DE-FOA-0003498.000001.pdf

Department of Energy (DOE) Office of Science (SC)

Nuclear Physics (NP) and Fusion Energy Sciences (FES)

Nuclear Data InterAgency Working Group (NDIAWG) Research Program

Notice of Funding Opportunity (NOFO) Number:

DE-FOA-0003498

NOFO Type: Amendment 000001 CFDA Number: 81.049

Amendment 000001 is issued to remove references to diversity, equity, and inclusion; to remove references to PIER plans; to update regulatory requirements from Title 2 CFR; and to update research, technology, and economic security provisions.

NOFO Issue Date: December 3, 2024 Submission Deadline for Letters of Intent:

January 2, 2025 at 11:59pm Eastern A Letter of Intent is required.

Letter of Intent Response Date January 17,2025 at 11:59pm Eastern Submission Deadline for Applications: March 3, 2025 at 11:59pm Eastern

Table of Contents

I. BASIC INFORMATION

EXECUTIVE SUMMARY

FUNDING DETAILS

KEY FACTS

KEY DATES

AGENCY CONTACT INFORMATION

RECOMMENDATION

II. ELIGIBILITY

A. ELIGIBLE APPLICANTS

B. COST SHARING

C. ELIGIBLE INDIVIDUALS

D. LIMITATIONS ON SUBMISSIONS

III. PROGRAM DESCRIPTION

A. PURPOSE

B. PROGRAM GOALS, OBJECTIVES, AND PRIORITIES

C. AWARD CONTRIBUTION TO GOALS AND OBJECTIVES

D. PERFORMANCE GOALS

E. SUBSTANTIAL INVOLVEMENT

F. PROGRAM UNALLOWABLE COSTS

G. CITATIONS TO STATUTE AND REGULATIONS

H. PROGRAM HISTORY

I. OTHER INFORMATION

IV. APPLICATION CONTENTS AND FORMAT

A. PRELIMINARY SUBMISSIONS

B. APPLICATION

C. COMPONENT PIECES OF THE APPLICATION

D. INFORMATION THAT MUST BE SUBMITTED AFTER APPLICATION BUT

BEFORE AWARD

V. SUBMISSION REQUIREMENTS AND DEADLINES

A. ADDRESS TO REQUEST APPLICATION PACKAGE

B. UNIQUE ENTITY IDENTIFIER (UEI) AND SYSTEM FOR AWARD MANAGEMENT

(SAM.GOV)

C. SUBMISSION INSTRUCTIONS

D. SUBMISSION DATES AND TIMES

VI. APPLICATION REVIEW INFORMATION

A. RESPONSIVENESS REVIEW

B. REVIEW CRITERIA

C. REVIEW AND SELECTION PROCESS

D. RISK REVIEW ................................................. ERROR! BOOKMARK NOT DEFINED.

VII. AWARD NOTICES

A. TYPE OF AWARD INSTRUMENT

B. ANTICIPATED TIMELINE FOR NOTICE OF SELECTION FOR AWARD

NEGOTIATION………………………………………………………………………………37

VIII. POST-AWARD REQUIREMENTS AND ADMINISTRATION

A. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

B. REPORTING

C. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY AND

PERFORMANCE (DECEMBER 2015)

D. INTERIM CONFLICT OF INTEREST POLICY FOR FINANCIAL ASSISTANCE

IX. OTHER INFORMATION ................................... ERROR! BOOKMARK NOT DEFINED.

A. CHECKLIST FOR AVOIDING COMMON ERRORS ....... ERROR! BOOKMARK NOT

DEFINED.

B. HOW-TO GUIDES ........................................... ERROR! BOOKMARK NOT DEFINED.

C. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS .................. ERROR!

BOOKMARK NOT DEFINED.

D. REFERENCE MATERIAL .............................. ERROR! BOOKMARK NOT DEFINED.

I. Basic Information

U.S. Department of Energy (DOE) Office of Science (SC)

Executive Summary

The Nuclear Data InterAgency Working Group (NDIAWG), comprised of 16 stakeholders across the federal government that have an interest in nuclear data, invites applications in relevant research topics derived from the annual Workshop on Applied Nuclear Data Activities (WANDA) and other workshops and discussions. Since the first joint NOFO put out in 2016, over $70M have been invested in nuclear data by NP and interagency partners. This year’s NOFO partners include NP and FES from SC.

