DE-FOA-0003503.000001.pdf

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

Fusion Energy Sciences (FES)

Research in Basic Plasma Science and Engineering

Notice of Funding Opportunity (NOFO) Number:

DE-FOA-0003503

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: January 14, 2025 Submission Deadline for Pre-Applications:

February 14,2025 at 5 PM Eastern Time A Pre-Application is required.

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

Pre-Application Response Date: February 28, 2025 at 11:59 PM Eastern Time Submission Deadline for Applications: April 4, 2025 at 11:59 PM, Eastern Time

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

VII. AWARD NOTICES

A. TYPE OF AWARD INSTRUMENT

B. ANTICIPATED TIMELINE FOR NOTICE OF SELECTION FOR AWARD

NEGOTIATION

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

A. CHECKLIST FOR AVOIDING COMMON ERRORS

B. HOW-TO GUIDES

C. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

D. REFERENCE MATERIAL

I. Basic Information

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

Executive Summary The FES Discovery Plasma Science: Plasma Science and Technology–General Plasma Science (GPS) program seeks new or renewal single-investigator or small-group applications to carry out hypothesis-driven frontier-level research in basic plasma science and engineering. This program aims to develop accurate descriptions of the complex behavior of the plasma state, to push it into new regimes that expand our concept of what constitutes a plasma, to design experiments and diagnostics to explore these states, and to validate theoretical models. For more information, see GPS program science drivers in the CPP Report: A Community Plan for Fusion Energy and Discover Plasma Sciences, 2019-2020. This NOFO is focused on fundamental research involving plasma including astrophysical, dusty, and low temperature plasmas. Research toward developing plasma-based technologies is out of scope of this NOFO.

Funding Details Expected total available funding Approximately $5,000,000 in current fiscal year funds Expected number of awards Approximately 10 Expected dollar amount of individual awards $300,000 - $900,000 over three years Expected award project period 3

Key Facts NOFO Title Research in Basic Plasma Science and Engineering NOFO Number DE-FOA-0003503 Announcement Type Amendment 000001 Assistance Listing 81.049 Statutory Authority The programmatic authorizing statutes 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

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.

https://drive.google.com/file/d/1w0TKL_Jn0tKUBgUc8RC1s5fIOViH5pRK/view

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

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

Administrative Contact (questions about budgets and eligibility)

Fusion Energy Sciences Ms. Marty Carlin 301-903-3287 Marty.Carlin@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), pre-applications and applications well before the deadline.

mailto:support@grants.gov mailto:sc.pams-helpdesk@science.doe.gov mailto:Nirmol.Podder@science.doe.gov mailto:Marty.Carlin@science.doe.gov

II. Eligibility

A. Eligible Applicants

In order to solicit applications from those institutions with the greatest history of successful basic and fundamental research in plasma science, and in accordance with 2 CFR 910.126 - Competition, eligibility for award and subaward is restricted to domestic institutions of higher education, DOE/National Nuclear Security Administration (NNSA) National Laboratories1, DOE SC Scientific User Facilities2, and non-profit organizations, except those 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 affiliated3 entities must adhere to the eligibility standards below:

1. Non-DOE/NNSA Federally Funded Research and Development Centers (FFRDCs)

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

2. Other Federal Agencies

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

Notes for applicants of all types:

This NOFO seeks to support basic research to advance understanding rather than to develop the applications of basic research and address commercial opportunities. Applications that propose investigations related to the uses of basic research, current commercial activity, or current customer needs will be declined without merit 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.

1 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.

2 All SC scientific user facilities are listed at https://science.osti.gov/User-Facilities/User-Facilities-at-a-Glance.

3 Institutions that are not DOE/NNSA National Laboratories, non-DOE/NNSA FFRDCs, or other Federal agencies are not “Federally affiliated,” even if they receive Federal funds or perform work under a Federal award or contract.

https://science.osti.gov/User-Facilities/User-Facilities-at-a-Glance

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

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

Individuals named as DOE/NNSA National Laboratory PIs, Co-PIs, or senior/key personnel must be an indispensable part of the laboratory with their effort closely integrated into the laboratory’s current plasma science research program and supported at least 50% of their time by the laboratory.

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

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

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

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

LIMITATIONS ON PI AND CO-PI

The PI on a pre-application or application may be listed as a Co-PI or senior/key personnel on no more than one other proposed subaward or separate submission. An individual other than the PI may be listed as a Co-PI or senior/key personnel on no more than two proposed subawards or separate submissions.

III. Program Description

A. Purpose

The DOE SC program in Fusion Energy Sciences (FES) hereby announces its interest in receiving new or renewal single-investigator or small-group applications to carry out hypothesis-driven frontier-level research in basic plasma science and engineering. The FES Discovery Plasma Science: Plasma Science and Technology–General Plasma Science (GPS) program supports research at the frontiers of basic plasma science (including astrophysical, dusty, and low temperature plasma). GPS topical areas are broad and include but are not limited to:

understanding the onset of magnetic reconnection and trigger mechanisms for explosive instabilities in nature (solar flares, geomagnetic storms) and in the laboratory; magnetic dynamo processes by which magnetic fields are generated in laboratory and astrophysical plasmas;

mechanisms by which energy is transferred between fields, flows, and particles; how coherent structures are created through the self-fields of the plasma and its interactions with waves;

coupling of dusty plasma in strong magnetic fields; and plasma chemistry and processes related to interaction of plasma with surfaces, materials, or biomaterials. Through the support of this research, the GPS program plays a key role in training the next generation of plasma scientists and engineers.

