T gaps, fostering integrated research efforts, facilitating collaboration among diverse stakeholders, and enhancing communication to accelerate progress in enabling fusion energy. The term ‘fusion ecosystem’ refers to the network of collaborative relationships, resources, and initiatives aimed at advancing fusion energy. Within this ecosystem, FIRE Collaboratives serve as a pivotal

3 https://www.epri.com/research/products/000000003002023917 4 https://www.epri.com/events/A9EE23A5-9B05-4B96-B36B-AEFDB8D08A09 5 https://www.epri.com/research/programs/065093/events/0B97781D-E3EB-470A-AB11-97800FB84638 6 https://science.osti.gov/-/media/fes/fesac/pdf/2023/IBRept2FESAC_ActualFINAL.pdf 7 Readout of the White House Summit on Developing a Bold Decadal Vision for Commercial Fusion Energy | OSTP | The White House 8 https://nap.nationalacademies.org/catalog/25991/bringing-fusion-to-the-us-grid 9 https://science.osti.gov/-/media/fes/fesac/pdf/2023/FESAC-Charge-Letter-on-the-Decadal-Plan-signed-November- 2023.pdf 10 https://science.osti.gov/-/media/fes/fesac/pdf/2023/2023-Berhe-Facilities-Charge.pdf 11 https://science.osti.gov/fes/fesac/Meetings/2023-12 12 https://www.whitehouse.gov/ostp/news-updates/2023/12/02/international-partnerships-in-a-new-era-of-fusion-energy-development/#:~:text=In%20March%202022%2C%20the%20United,the%20development%20of%20fusion%20ene rgy.

https://www.epri.com/research/products/000000003002023917 https://www.epri.com/events/A9EE23A5-9B05-4B96-B36B-AEFDB8D08A09 https://www.epri.com/research/programs/065093/events/0B97781D-E3EB-470A-AB11-97800FB84638 https://science.osti.gov/-/media/fes/fesac/pdf/2023/IBRept2FESAC_ActualFINAL.pdf https://www.whitehouse.gov/ostp/news-updates/2022/04/19/readout-of-the-white-house-summit-on-developing-a-bold-decadal-vision-for-commercial-fusion-energy/ https://www.whitehouse.gov/ostp/news-updates/2022/04/19/readout-of-the-white-house-summit-on-developing-a-bold-decadal-vision-for-commercial-fusion-energy/ https://nap.nationalacademies.org/catalog/25991/bringing-fusion-to-the-us-grid https://science.osti.gov/-/media/fes/fesac/pdf/2023/FESAC-Charge-Letter-on-the-Decadal-Plan-signed-November-2023.pdf https://science.osti.gov/-/media/fes/fesac/pdf/2023/FESAC-Charge-Letter-on-the-Decadal-Plan-signed-November-2023.pdf https://science.osti.gov/-/media/fes/fesac/pdf/2023/2023-Berhe-Facilities-Charge.pdf https://science.osti.gov/fes/fesac/Meetings/2023-12 https://www.whitehouse.gov/ostp/news-updates/2023/12/02/international-partnerships-in-a-new-era-of-fusion-energy-development/#:%7E:text=In%20March%202022%2C%20the%20United,the%20development%20of%20fusion%20energy https://www.whitehouse.gov/ostp/news-updates/2023/12/02/international-partnerships-in-a-new-era-of-fusion-energy-development/#:%7E:text=In%20March%202022%2C%20the%20United,the%20development%20of%20fusion%20energy https://www.whitehouse.gov/ostp/news-updates/2023/12/02/international-partnerships-in-a-new-era-of-fusion-energy-development/#:%7E:text=In%20March%202022%2C%20the%20United,the%20development%20of%20fusion%20energy https://www.whitehouse.gov/ostp/news-updates/2023/12/02/international-partnerships-in-a-new-era-of-fusion-energy-development/#:%7E:text=In%20March%202022%2C%20the%20United,the%20development%20of%20fusion%20energy component, driving coordinated efforts to address key challenges and accelerate advancements in fusion science and technology.

A significant distinction between FIRE Collaboratives and existing foundational science programs lies in their approach to research. While foundational science programs typically follow a basic research model, experimental or theoretical work is undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts. FES expects the FIRE Collaboratives to function as accelerated, results-driven research projects utilizing real-time results to inform research direction, allowing for agile adjustments, and potentially discontinuing projects if deemed necessary based on outcomes or a pivot in priorities.

This dynamic approach ensures that FIRE Collaboratives remain focused on achieving tangible advancements in de-risking FS&T within specified timelines and metrics.