Funding Details Expected total available funding $2,000,000 Expected number of awards 1-3 awards Expected dollar amount of individual awards $100,000 - $1,000,000 Expected award project period 3-5 years

Key Facts NOFO Title Nuclear Data InterAgency Working Group (NDIAWG) Research

Program NOFO Number DE-FOA-0003498 Announcement Type Amendment 000001 Assistance Listing 81.049 Statutory Authority The programmatic authorizing statute is:

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

Governing 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

Key Dates

Key dates are printed on the cover of this NOFO.

Agency Contact Information

Grants.gov Customer Support

800-518-4726 (toll-free) support@Grants.gov

PAMS

Customer Support

855-818-1846 (toll-free) 301-903-9610 sc.pams-helpdesk@science.doe.gov

Technical/Scientific Program Contact

Nuclear Physics and general information:

Keith Jankowski 301-903-9119 keith.jankowski@science.doe.gov

Fusion Energy Sciences:

Guinevere Shaw 202-313-1494 guinevere.shaw@science.doe.gov

Recommendation

SC encourages you to register in all systems as soon as possible. You are also encouraged to submit letters of intent (LOIs) and applications well before the deadline.

mailto:support@grants.gov mailto:sc.pams-helpdesk@science.doe.gov mailto:keith.jankowski@science.doe.gov mailto:guinevere.shaw@science.doe.gov

II. Eligibility

A. Eligible Applicants

All types of applicants are eligible to apply, 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 affiliated1 entities must adhere to the eligibility standards below:

1. DOE/NNSA National Laboratories

DOE/NNSA National Laboratories are eligible to submit applications under this NOFO and may be proposed as subrecipients under another organization’s application. If recommended for funding as a lead applicant, funding will be provided through the DOE Field-Work Proposal System and work will be conducted under the laboratory’s contract with DOE. No administrative provisions of this NOFO will apply to the laboratory or any laboratory subcontractor. If recommended for funding as a proposed subrecipient, the value of the proposed subaward will be removed from the prime applicant’s award and will be provided to the laboratory through the DOE Field-Work Proposal System and work will be conducted under the laboratory’s contract with DOE. Additional instructions for securing authorization from the cognizant Contracting Officer are found in Section IX of this NOFO.

2. Non-DOE/NNSA FFRDCs

Non-DOE/NNSA FFRDCs are eligible to submit applications (either as a lead organization or as a team member in a multi-institutional team) under this NOFO and may be proposed as subrecipients under another organization’s application. If recommended for funding as a lead applicant or a team member, funding will be provided through an interagency agreement Award to the FFRDC’s sponsoring Federal Agency. If recommended for funding as a proposed subrecipient, the value of the proposed subaward may be removed from the prime applicant’s award and may be provided through an interagency agreement to the FFRDC’s sponsoring Federal Agency. Additional instructions for securing authorization from the cognizant Contracting Officer are found in Section IX of this NOFO.

3. Other Federal Agencies

Other Federal Agencies are eligible to submit applications (either as a lead organization or as a team member in a multi-institutional team) under this NOFO and may be proposed as subrecipients under another organization’s application. If recommended for funding as a lead applicant or a team member, funding will be provided through an interagency agreement. If recommended for funding as a proposed subrecipient, the value of the proposed subaward may be removed from the prime applicant’s award and may be provided through an interagency

1 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.

agreement. Additional instructions for providing statutory authorization are found in Section IX of this NOFO.

Notes for applicants of all types:

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

• Non-domestic applicants are advised that successful applications from non-domestic applicants include a detailed demonstration of how the applicant possesses skills, resources, and abilities that do not exist among potential domestic applicants.

This NOFO seeks to support basic research to advance understanding rather than to address commercial opportunities. Applications that propose research related to current commercial activity or current customer needs may be declined without merit review.

