DE-FOA-0003530.000001.pdf

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

Isotope R&D and Production (DOE Isotope Program or

DOE IP

Research, Development, and Training in Isotope Production

Notice of Funding Opportunity (NOFO) Number: DE-FOA-0003530 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 17, 2025 Submission Deadline for Pre-Applications:

February 17, 2025 at 11:59 PM ET 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 ET Submission Deadline for Applications: April 17, 2025 at 11:59 PM ET

Table of Contents

I. BASIC INFORMATION

EXECUTIVE SUMMARY

FUNDING DETAILS

KEY FACTS

KEY DATES

AGENCY CONTACT INFORMATION

INFORMATIONAL WEBINAR / OFFICE HOURS

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)

Executive Summary Isotopes are high-priority commodities of strategic importance for the Nation and are essential in medical diagnosis and treatment, discovery science, national security, industrial processes, advanced manufacturing, space exploration, communications, biology, archaeology, quantum information science, clean energy, environmental science, and other fields. Isotopes can directly enable emerging technologies and contribute to the economic, technical, and scientific strength of the United States. The DOE Office of Science Program for Isotope R&D and Production (also referred to as the DOE Isotope Program or DOE IP) routinely funds research and development (R&D) in isotope science to advance fundamental understanding and develop cutting edge and efficient technologies for enriching, producing, processing, recycling, and purifying radioactive and stable isotopes in short supply. This Notice of Funding Opportunity (NOFO) is narrowly focused on topics involving AI/ML, enhanced processing chemistry used in matter phase changes, and separation science. Applications incorporating effective ways to train the next generation of personnel with essential knowledge and skills related to the production, processing, and purification of radioactive and enriched stable isotopes are strongly encouraged.

Funding Details Expected total available funding Up to $11,000,000 in current and future fiscal year funds Expected number of awards Between 8 and 12 awards are expected Expected dollar amount of individual awards Between $100,000 per year and $750,000 per year Expected award project period 2 years

Key Facts NOFO Title Research, Development, and Training in Isotope Production NOFO Number DE-FOA-0003530 Announcement Type Amendment 000001 Assistance Listing 81.049 Statutory Authority The programmatic authorizing statute is:

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

Governing Regulations

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, codified at 2 CFR 200 U.S. Department of Energy Financial Assistance Rules, codified at 2

CFR 910

U.S. Department of Energy, Office of Science Financial Assistance Program Rule, codified at 10 CFR 605

Key Dates

Key dates are printed on the cover of this NOFO.

Agency Contact Information Grants.gov Customer Support

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

PAMS

Customer Support

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

Technical/Scientific Program Contact

Isotope R&D and Production – DOE Isotope Program Dr. Ethan R. Balkin, 301-903-1861, Ethan.Balkin@science.doe.gov

Informational Webinar / Office Hours

SC plans to hold an informational webinar about this NOFO.. Registration instructions and other details will be posted at https://science.osti.gov/grants/FOAs/Open.

Recommendation

SC encourages you to register in all systems as soon as possible. You are also encouraged to submit pre-applications and applications well before the deadline.

mailto:support@grants.gov mailto:sc.pams-helpdesk@science.doe.gov mailto:Ethan.Balkin@science.doe.gov https://science.osti.gov/grants/FOAs/Open

II. Eligibility

A. Eligible Applicants

The national interest in isotope production requires limiting eligibility under this NOFO to domestic organizations. The efforts in training and future workforce development are uniquely concentrated in institutions of higher education, closely associated nonprofit organizations, and DOE/NNSA National Laboratories at which undergraduate and graduate students may conduct research while enrolled in a degree-granting course of study.

DOE IP does not compete with the private sector in the sale of isotope products and provides funding opportunities for the conduct of fundamental research by commercial entities through other DOE Office of Science funding mechanisms.

Therefore, in accordance with 2 CFR 910.126, Competition, eligibility for award is restricted to DOE/NNSA National Laboratories, domestic institutions of higher education and non-profit research organizations, except nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995. For-profit entities are prohibited from submitting applications under this NOFO, though they may be included as subrecipients.

