DE-FOA-0003526.pdf

Department of Energy (DOE)

Office of Science (SC) Fusion Energy Sciences (FES)

National Nuclear Security Administration (NNSA)

High-Energy-Density Laboratory Plasma Science

Notice of Funding Opportunity (NOFO) Number:

DE-FOA-0003526

NOFO Type: Initial CFDA Number: 81.049, 81.112

NOFO Issue Date: January 16, 2025 Submission Deadline for Letters of Intent:

January 30, 2025, at 5:00 PM Eastern Time A Letter of Intent is required.

Letters of Intent must be submitted by an authorized institutional representative.

Letter of Intent Response Date February 13, 2025, at 5:00 PM Eastern Time Submission Deadline for Applications: March 27, 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) National Nuclear Security Administration (NNSA)

Executive Summary The DOE SC program in Fusion Energy Sciences (FES) and the NNSA Defense Program (DP) Office of Experimental Sciences jointly announce their interests in receiving applications for new and renewal awards for research in High-Energy-Density Laboratory Plasma Science. All individuals or groups planning to submit applications for new or renewal funding in Fiscal Year 2025 should do so in response to this Notice of Funding Opportunity (NOFO). This NOFO is part of the SC-NNSA Joint Program in High-Energy-Density Laboratory Plasmas, a partnership aimed at advancing fundamental high-energy-density science (HEDS) within the DOE.

Key fundamental questions in HEDS include, but are not limited to: How does matter behave under extreme conditions of temperature, pressure, density, and electromagnetic fields? Can the mechanisms behind the formation of astrophysical jets be simulated in laboratory experiments?

How can we enhance our understanding of dense cosmic bodies through laboratory experiments and theoretical frameworks? Is there a fundamental limit to how hot a laser-produced plasma can become, and can we achieve the necessary light intensity to create dense electron-pair plasmas from a vacuum? What is the origin of magnetic fields in the universe, from planetary dynamos and stellar flares to winds and galactic jets?

Funding Details Expected total available funding Up to $7 million Expected number of awards 8-12 Expected dollar amount of individual awards $200,000 – $750,000 Expected award project period 1-3 years

Key Facts NOFO Title High-Energy-Density Laboratory Plasma Science NOFO Number DE-FOA-0003526 Announcement Type Initial Assistance Listing 81.049, 81.112 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.

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

Dr. Kramer Akli (SC) Kramer.Akli@Science.doe.gov

Dr. Stephanie Miller (NNSA) stephanie.miller@nnsa.doe.gov

Administrative Contact (questions about budgets and eligibility)

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) and applications well before the deadline.

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

II. Eligibility

A. Eligible Applicants

All types of domestic 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.

1. DOE/NNSA National Laboratories

DOE/NNSA National Laboratories1 are neither eligible to submit applications under this NOFO nor to be proposed as subrecipients under another organization’s application.

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

Non-DOE/NNSA FFRDCs2 are neither eligible to submit applications under this NOFO nor to be proposed as subrecipients under another organization’s application.

3. 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:

• 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.

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.

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

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

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.

D. Limitations on Submissions

Applicant institutions are limited to no more than one letter of intent or application for each PI at the applicant institution. DOE will consider the latest received submissions to be the institution’s intended submissions.

Should DOE receive submissions in excess of the applicable limits, DOE reserves the right, in its sole discretion, to request additional or clarifying information to ascertain the institution’s intended submissions. Otherwise, DOE will consider the latest received submissions to be the institution’s intended submissions.

• Letters of intent in excess of the limited number of submissions may be discouraged.

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

LIMITATIONS ON PI

The PI on a letter of intent or application may be listed as a senior or key personnel on no more than two submission(s).

PIs must be in a permanent or indefinitely extensible position, or long-term at the applicant institution, whether tenured, tenure-track, or a staff appointment. Individuals in term-limited appointments that may not be extended, whether as adjunct, visiting faculty, fellows, or similar appointments, are not eligible to be proposed as a PI. Individuals in part-time permanent positions are eligible to be proposed as a 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.