Applications that are submitted by applicants that have not submitted a required LOI may be declined without further review.

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.

Cost sharing is not required of DOE/NNSA National Laboratories, other Federal agencies, another Federal agency’s FFRDC, or their subcontractors at any tier. DOE/NNSA National Laboratories, other Federal agencies, and another Federal agency’s FFRDC may impose cost-sharing requirements on their contractors subject to their policies and procedures.

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

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.

SC does not require that individuals be U.S. citizens or permanent residents to be proposed as a PI or in any other role under an award, but all personnel working or proposed to work under an award must have the legal right to perform such work in the jurisdiction where the work will be performed. Individuals at any stage of their career may be proposed as a PI if they have the skills, knowledge, and resources necessary to carry out the proposed research.

D. LIMITATIONS ON SUBMISSIONS

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

LIMITATIONS ON PI

Individuals in a joint appointment are eligible to be proposed as a PI if work will be performed at the applicant institution and if the PI is a paid employee of the applicant institution. Individuals paid by another institution may not be named as the PI but may be named in other senior/key roles. A paid employee is one that is on the applicant institution’s payroll, receiving wages and benefits in accordance with the applicant institution’s normal wage and benefit practices, and whose position is not governed by any arrangement, agreement, or contract between the applicant institution and another institution.

PIs are not required to be in tenure-track appointments.

III. Program Description

A. Purpose

The DOE SC programs in Nuclear Physics (NP) and Fusion Energy Sciences (FES) hereby announce their interest in receiving applications to the Nuclear Data InterAgency Working Group Research Program for research projects intended to answer nuclear data questions of interest to the research communities supported by those programs.

SUPPLEMENTARY INFORMATION

Members of the federal interagency community may participate in the review of LOIs and applications, including providing guidance on the submission’s ability to impact their mission areas.

Program Objective

The objectives of DOE programs (NP, FES) participating in this NOFO are described below.

Joint Topic between FES and NP Dr. Guinevere Shaw, FES Program Manager, Enabling R&D guinevere.shaw@science.doe.gov

Mr. Keith Jankowski, NP Program Manager, Nuclear Data keith.jankowski@science.doe.gov

This topic focuses on acquiring and refining nuclear data essential for fusion applications, particularly neutron interaction cross-sections, decay pathways, and activation products. It emphasizes the need for comprehensive sensitivity studies to prioritize nuclear data gaps that significantly impact reactor design, economics, and safety. Additionally, improving nuclear analysis and radiation transport models to optimize material selection and reduce waste is crucial. Research should aim to improve predictive models for material activation and provide detailed uncertainty quantification to support better design choices and waste management strategies in fusion energy systems.

Key Areas of Focus:

• Nuclear Cross-Sections: Accurate measurement and modeling of neutron cross-sections for materials used in fusion reactors, with an emphasis on detailed sensitivity studies to prioritize data gaps critical for reactor design and safety.

• Decay Schemes and Activation Products: Understanding radioactive decay pathways and resultant activation products, particularly for candidate materials, and integrating updated evaluations of medium and heavy elements.

mailto:guinevere.shaw@science.doe.gov mailto:keith.jankowski@science.doe.gov

• Material Selection Criteria: Integrating nuclear data with material selection processes, supported by comprehensive uncertainty quantification, to optimize performance and reduce the radiological impact.

• Waste Management Implications: Predicting the long-term behavior of activated materials, with a focus on comprehensive uncertainty analysis and the development of collaborative repositories to enhance data accessibility and integration.

Annual Meetings

The Workshop on Applied Nuclear Data Activities (WANDA) is an annual meeting that brings together federal programs, nuclear data practitioners, and nuclear data users to discuss topics of near-term need for the community. If awarded under this NOFO, it is expected that you participate in this meeting to share results and network with others in the field. Applicants should request sufficient travel costs to attend a four-day workshop in the Washington, D.C., area.

Additional information on past nuclear data workshops can be found from the Nuclear Data Working Group (NDWG) section of the National Nuclear Data Center (NNDC) website here:

https://www.nndc.bnl.gov/ndwg/wanda.html.