Another distinction between FIRE Collaboratives and existing foundational science programs lies in their strategic research direction and priority-setting. Unlike traditional programs, FIRE Collaboratives prioritize end-use inspired research, where the research strategy is inclusive of insights from end-users, such as fusion energy system developers. These end-users possess valuable knowledge of supply chain impacts and other externalities that directly influence the design and operation of fusion energy systems. By informing FIRE Collaboratives of these impacts, the teams can develop more informed research strategies, resulting in use-inspired research. This approach ensures that the research outcomes are not only scientifically rigorous but also directly relevant and impactful to end-users. In this context, ‘end-use inspired’ refers to research that is driven by the specific needs and challenges faced by end-users, with the aim of developing solutions that directly address these requirements and maximize the usability and effectiveness of the research outcomes. For example, FIRE Collaboratives should eventually consider and address the common S&T gaps identified in the technology roadmaps anticipated from the recipients of the FES Milestone-Based Fusion Development Program.

The FIRE Collaboratives are encouraged to reflect on the existing fusion and plasma science research community and how the present skill sets will need to diversify to de-risk FS&T gaps.

Efforts addressing transitioning, retooling, reskilling existing workforce and leveraging non-fusion related workforce is highly encouraged.

Ultimately, the goal of FIRE Collaboratives is to de-risk FS&T gaps and position fusion technology arising from end-use inspired research for rapid incorporation into both the public and industry ecosystems. This is achieved by integrating novel concepts and approaches that could accelerate the innovation process. Furthermore, FIRE Collaboratives focuses on enhancing the fusion ecosystem by integrating foundational science, innovation, and translational research.

Fusion Engine Ecosystems

The three FS&T drivers, listed in Section I, represent the key areas that FIRE Collaboratives should prioritize in establishing the science and technology basis for a Fusion Pilot Plant (FPP).

These areas have been subdivided into four distinct “Fusion Engine Ecosystems (FEE),” each representing the complex and interconnected relationships between the FS&T drivers. To effectively address FS&T gaps and provide integrated, end-use inspired, and self-consistent solutions, research teams must focus on one or more fusion energy ecosystems and aim to deliver concept-agnostic capabilities to the FES program. The table below illustrates the four distinct fusion engine ecosystems and crosscutting research, providing a non-exhaustive list of research examples per category.

FEE1: Fusion Materials and Technology

FEE2: Fusion Blanket and Fuel Cycle Systems

FEE3: Fusion Enabling Technologies

FEE4: Advanced Simulations for Design and Optimization

FS&T Driver 2 Advanced plasma-facing components, advanced first wall concepts, and structural materials

FS&T Driver 3 Fusion fuel breeding, extraction, processing, and separation

FS&T Driver 1 Advanced technologies to enable plasma formation, burn, control, or confinement

FS&T Driver 1 FS&T challenges specific to device configurations Crosscutting challenges addressing FE1-FE3 areas Design and optimization capabilities

Crosscutting FS&T Drivers

Breeder blanket materials compatibility, Materials suitable for fusion enabling technologies, Fusion nuclear and materials data repository for model V&V.

FUSION MATERIALS AND TECHNOLOGY:

The environment expected in a fusion energy system, characterized by extreme heat, high-energy particles, and 14 MeV neutron fluxes under high-duty cycle operation, imposes diverse and demanding loads on materials. These conditions can significantly alter material properties and dictate their replacement period, posing challenges for selecting appropriate materials. Structural components must maintain strength, toughness, and ductility under high temperatures, neutron bombardment, and their synergistic effect on properties. Plasma-facing components (PFCs) near the burning plasma face additional challenges, including exposure to particle fluxes (D, T, He, and impurities), intense heat fluxes, and additional synergistic effects. Properties of liquid-based materials must also meet additional design constraints related to thermal hydraulics, surface tension, and interface chemistry.

Testing and replicating the complex fusion nuclear environment to evaluate material component performance is challenging. However, advancements in multi-physics finite element solvers, thermo-mechanical models, and their interconnected capabilities offer a promising path towards anticipating material performance, thus reducing risk for end-users.

FUSION BLANKET AND FUEL CYCLE SYSTEMS:

To effectively harness fusion power, a successful breeder blanket must efficiently generate and extract fuel, such as tritium, on a large scale to ensure optimal fueling efficiency and continuous system operation. In addition to these primary functions, the breeder blanket should be designed with maintenance considerations in mind, without introducing additional environmental or economic challenges for the end-user. Recent workshops have identified essential scientific research still required for various breeder blanket variants, such as PbLi and FLiBe. These priority research gaps must be comprehensively addressed, regardless of the breeder blanket concept, to determine its feasibility for the end-user.