Individuals receiving more than half of their salary and benefits from a DOE/NNSA National Laboratory may not be named as the PI in an application under this NOFO, regardless of any arrangement between the employing Laboratory and the applicant institution.

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

III. Program Description

A. Purpose

The DOE SC program in Fusion Energy Sciences (FES) and the NNSA Defense Program (DP) Office of Experimental Sciences jointly announce their interests in receiving applications for new and renewal awards for research in High-Energy-Density Laboratory Plasma Science. All individuals or groups planning to submit applications for new or renewal funding in Fiscal Year 2025 should do so in response to this Notice of Funding Opportunity (NOFO). This NOFO is part of the SC-NNSA Joint Program in High-Energy-Density Laboratory Plasmas, a partnership aimed at advancing fundamental high-energy-density science within the DOE.

Key fundamental questions in HEDS include, but are not limited to: How does matter behave under extreme conditions of temperature, pressure, density, and electromagnetic fields? Can the mechanisms behind the formation of astrophysical jets be simulated in laboratory experiments?

How can we enhance our understanding of dense cosmic bodies through laboratory experiments and theoretical frameworks? Is there a fundamental limit to how hot a laser-produced plasma can become, and can we achieve the necessary light intensity to create dense electron-pair plasmas from a vacuum? What is the origin of magnetic fields in the universe, from planetary dynamos and stellar flares to winds and galactic jets?

SUPPLEMENTARY INFORMATION

Applications are sought in the following topical areas of HEDS. This NOFO solicits research efforts that include experimental, theoretical, and/or computational science. Applications that align with the 2020 FESAC Long-Range Plan, "Powering the Future: Fusion & Plasmas," and the 2023 National Academies report sponsored by NNSA, “Fundamental Research in High Energy Density Science,” are encouraged.

Topics of interest for this NOFO include:

• Topic-1: Relativistic HED Plasmas and Intense Beam Physics:

This area of research explores topics such as relativistic laser and beam propagation, relativistic laser-solid interactions, ultrahigh energy density plasmas at the quantum electrodynamic (QED) limit, relativistic thermal plasmas, and relativistic shocks. Key questions include: How do plasmas dominated by relativistic effects behave? What new collective behaviors and fundamental physics can we uncover at the relativistic limits of high-energy density physics? Additionally, how can we generate ultra-bright vacuum ultraviolet (VUV) and X-ray sources that surpass the capabilities of current light sources?

• Topic-2: Nonlinear Optics of Plasmas and Laser-Plasma Interactions:

This area investigates the interplay between coherent radiation and nonlinear states in high-energy-density (HED) plasmas, nonlinear wave-particle interactions, multiple coexisting instabilities, broadband radiation in plasma, and quantum phenomena. Important questions include: How does coherent radiation drive self-organized states in plasmas? How can we control and tailor nonlinear optical processes in high-energy-density laboratory plasmas?

Additionally, how do multiple nonlinear processes co-evolve, and how do overlapping laser https://science.osti.gov/-/media/fes/fesac/pdf/2020/202012/FESAC_Report_2020_Powering_the_Future.pdf https://nap.nationalacademies.org/catalog/26728/fundamental-research-in-high-energy-density-science pulses interact through common plasma modes? Finally, how can we create a self-consistent wave-kinetic model for laser-matter interactions that bridges classical, quantum, and relativistic regimes?

• Topic-3: HED Hydrodynamics:

This area focuses on topics such as turbulent mixing, probing the properties of HED matter through hydrodynamics, new hydrodynamic instabilities, and hydrodynamic scaling. Key questions include: How do hydrodynamic flows change due to the added physical complexity and multiscale nature of HED plasmas? How can we understand and control the hydrodynamic instabilities that may limit the achievable pressures and densities in laboratory environments?