Federally affiliated1 entities must adhere to the eligibility standards below:

1. DOE/NNSA National Laboratories

DOE/NNSA National Laboratories2 are eligible to submit applications (either as a lead organization or as a team member in a multi-institutional team) under this NOFO and may be proposed as subrecipients under another organization’s application. If recommended for funding as a lead applicant or a team member, funding will be provided through the DOE Field-Work Proposal System and work will be conducted under the laboratory’s contract with DOE. No administrative provisions of this NOFO will apply to the laboratory or any laboratory subcontractor. If recommended for funding as a proposed subrecipient, the value of the proposed subaward will be removed from the prime applicant’s award and will be provided to the laboratory through the DOE Field-Work Proposal System and work will be conducted under the laboratory’s contract with DOE. Additional instructions for securing authorization from the cognizant Contracting Officer are found in Section IX of this NOFO.

2. Non-DOE/NNSA FFRDCs

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

2 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.

Non-DOE/NNSA FFRDCs3 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:

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

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

B. Cost Sharing

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

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

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

C. Eligible Individuals

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

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

3 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/

D. Limitations on Submissions

Applicant institutions are limited to no more than 2 pre-applications, or applications for each PI at the applicant institution.

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.

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

PIs must be in a permanent or indefinitely extendible 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.

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

III. Program Description

A. Purpose

The DOE SC program in Isotope R&D and Production, commonly known as the DOE Isotope Program (DOE IP), hereby announces its interest in receiving applications for Research and Development (R&D) on high priority topics, as described within, related to advancing fundamental understanding in isotope science and increasing availability of radioactive and stable isotopes in short supply. The proposed R&D should generate data and/or technology complementary to and not duplicative of those that exist or are currently funded. Applications incorporating effective ways to train the next generation of personnel with essential knowledge and skills related to the production, processing, and purification of radioactive and enriched stable isotopes are strongly encouraged.

SUPPLEMENTARY INFORMATION

Program Objective

The DOE Isotope Program (DOE IP) maintains a world-leading research and development (R&D) program focused on advancing isotope science and creating innovative and more efficient isotope enrichment, production, and processing techniques. The R&D program includes advanced targetry, artificial intelligence (AI) and machine learning (ML), robotics, process automation, nuclear and radiochemistry, and advanced manufacturing concepts. Research, development, and fabrication of equipment directed toward research in any or a mixture of DOE IP relevant topics may be proposed. Applications including construction or major projects requiring detailed review of scope, budget, and schedule beyond the procedures for this announcement will not be considered. Applications attempting to bolster the case for facilities or major items of equipment not currently approved for funding or not expected to be available during the proposed work would be considered responsive.

Scientists at domestic public and private universities and colleges and non-profit research institutions are eligible to submit applications that focus on the research and development of advanced, cost-effective, and efficient technologies for enriching, producing, processing, recycling, and purifying isotopes in short supply, particularly for the topics as described below.

Commercial entities are ineligible under this Notice of Funding Opportunity (NOFO).

Applications responsive to this NOFO will address one of the R&D topics described below and strongly align with the DOE IP mission space. Applications considered non-responsive to this NOFO by the Program Office may be rejected without further review. Data and/or technology resulting from proposed scopes of work should complement and not duplicate those that exist in the scientific community in general and within DOE IP specifically. The R&D topics of highest interest to DOE IP under this NOFO are:

• Automation, advanced manufacturing, AI/ML and/or robotics that would lead to advancement of production and processing techniques, targetry, and/or enhancement of facilities to increase the efficiency and/or safety of stable isotope enrichment or radioisotope production and/or processing;

• Novel or improved metal conversion chemistry between phases of matter (e.g., plasmas, gases, liquids, solids) for the processing and fabrication of enriched stable and radioisotopes in multiple form factors. Research using sublimation and distillation techniques would also be responsive;

• Novel or improved techniques for increasing the efficiency of lanthanide and actinide separations. This might include, but is not limited to, novel resin development, solvent extraction, or other physical modalities;

• Advancements to recover critical radioisotopes from complex mixtures (e.g., Am-241, Pm- 147, Ra-226, or Sr-90), or from energy or mining wastes, or fission/activation products in irradiated materials or used nuclear fuel; and

• Advancements in novel pathways to produce enriched stable isotopes of hydrogen (H-2 or deuterium) and other isotopes relevant to fusion energy fuel cycles (especially He-3, and Li- 6).