Teaming Arrangements

Applicants are encouraged to form teams as they best see fit to complete the proposed objectives.

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)2 cover page [or a PAMS 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.

2 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.

https://www.nndc.bnl.gov/ndwg/wanda.html https://www.grants.gov/

• 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.

SUBAWARDS3

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 Laboratories4, other Federal agencies, and another Federal agency’s FFRDCs5, 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.

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 NOFO.

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

3 Subawards are made to subrecipients. Both terms are defined in 2 CFR 200.1 (https://www.ecfr.gov) 4 The phrase “National Laboratories” is used broadly to encompass DOE/NNSA laboratories and sites capable of performing the work described in this NOFO and capable of receiving funds through the DOE Field Work System.

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

Joint Consideration

Applications submitted to this NOFO will be considered for award by NP and FES. All organizations will coordinate their award selections to avoid overlap and duplication.

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.

All entities submitting applications to this NOFO 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.trade.gov/export-solutions.

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 NOFO 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.

https://www.trade.gov/export-solutions

B. Program Goals, Objectives, and Priorities

The Office of Science’s (SC) mission is to deliver scientific discoveries and major scientific tools to transform our understanding of nature and advance the energy, economic, and national security of the United States (U.S.). SC is the Nation’s largest Federal sponsor of basic research in the physical sciences and the lead Federal agency supporting fundamental scientific research for our Nation’s energy future.

SC accomplishes its mission and advances national goals by supporting:

• The frontiers of science—exploring nature’s mysteries from the study of fundamental subatomic particles, atoms, and molecules that are the building blocks of the materials of our universe and everything in it to the DNA, proteins, and cells that are the building blocks of life. Each of the programs in SC supports research probing the most fundamental disciplinary questions.

• The 21st Century tools of science—providing the nation’s researchers with 28 state-of-the-art national scientific user facilities, the most advanced tools of modern science, propelling the U.S. to the forefront of science, technology development, and deployment through innovation.

• Science for energy and the environment―paving the knowledge foundation to spur discoveries and innovations for advancing the Department’s mission in energy and environment. SC supports a wide range of funding modalities from single principal investigators to large team-based activities to engage in fundamental research on energy production, conversion, storage, transmission, and use, and on our understanding of the earth systems.

SC is an established leader of the U.S. scientific discovery and innovation enterprise. Over the decades, SC investments and accomplishments in basic research and enabling research capabilities have provided the foundations for new technologies, businesses, and industries, making significant contributions to our nation’s economy, national security, and quality of life.

C. Award Contribution to Goals and Objectives

Awards resulting from this NOFO are intended to increase our understanding of scientific phenomena.

D. Performance Goals

You will be expected to demonstrate progress toward increasing knowledge in periodic progress reports.

E. Substantial Involvement

Not applicable.

F. Program Unallowable Costs

You must apply the cost principles of 2 CFR 200, as supplemented by 2 CFR 910 and 10 CFR 605, to your application and any resulting award.

G. Citations to Statute and Regulations

The programmatic authorizing statute and governing regulations are:

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 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

H. Program History

You can learn about SC’s history at https://science.osti.gov/About/History. You can read about our achievements at https://science.osti.gov/Science-Features/Science-Highlights. You can find information about all of our awards at https://pamspublic.science.energy.gov/WebPAMSExternal/interface/awards/AwardSearchExtern al.aspx.

I. Other Information

ANTICIPATED AWARD SIZE

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

PERIOD OF PERFORMANCE

DOE anticipates making awards with a project period of three to five 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.

https://science.osti.gov/About/History https://science.osti.gov/Science-Features/Science-Highlights https://pamspublic.science.energy.gov/WebPAMSExternal/interface/awards/AwardSearchExternal.aspx https://pamspublic.science.energy.gov/WebPAMSExternal/interface/awards/AwardSearchExternal.aspx

AWARD BUDGET PERIODS

SC is committed to distributing workloads (internally and externally) across as much of the calendar as is practical. Accordingly, awards made under this NOFO will generally be made with budget periods that end between December 1 and June 30. New awards may be made with a first budget period of more than 12 months. Renewal awards may be made with first budget periods that may be longer or shorter than 12 months.