• Topic-4: Warm Dense Matter:

Research in this area examines phase transitions within and around the warm dense matter regime, the development of a comprehensive theory connecting different WDM regimes, the dependence of the equation of state on formation history, transport properties of warm dense matter, and similarities between quark-gluon plasma and warm dense matter. Important questions include: What role did giant planetary impacts play in the history of the solar system? What is the nature of the Earth’s iron core? How did Jupiter form? What explains the unusual magnetic fields of the ice giants? What is the nature of exoplanet interiors?

• Topic-5: Radiation-Dominated Dynamics and Material Properties:

This area covers topics such as radiative shocks, radiation waves and transport, radiative cooling, opacities, equations of state, radiative instabilities, radiation pressure, and atomic physics in hot plasmas. Key questions include: How does matter respond to super-intense radiation? What atomic properties are critical, and how are they modified in HED plasmas?

The description of the topics above is not exhaustive but broad enough to allow for some overlap in the scientific questions they address. However, applicants must clearly identify a single topical area that best describes their proposed research.

Multi-Institutional Teams

Applications for multi-institutional teams must ensure that the lead institution performs a greater portion of the scientific and technical work than any other team member. Requests to change the institution performing the greatest portion of the scientific and technical work after an application is submitted will result in the application being declined unless the request is the result of the lead PI’s death, incapacitation, or relocation.

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

COLLABORATIVE APPLICATIONS

Collaborative applications (in which each team member submits its own application with a common Project Narrative) will not be accepted under this NOFO.

SUBAWARDS3

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

References

1. FESAC Long-Range Plan, "Powering the Future: Fusion & Plasmas," 2020.

https://science.osti.gov/- /media/fes/fesac/pdf/2020/202012/FESAC_Report_2020_Powering_the_Future.pdf

2. National Academies report sponsored by NNSA, “Fundamental Research in High Energy Density Science,” 2023. https://nap.nationalacademies.org/catalog/26728/fundamental-research-in-high-energy-density-science

Joint Consideration

Applications submitted to this NOFO will be considered for award by SC program and NNSA.

Both organizations will coordinate their award selections to avoid overlap and duplication. If an application is recommended for funding by SC, all administrative provisions of this NOFO will apply. If an application is recommended for funding by an organization outside SC, applicants are cautioned to strictly follow that organization’s instructions regarding the transfer of the application and potential award administration and other applicable NNSA policies. This includes, but is not limited to, the PI must be a U.S. Person defined as a citizen of the United States, or an alien lawfully admitted for permanent residency. All persons receiving funding from NNSA must be U.S. Persons or the PI must request and receive written permission for such funding from the NNSA Program Director. The NNSA Grants Officer or the NNSA Program Director can request, in writing, personally identifiable information (PII), such as full name, nationality, date of birth, and social security number, of individuals engaged in activities of, receiving support from, or benefiting from the resources of the grant. The NNSA Program Director can exclude individuals from receiving funding from the grant, from using the resources provided by the grant, and from participating in grant activities. Recipients of NNSA proposing “renewals” of existing activity must mark their applications as “new” in Field 1 of the SF-424 (R&R) form and follow the instructions for Appendix 8 of their application.

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

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

https://science.osti.gov/-/media/fes/fesac/pdf/2020/202012/FESAC_Report_2020_Powering_the_Future.pdf https://science.osti.gov/-/media/fes/fesac/pdf/2020/202012/FESAC_Report_2020_Powering_the_Future.pdf https://science.osti.gov/-/media/fes/fesac/pdf/2020/202012/FESAC_Report_2020_Powering_the_Future.pdf https://nap.nationalacademies.org/catalog/26728/fundamental-research-in-high-energy-density-science https://nap.nationalacademies.org/catalog/26728/fundamental-research-in-high-energy-density-science https://nap.nationalacademies.org/catalog/26728/fundamental-research-in-high-energy-density-science https://nap.nationalacademies.org/catalog/26728/fundamental-research-in-high-energy-density-science https://www.ecfr.gov/ 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.

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.