SUPPLEMENTARY INFORMATION

Principal Investigators (PIs) are strongly encouraged to choose their best research idea and develop it into a well-prepared, well-focused, well-organized, clearly written application with a timeline and milestones.

Program Objective

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

Description of Topical Areas

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

1. Dynamical Processes in Plasma

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

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

2. Nonneutral, Ultracold Neutral, and Dusty Plasma Physics

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

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

3. Low Temperature Plasma Processes

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

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

References

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

NASEM Consensus Study Report, 2021

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

Committee, 2020

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

4. A list of DOE SC User Facilities and Collaborative Research Facilities is available upon request. Inquiries should be sent to the program contact listed on this NOFO.

Teaming Arrangements

Multi-Institutional Teams

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

https://www.nap.edu/read/25802/chapter/1 https://science.osti.gov/-/media/fes/fesac/pdf/2020/202012/FESAC_Report_2020_Powering_the_Future.pdf

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)4 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.

• 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.

SUBAWARDS5

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

DOE/NNSA National Laboratories, 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

4 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.

5 Subawards are made to subrecipients. Both terms are defined in 2 CFR 200.1 (https://www.ecfr.gov).

https://www.grants.gov/ https://www.ecfr.gov/

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 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 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.

FUNDING REQUIREMENTS

For a multi-institutional team, the lead institution is expected to carry out 50% or more of the work scope and, thus, its funding request is expected to be 50% or more.

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.

Multi-Project Applications

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

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

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

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

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

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 expand current knowledge or explore new frontiers of knowledge leading to significant advances in the fundamental understanding of basic plasma science and engineering.

D. Performance Goals

You will be expected to demonstrate progress toward increasing knowledge in annual progress reports submitted through PAMS.

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 statutes 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

The governing regulations are:

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 approximately 3 years.

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

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.

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 1st and June 30th. 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 nine (9) months or more than 18 months.

IV. Application Contents and Format

A. Preliminary Submissions

1. Letter of Intent (LOI)

Not applicable.

2. Pre-application

PRE-APPLICATION DUE DATE

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

ENCOURAGE/DISCOURAGE DATE

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

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

NOFO.

Pre-applications will be reviewed for responsiveness of the proposed work to the research topics identified in this NOFO. DOE will send a response by email to each applicant encouraging or discouraging the submission of an application by the date indicated on the cover of the NOFO.

Applicants who have not received a response regarding the status of their pre-application by this date are responsible for contacting the program to confirm this status.

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

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

The pre-application must begin with a title page that will not count toward the pre-application page limitation. Include, at the top of the first page, the following information:

Title of Pre-application PI Name, Job Title

Lead Institution PI Phone Number, PI Email Address

NOFO Number: Include the NOFO Number indicated on the cover of this NOFO Include a list of all senior/key personnel at the applicant and team member institutions.

List of Collaborating Institutions Including Subrecipients Institutional Co-PI Names and Job Titles at the Collaborating Institutions Including

Subrecipients The research area(s), specified in Section III, primarily addressed by the proposed work.

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

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

This information must be followed by a clear and concise description of the objectives and technical approach of the proposed research. The pre-application should contain sufficient technical information on one or more research topics identified on this NOFO, including a short description with references on how the proposed work addresses frontier-level research in basic plasma science and engineering, and a brief description of the proposed team, including students and postdocs. The pre-application may not exceed four 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 four-page limit.

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

In addition, the pre-application must include a listing of senior/key personnel and a listing of individuals (advisee, advisor, close associate, co-author, co-editor, co-investigator, collaborator) who should not serve as merit reviewers of a subsequent application. Detailed instructions for how to craft the required listings are provided in 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 pre-application’s page limit. The list of individuals must be included as an “Additional Attachment” to your pre-application in PAMS. Pre-applications missing this information will be discouraged without a review.

The pre-application may include a list of suggested reviewers (including email address and organizational affiliation) who the PIs believe are especially well qualified to review the application. DOE is under no obligation to consider any suggested reviewers.

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

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

• List all institutions by name with each institution’s Co-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

Total Budget

Lead

PI

Co-

Example budget table ($ in thousands)

PRE-APPLICATION REVIEW

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

Any review will be based on the following criteria:

1. Responsiveness to the objectives of the NOFO as stated in Section III.

2. Scientific and technical merit.

3. Appropriateness of the proposed research approaches.

4. Likelihood of scientific impact.

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

• Relevance of the proposed activity to SC/FES priorities.

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

• Performance under current awards.

• Ensuring a distribution of supported researchers at various career stages.

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

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

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

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

others will be discouraged from submitting applications.

Oral feedback about pre-applications will be provided upon request after award selections have been announced.

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

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

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

PRE-APPLICATION SUBMISSION

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

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

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

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

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.

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

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 6 (Other Attachments). Letters of collaboration or access must not be written as recommendation or endorsement letters, which are not allowed. Each letter of collaboration or access may contain a maximum of 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) or DOE Collaborative Research Facilities may be provided with other letters of collaboration or access in Appendix 6

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.

A Record of Discussion 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 https://science.osti.gov/User-Facilities https://d3dfusion.org/become-a-user/ 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.

• 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.

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

Please answer “yes” to the question “Is this application being submitted to other agencies?” if

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

https://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms https://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms 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/renewal applications under this NOFO. Information about how to distinguish between new and renewal applications is located in Section IX.

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 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)

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:

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

• 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:

• DOE Award Number (if Renewal Application):

• PAMS Pre-application tracking number:

• Research area or areas as identified in Section III of this NOFO:

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 of the title page. Additional information may be provided at the applicant’s discretion.

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 Co-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

Total Budget

Lead

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 16 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.