Applicants should prepare budgets with 12-month budget periods. Actual start dates and cycle dates will be negotiated if an application is recommended for award. Budget periods will generally not be made for less than 9 months or more than 18 months.

IV. Application Contents and Format

A. Preliminary Submissions

1. Letter of Intent (LOI)

LETTER OF INTENT DUE DATE

The LOI due date is printed on the cover of this NOFO.

RESPONSE DATE

The response date is printed on the cover of this NOFO. Applicants who have not received a response regarding the status of their LOI by this date are responsible for contacting the program manager to confirm this status.

A LOI is required and must be submitted by the date indicated on the cover of this NOFO.

If a multi-institutional team is submitting collaborative applications, only the lead institution must submit an LOI.

The LOI is to help in planning the review and the selection of potential reviewers for the application and ensure submissions are in scope with the defined topics. The LOI must begin with a title page that will not count toward the LOI page limitation. Include, at the top of the first page, the following information:

Title of LOI Principal Investigator Name, Job Title

Institution PI Phone Number, PI Email Address

NOFO Number: Include the NOFO Number indicated on the cover of this NOFO Research topic as identified in the NOFO

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

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

• This information must be followed by a clear and concise description of the objectives and technical approach of the proposed research.

• The description of the proposed research may not exceed two pages, when printed using standard letter-size (8.5-inch x 11-inch) paper with 1-inch margins (top, bottom, left, and right). The body text font must not be smaller than 11 point. Figures and references, if included, must fit within the two-page limit.

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

Year 5 Budget

Total Budget

Lead

PI

Co-PI

Co-PI

Example budget table ($ in thousands)

In addition, the LOI must include a listing of senior/key personnel and a listing of individuals who should not serve as merit reviewers of a subsequent application. Detailed instructions for how to craft the required listings are provided in Section IX of this NOFO. 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 LOI’s page limit. The list of individuals must be included as an “Additional Attachment” to your LOI in PAMS.

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

LOI REVIEW

Those LOIs that are encouraged will be used to help SC begin planning for the application peer review process. SC’s intent in discouraging submission of certain applications is to save the time and effort of applicants in preparing and submitting applications not responsive to this NOFO.

The PI will be automatically notified when the LOI 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 LOI 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.

LOI SUBMISSION

LOIs 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 an LOI in PAMS. Do not submit an LOI through FedConnect or Grants.gov.

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

LOIs may be submitted by a PI or by other users at the PI’s institution with the “Submit to DOE” privilege in PAMS.

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

Detailed instructions about how to submit an LOI are in Section IX of this NOFO.

2. Pre-application

Not applicable.

B. Application

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

C. Component Pieces of the Application

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 NOFO.

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

Letters of collaboration or access should be placed in Appendix 7 (Other Attachment). 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 NOFO 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>

SCIENTIFIC USER FACILITIES

Documentation from any SC scientific user facility (https://science.osti.gov/User-Facilities) may be provided with other letters of collaboration or access in Appendix 7.

If the proposed research includes activities at the DIII-D National Fusion Facility, a U.S. DOE Office of Science user facility, then a Record of Discussion from the facility must be included in the submission. The Record of Discussion documents potential resources required by the facility to support the proposed research scope. Information on the Record of Discussion process at DIII- D is available at https://d3dfusion.org/become-a-user/ under the “Records of Discussion” header.

An ROD form is available for download from that site.

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-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.

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

https://science.osti.gov/User-Facilities https://d3dfusion.org/become-a-user/ https://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms https://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms

• 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 NOFO to determine if the application should be considered new or a renewal.

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

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 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.

DOE will accept new applications under this NOFO.

Note that DOE/NNSA National Laboratories may only submit new applications under this

NOFO.

Applications for the renewal of or of a supplement to an existing award will not be accepted.