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

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

Either a grant or cooperative agreement may be awarded under this NOFO. If the award is a cooperative agreement, the DOE contract specialist/grants management specialist and DOE program manager will negotiate a Statement of Substantial Involvement prior to award.

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 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.

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

A multi-institutional team with subawards is limited to a request of no more than $250,000 per year.

Applications with no subawards are limited to a request of no more than $200,000 per year.

Applications requesting more than this amount of support may be declined without further review.

PERIOD OF PERFORMANCE

DOE anticipates making awards with a project period of approximately 1-3 years.

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

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

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

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.

The LOI is to help in planning the review and the selection of potential reviewers for the application. 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 PI Name, Job Title

Institution PI Phone Number, PI Email Address

NOFO Number: Include the NOFO Number indicated on the cover of this NOFO

The material listed here defines the required content of the title page. Additional material is not allowed.

• 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

Total Budget

Lead

PI

Co-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 the DOE SC Portfolio Analysis and Management System (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.

LOIs 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 LOI but will only be able to submit the LOI 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 mailto:PAMS.Autoreply@science.doe.gov https://pamspublic.science.energy.gov/ https://pamspublic.science.energy.gov/ https://www.fedconnect.net/ https://www.grants.gov/

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

Dear <Principal Investigator Name>:

If your application entitled, “<Application Name>,” is selected for funding under the 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 https://science.osti.gov/User-Facilities 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.

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 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 Assurances4. 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.

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

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

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 and 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 https://www.ecfr.gov/ 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, and the information described below, must fit within the one-page abstract.

• 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/.

https://energy.gov/mission 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:

• DOE Award Number (if Renewal Application):

• PAMS LOI tracking number (if applicable):

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

Identify a single topical area that best describes your proposed research (e.g., Topic-1).

Applications that do not identify a single topical area may be declined without review.

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 required content of the title page. Additional material is not allowed.

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.

Project NarrativeProject Narrative

PROJECT NARRATIVE (FIELD 8 ON THE FORM)

The Project Narrative must not exceed a page limit of 15 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.

• Progress Report (for Renewal Applications Only): The Project Narrative of a renewal application must include a separate section that includes a description of results of the work accomplished during the current project period (since the last new or renewal award), an analysis of how the results relate to the activities proposed to be undertaken during the renewal period, and a description of any changes that affected the overall direction of the research being performed. Include an estimate of any remaining funds from the current project period at its anticipated end.

• 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.

Do not attach any of the requested appendices described below as files for Fields 9, 10, 11, and 12 in Grants.gov. Follow the below instructions to include the information as appendices in the single Project Narrative file.

Biographical sketches and current and pending support may no longer be provided as attachments to a Project Narrative. These documents must be attached to the Research and Related Senior/Key Person Profile (Expanded) form in an application.

APPENDIX 1: BIBLIOGRAPHY & REFERENCES CITED

Provide a bibliography of any references cited in the Project Narrative. Each reference must include the names of all authors (in the same sequence in which they appear in the publication), the article and journal title, book title, volume number, page numbers, and year of publication.

For research areas where there are routinely more than 10 coauthors of archival publications, you may use an abbreviated style such as the Physical Review Letters (PRL) convention for citations (listing only the first author). For example, your paper may be listed as, “A Really Important New Result,” A. Aardvark et. al. (MONGO Collaboration), PRL 999. Include only bibliographic citations. Applicants should be especially careful to follow scholarly practices in providing citations for source materials relied upon when preparing any section of the application. Provide the Bibliography and References Cited information as an appendix to your Project Narrative.

• This appendix will not count in the Project Narrative page limitation.

• Do not attach a bibliography to Field 9 of the Research and Related Other Project

Information form.

APPENDIX 2: FACILITIES & OTHER RESOURCES

This information is used to assess the capability of the organizational resources, including subrecipient resources, available to perform the effort proposed. Identify the facilities to be used (Laboratory, Animal, Computer, Office, Clinical and Other).