Furthermore, a successful fusion fuel cycle must demonstrate effective balance of plant operations while supporting fueling and exhaust processing, isotope separation, rebalancing, storage and extraction, and tritium inventory monitoring. The exhaust purification system encompasses a set of technologies and processes designed to manage and treat waste products and byproducts generated during fusion energy system operation. Isotope separation and rebalancing involve processes and techniques to manage the isotopic composition of fusion fuel within the system, crucial for maintaining optimal conditions, enhancing energy output, and prolonging operational lifespan. Isotope storage and handling systems involve various technologies and protocols for managing the storage, transportation, and safe handling of isotopes such as tritium.

To advance science and technology in this area, it is essential to prioritize research including breeder blanket design testing, tritium extraction studies, and validation of fuel cycle performance. These efforts should be guided by rigorous assessments of breeder blanket compatibility, tritium extraction efficiency, and fuel cycle optimization. Additionally, insights from end-use fusion system design considerations, waste impacts, and strategies for remote maintenance must inform the selection and development of breeder blanket and fuel-cycle systems capable of harnessing fusion power.

FUSION ENABLING TECHNOLOGIES:

Fusion enabling technologies encompass a wide range of innovative solutions essential for the successful development and deployment of fusion energy. These technologies play a crucial role in overcoming the numerous technical challenges inherent in achieving a sustainable fusion reaction. A non-exhaustive list of fusion enabling technologies includes superconducting magnets, radiation-hardened electronics, specialized vacuum pumping systems, advanced manufacturing processes, remote handling systems, and radiation shielding techniques necessary for fusion energy systems. Various critical enabling technologies for IFE concepts are currently at low Technical Readiness Levels. These include reducing the cost of diode pumps in DPSSL technologies, enhancing beam transport and optics for UV compression and ignition drive lasers with large optics, improving the reliability of high-power switching and capacitor energy storage, and developing an IFE target injector capable of achieving relevant velocity without causing damage to the target or its fuel layer. Applications in this area should clearly identify applicability across a representative range of fusion concepts as well as the necessity of the proposed research to enable fusion facility operation and the broader fusion ecosystem. Proposed research should distinguish itself from ongoing research activities as well as commercially available solutions.

ADVANCED SIMULATIONS FOR DESIGN AND OPTIMIZATION:

Advanced Simulations for Design and Optimization aims to address significant challenges in fusion energy through the application of cutting-edge, validated computational tools.

Applications in this area can focus on addressing challenges unique to specific configurations (e.g., disruption avoidance and mitigation in tokamaks or high-gain targets optimization for IFE), crosscutting themes relevant to the other three topical areas described above, or computational capabilities relevant to the design and optimization of fusion systems.

The primary objective is to leverage advanced high-performance computing (HPC) codes, artificial intelligence/machine learning (AI/ML) techniques, and multiphysics system codes for comprehensive simulation and analysis to develop innovative solutions for FS&T gaps addressing the three FS&T drivers identified in the LRP. FES recognizes the importance of flexibility in simulation capabilities, especially when studying diverse fusion device configurations. Therefore, adaptations of existing codes to enhance their applicability across different devices, such as inertial confinement systems (laser, magnetic, etc.), tokamaks, non-axisymmetric configurations such as stellarators, and linear configurations, are encouraged.

Leveraging the computational capabilities and toolsets developed under the FES foundational science programs is desirable. Verification and Validation (V&V) is also an important component of this ecosystem. Therefore, a combination of measurement innovation and use of advanced multiphysics computational codes and innovative V&V (e.g. used with in-operando, in-situ, in-vacuo diagnostic tools) is encouraged.

Proposed research should use innovative techniques for a broad, balance-of-plant approach that includes models of fusion plasma dynamics, subsystem components, and the harnessing of fusion energy. Simulation efforts should inform the development and design of fusion energy system technology, and coordination between Collaboratives and the fusion industry is highly encouraged.

CROSSCUTTING RESEARCH:

Crosscutting research in fusion energy encompasses interdisciplinary efforts that spread across multiple STEM disciplines aimed at addressing overarching FS&T challenges. This includes but is not limited to the development of advanced manufacturing capability for fusion materials including novel geometries, joining dissimilar materials, and integrating diagnostics; and utilization of machine learning techniques to enhance radiation damage characterization, simulations, and materials design. A systems engineering approach and multidisciplinary collaboration are essential to integrate diverse perspectives and insights, driving innovation and addressing complex societal and technical challenges on the path to realizing fusion energy’s potential. FES is especially interested in supporting the development of a FIRE Data Repository that would exist and collaborate with all Collaboratives and serve as the repository for all the data produced by the awards. This project would focus on developing data governance, data base standards, meta data standards, a virtual space for hosting, building, and testing various materials, components, and systems that require data and validation to enable fusion energy.