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 actions which could have any other adverse impacts to the environment or have any possibility for adverse impacts to human health (e.g., use of human subjects, Biosafety Level 3-4 laboratory construction/operation, manufacture or use of certain nanoscale materials which are known to impact human health, or any activities involving transuranic or high level radioactive waste, or use of or exposure to any radioactive materials beyond de minimis levels), applicants should indicate a “negative” impact on the environment.

Lastly, 1) if there would be extraordinary circumstances (i.e., factor or circumstance that could increase the level of significance of environmental effects normally associated with the proposed action) (10 CFR 1021.410 (b)(2)), 2) if the work is connected to other actions with potentially significant impacts (10 CFR

1021.410 (b)(3), or 3) if the work is related to other nearby actions with the potential for cumulatively significant impacts (10 CFR 1021.410 (b)(3)), applicants should indicate a “negative” impact on the environment.

The bulk of your application will consist of files attached to the Research and Related Other Project Information form. The files must comply with the following instructions:

PROJECT SUMMARY/ABSTRACT (FIELD 7 ON THE FORM)

The project summary/abstract is a summary of the proposed activity suitable for distribution to the public and sufficient to permit potential reviewers to identify conflicts of interest. It must be a self-contained document. The project summary/abstract must be comprised of:

• The project title, the PI name and the PI’s institutional affiliation, and any coinvestigators and their institutional affiliations. This information will not count toward the abstract’s one-page limit.

• This information must be followed by a statement of the project’s objectives, a description of the project, including methods to be employed, and the potential impact of the project (i.e., benefits, outcomes).

• The description of the proposed research may not exceed one page (excluding Project Title and list of investigators) when printed using standard letter-size (8.5-inch x 11-inch) paper with 1-inch margins (top, bottom, left, and right). The body text font must not be smaller than 11 point. Figures and references, if included, must fit within the one-page limit.

A sample is provided below:

Project Title

A. Smith, Lead Institution (Principal Investigator) A. Brown, Institution 2 (Co-Investigator) A. Jones, Institution 3 (Co-Investigator) https://www.ecfr.gov/

Text of abstract (no more than one page, excluding Project Title and list of investigators)

If an application is recommended for award, the project summary will be used in preparing a public abstract about the award. Award abstracts and titles form a Government document that describes the project and justifies the expenditure of Federal funds in light of the DOE and SC mission statements at https://energy.gov/mission and https://science.osti.gov/about/.

• Do not include any proprietary or sensitive business information.

• DOE may use the abstract to prepare public reports about supported research.

DOE TITLE PAGE

(PART OF PROJECT NARRATIVE ATTACHED TO FIELD 8 ON THE FORM)

The application narrative must begin with a title page that will not count toward the Project Narrative page limitation. The title page must include the following items:

• The project title:

• Applicant/Institution:

• Street Address/City/State/ZIP:

• Postal Address:

• Lead PI name, telephone number, email:

• Administrative Point of Contact name, telephone number, email:

• NOFO Number: Include the NOFO number printed on the cover of this NOFO.

• DOE/SC Program Office:

• DOE/SC Program Office Technical Contact:

• PAMS LOI or Pre-application tracking number (if applicable):

• Research area as identified in Section III of this NOFO (if applicable):

Senior/Key Personnel

• Senior/Key Personnel Name, Institution

• Senior/Key Personnel Name, Institution

• Senior/Key Personnel Name, Institution

Institution Year 1 Budget

Year 2 Budget

Year … Budget

Total Budget

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

https://energy.gov/mission https://science.osti.gov/about/

Important Instructions to the Sponsored Research Office of Submitting Institutions: SC requires that you create 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 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. Do not use PDF portfolios or binders. 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 Project 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. Do not attach any of the appendices listed in this paragraph separately in any other field in Grants.gov. If you do, these additional attachments will not become part of the application in PAMS.

TITLE PAGE SUPPLEMENT FOR COLLABORATIVE APPLICATIONS

(PART OF PROJECT NARRATIVE ATTACHED TO FIELD 8 ON THE FORM)

If a multi-institutional team is submitting collaborative applications, provide the following information on a separate page as a supplement to the title page. This page will not count toward the Project Narrative 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.

• Provide a statement explaining the leadership structure of the team.

• Include a description of each institution’s facilities, equipment, and resources that will be made available to the team.

• If applicable, explain how students and early-stage researchers will be trained and mentored by senior researchers.

• 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.

Collaborative Application Information

Names Institution Year 1 Budget

Year 2 Budget

Year 3 Budget

Year 4 Budget

Year 5 Budget

Total Budget

Lead

PI

Co-PI

Example budget table ($ in thousands)

* Note that collaborating applications must be submitted separately.

PROJECT NARRATIVE (FIELD 8 ON THE FORM)

The Project Narrative must not exceed a page limit of 20 pages of technical information, including charts, graphs, maps, photographs, and other pictorial presentations, when printed using standard letter-size (8.5-inch x 11-inch) paper with 1-inch margins (top, bottom, left, and right). The body text font of all main text must not be smaller than 11 point. Merit reviewers will only consider the number of pages specified in the first sentence of this paragraph. This page limit does not apply to the Title Page, Budget Page(s), Budget Justification, biographical material, publications and references, appendices, and an optional table of content, each of which may have its own page limit defined later in this NOFO.

Do not include any websites (URLs) that provide supplementary or additional information that constitutes a part of the application. Merit reviewers are not required to access websites;

however, Internet publications in a list of references will be treated identically to print publications. See Section IX of this NOFO for instructions on how to mark proprietary application information. To attach a Project Narrative, click “Add Attachment.”

The Project Narrative comprises the research plan for the project. It should contain enough background material in the Introduction, including a brief review of the relevant literature and any prior research in this area, to demonstrate sufficient knowledge of the state of the science.

The major part of the narrative should be devoted to a description and justification of the proposed project, including details of the methods to be used. It should also include a timeline for the major activities of the proposed project and should indicate which project personnel will be responsible for which activities. There should be no ambiguity about which personnel will perform particular parts of the project, and the time at which these activities will take place.

The following organization of the Project Narrative is suggested:

• Background/Introduction: Explanation of the importance and relevance of the proposed work as well as a review of the relevant literature.

• Project Objectives: This section should provide a clear, concise statement of the specific objectives/aims of the proposed project.

• Proposed Research and Methods: Identify the hypotheses to be tested (if any) and details of the methods to be used including the integration of experiments with theoretical and computational research efforts.

Buy America Requirement for Infrastructure Projects

Awards funded through this NOFO that are for, or contain, construction, alteration, maintenance, or repair of public infrastructure in the United States undertaken by applicable recipient types, require that:

• All iron, steel, and manufactured products used in the infrastructure project are produced in the United States; and

• All construction materials used in the infrastructure project are manufactured in the United States.

Applicants should consult 2 CFR 184 and Section IX of this NOFO to determine whether the Buy America Requirement applies and if they should consider the application of the Buy America Requirement in the proposed project’s budget and/or schedule.

Within the first two (2) pages of the Project Narrative, include a short statement on whether the project will involve the construction, alteration, maintenance and/or repair of public infrastructure in the United States. See Section IX of this NOFO for applicable definitions and other information regarding Infrastructure Projects and the Buy America Requirement.

The Project Narrative is considered the intellectual work of the proposed researchers. Concurrent submission of the same or substantially similar narratives attributed to different researchers may constitute academic dishonesty or research misconduct. Submission of a Project Narrative that is not the work of the proposed researchers, including machine-generated Project Narratives, may constitute academic dishonesty or research misconduct.

For Collaborative Applications Only: Each institution in a multi-institutional team submitting collaborative applications must submit an identical common narrative, including all appendices. Collaborative applications will necessarily be longer than single-institution applications. The common narrative may exceed the page limit described for the Project Narrative by 50%; e.g., if the page limit is 12 pages, a collaborative application is subject to a limit of 18 pages. The common narrative must identify which tasks and activities will be performed by which of the institutions in every budget period of the proposed project. The budget and the budget justification—which are unique to each institution—may refer to parts of the common narrative to further identify each institution’s activities in the joint project. There should be no ambiguity about each institution’s role and participation in the team.

SC will use the multiple applications associated with…