Examples of similar data repositories can be found here, https://science.osti.gov/Initiatives/PuRe-https://science.osti.gov/Initiatives/PuRe-Data

Data or the Virtual Test Bed supported by the collaboration with DOE’s NEAMS program and the National Reactor Innovation Center (NRIC).

FIRE Collaboratives Examples

As previously stated, applications should prioritize accelerated, results-driven research projects.

These Collaboratives leverage real-time results to guide research direction, enabling agile adjustments and potential project discontinuation based on outcomes. Additionally, the research approach should ensure that outcomes are not only scientifically rigorous but also directly relevant and impactful to end-users. This dynamic approach ensures that FIRE Collaboratives remain focused on achieving tangible advancements in de-risking FS&T. Below is a non-exhaustive list of examples:

• Advancing viable IFE target material selection by modeling the fusion fuel cycle and exhaust processing (FEE2 & 3).

• Advancing a viable breeding blanket design by testing compatibility and tritium extraction between breeder blanket and low-activation structural materials at time scales and conditions relevant to the end-user. (FEE1, 2, & 4)

• Realizing next generation materials and sensors to enable remote handling and manipulation in extreme environments of fusion devices, combining advances in manufacturing and AI/ML techniques (FEE1, 2, & 4)

• Accelerating the implementation of the next generation of plasma actuators (e.g., ion sources, helicons, gyrotrons, klystrons, or tetrodes) through advances in AI/ML, materials science, and novel processing to enable the heating and current drive technologies needed for fusion energy and plasma applications (FEE1, 2, & 4)

• Advancing the integration of full-physics and reduced material models and edge/divertor plasma models to permit validated prediction of PFC performance under FPP conditions

(FEE1 & 4)

• Developing models and a multiphysics modeling capability to enable integrated blanket designs (FEE2 & 4)

• Advancing fusion fuel cycle using advanced simulations and innovations in exhaust and fuel processing technology to improve the fusion fuel cycle performance relevant to end-users. (FEE2)

• Improve the maturation of liquid metal (LM) plasma facing materials and first wall concepts. (FEE1)

• Development of high-temperature nuclear structural material standard methodology related to creep, fatigue, and corrosion behavior of structural materials that leverages decades of foundational science materials data and is informed by end-users. (FEE1)

Elements of a FIRE Collaborative

The FIRE Collaboratives must include the following elements:

1. FIRE Collaborative’s Purpose:

a. Clearly articulate the FIRE Collaborative’s purpose.

b. Clearly articulate the FS&T science drivers and FM&T gap(s) the FIRE

Collaborative aims to address.

c. Clearly articulate the FIRE Collaborative’s management plan.

https://science.osti.gov/Initiatives/PuRe-Data https://mooseframework.inl.gov/virtual_test_bed/ https://neams.inl.gov/ https://nric.inl.gov/

d. Clearly articulate the FIRE Collaborative’s research project plan.

2. Integrated Thinking:

a. Develop a coordinated and strategic research plan that considers the interdependencies within the engineering system.

b. Balance de-risking known FS&T gaps with use-inspired research, addressing system integration and externalities.

3. Cross-Disciplinary Collaboration:

a. A FIRE Collaborative should be virtual and centrally led (see Teaming

Arrangements below).

b. Foster multi-investigator, multi-institutional, multidisciplinary collaboration able to leverage existing expertise, capabilities, facilities, and resources.

c. FIRE Collaborative must have a Data Management Framework established.

d. FIRE Collaborative must promote an inclusive and equitable research.

4. Capability-driven framework:

a. Capability-driven framework in which the R&D is focused on delivering specific results.

b. Break down research into manageable tasks (small achievable goals), prioritizing activities based on their impact on addressing FM&T gaps.

c. Clearly articulate quantifiable research deliverables/milestones.

d. Teams should consider risks and propose contingency plans, but also be given some flexibility to execute by taking advantage of new information.

5. Maturation Assessment:

a. Evaluate the maturity and readiness of research project within the integrated system in terms of quantitative metrics.

b. Prioritize research activities based on expected results that advance the overall maturation.

6. Stakeholder Engagement:

a. Clearly articulate the FIRE Collaborative’s stakeholder engagement plan. How would the team establish bridges to the FES foundational science programs, international partners, industry, and other FIRE Collaboratives? For example, engagement could be through advisory boards, direct research (subaward), contractors, etc.

b. How would the FIRE Collaborative inform FES and the broader community of current activities? For example, attending a FIRE Collaboratives annual meeting, hosting workshops with stakeholders, etc.

c. How does the FIRE Collaborative align with the International Partnership in a New Era of Fusion Energy Development.

d. How does the data management framework impact the FIRE Collaborative’s stakeholders and other FIRE Collaboratives.

Post Award

The awarded FIRE Collaboratives will be expected to attend an annual FES-FIRE Coordination Conference and participate in coordination activities that justifiability benefits the Collaborative, FES, and other stakeholders. Applicants should anticipate a need for travel to effectively communicate with other researchers and request appropriate funding in their budgets.

The awarded Collaboratives will be expected to undergo a management review after year one (1).

The awarded Collaboratives will be expected to provide FES with quarterly updates (via virtual meeting). It is expected that data generated through experiment, theory, and/or modeling will be shared with the FIRE Data Repository (and/or other relevant entities, if applicable) so that it can be entered into the FS&T data evaluation pipeline for eventual dissemination to the FIRE Data Repository.

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),

• 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,

• 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-institutional Teaming Arrangement

SUBAWARDS13

Collaborative applications (in which each team member submits its own application with a common project narrative) will not be accepted under this FOA.

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

Applications from multi-institutional teams must demonstrate that the lead institution has the capabilities and experience to lead such a team, including a management plan designed to ensure coordination across the team and, if appropriate, with groups pursuing complementary research.

Requests to change the lead institution after an application is submitted will result in the application being declined unless the request is the result of the lead PI’s death, incapacitation, or relocation.

Applicants are required to build bridges between the FIRE Collaborative and other parts of the fusion ecosystem, leveraging international partnerships and connections with the foundation science program and industry developers. This could be accomplished through advisory boards, consultants, or subaward collaborators.

SC is committed to promoting the diversity of investigators and institutions it supports, as indicated by the ongoing use of program policy factors (see Section V.B.2) in making selections of awards. To strengthen this commitment, applicants are encouraged to form teams that include

13 Subawards are made to subrecipients. Both terms are defined in 2 CFR 200.1 (https://www.ecfr.gov) https://www.ecfr.gov/ the participation of emerging research institutions14 and minority serving institutions (MSIs)15 that are underrepresented in the FES research portfolio as well as researchers from groups historically underrepresented in STEM. SC has posted a list of institutions with their Carnegie Classifications, designations as MSIs, and ERIs at https://science.osti.gov/grants/Applicant-and- Awardee-Resources/Institution-Designations. This list is offered as a convenience and is not exhaustive.

DOE/National Nuclear Security Administration (NNSA) National Laboratories16, if participating in a team led by another institution, may be proposed as subrecipients. Note that the value of any such proposed subaward may be removed from any such prime award: DOE may make separate awards to Federally affiliated institutions.

All entities submitting applications to this FOA must recognize the moral and legal obligations to comply with export controls and policies that limit the transfer of technologies with potential dual use. Applicants are reminded that international activities must comply with nonproliferation, sanction, and other protocols described at https://www.export.gov.

International activities related to special nuclear materials (SNM) are subject to additional requirements. Please see 10 CFR 810 for further information.

All work proposed under this FOA must be for basic and fundamental research whose results may be published in scholarly literature. Do not submit applications containing restricted data or unclassified controlled nuclear information as defined in the Atomic Energy Act of 1954, as amended, 42 USC 2011, et seq., 10 CFR 1017, 10 CFR 1045.

14 Emerging Research Institutions (ERIs) are defined in the CHIPS and Science Act of 2022 as institutions of higher education receiving less than $50 million in Federal research expenditures, using data tabulated by the National Science Foundation’s Higher Education Research and Development (HERD) Survey at https://www.nsf.gov/statistics/srvyherd/. For the purposes of this FOA, institutions listed in the most recent HERD data as receiving less than $50 million in Federal research expenditures are ERIs, as of the deadline for any submission.

15 MSIs are understood broadly to include, but not be limited to, Historically Black Colleges and Universities (HBCUs), Hispanic Serving Institutions (HSIs), Tribally Controlled Colleges and Universities (TCCUs), Asian American Native American and Pacific Islander Serving Institutions (AANAPISIs), Alaska Native and Native Hawaiian Serving Institutions (ANNHs), Native American Serving Non-Tribal Institutions (NASNTIs), and Predominantly…