Applications that contribute to the training of the next generation of nuclear scientists and engineers in technical areas related to isotope production, enrichment, and processing are strongly encouraged.

All applicants are encouraged to contact the Federal Program Manager for Stable Isotopes Research or the Federal Program Manager for Radioisotope Production R&D as appropriate prior to submission of a pre-application.

Applications related to the production of Mo-99 are specifically excluded from this solicitation, as this isotope is under the purview of the National Nuclear Security Administration (NNSA) Office of Materials Management and Minimization. The DOE IP does not compete with the U.S.

private sector. Therefore, R&D to produce commercially available isotopes will not be supported, unless they are deemed by the Program to be in short supply or only manufactured outside of the United States.

References

• Meeting Isotope Needs and Capturing Opportunities for the Future: The 2015 Long Range

Plan for the DOE-NP Isotope Program, NSAC Isotopes Subcommittee, July 20, 2015 (https://science.osti.gov/~/media/np/nsac/pdf/docs/2015/2015_NSACI_Report_to_NSAC_Fi nal.pdf)

• Compelling Research Opportunities using Isotopes, NSAC Isotopes Subcommittee, April 23, 2009 (https://science.osti.gov/~/media/np/pdf/NSACI_Final_Report_Charge1.pdf)

• Isotopes for the Nation’s Future: A Long Range Plan, NSAC Isotopes Subcommittee, August 27, 2009 (https://science.osti.gov/~/media/np/nsac/pdf/docs/nsaci_ii_report.pdf)

• Workshop on the Nation’s Needs for Isotopes: Present and Future, August, 2008 (https://science.osti.gov/-/media/Isotope-Research-Development-and- Production/pdf/program/docs/isotope-worksession-presentations/Workshop- Report_final.pdf)

• Advancing Nuclear Medicine Through Innovation, National Academy of Sciences (2007), National Academies Press (https://nap.nationalacademies.org/catalog/11985/advancing-nuclear-medicine-through-innovation) https://science.osti.gov/%7E/media/np/nsac/pdf/docs/2015/2015_NSACI_Report_to_NSAC_Final.pdf https://science.osti.gov/%7E/media/np/nsac/pdf/docs/2015/2015_NSACI_Report_to_NSAC_Final.pdf https://science.osti.gov/%7E/media/np/pdf/NSACI_Final_Report_Charge1.pdf https://science.osti.gov/%7E/media/np/nsac/pdf/docs/nsaci_ii_report.pdf https://science.osti.gov/-/media/Isotope-Research-Development-and-Production/pdf/program/docs/isotope-worksession-presentations/Workshop-Report_final.pdf https://science.osti.gov/-/media/Isotope-Research-Development-and-Production/pdf/program/docs/isotope-worksession-presentations/Workshop-Report_final.pdf https://science.osti.gov/-/media/Isotope-Research-Development-and-Production/pdf/program/docs/isotope-worksession-presentations/Workshop-Report_final.pdf https://nap.nationalacademies.org/catalog/11985/advancing-nuclear-medicine-through-innovation https://nap.nationalacademies.org/catalog/11985/advancing-nuclear-medicine-through-innovation

• Department of Energy Isotope Program Artificial Intelligence for Isotopes Report on the 2022 Workshop on Artificial Intelligence for Isotope R&D and Production (2022), (https://www.osti.gov/servlets/purl/1909817)

Multi-Institutional Teams

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

COLLABORATIVE APPLICATIONS

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

• Each application must contain a correct SF-424 (R&R)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

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.osti.gov/servlets/purl/1909817 https://www.grants.gov/ https://www.ecfr.gov/ other team members proposed as subrecipients.

DOE/National Nuclear Security Administration (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

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

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

Open Science

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

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

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

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

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

CFR 1017, 10 CFR 1045.

B. Program Goals, Objectives, and Priorities

The mission of the DOE IP is to produce and distribute critical radioactive and enriched stable isotopes that are in short supply or not produced in the U.S. The DOE IP ensures national preparedness for isotope production and distribution by maintaining mission readiness of relevant national infrastructure and core competencies to ensure functionality even during times of national crisis; conducts advanced R&D to develop innovative technology and advanced radiochemical separations and purifications; and mitigates U.S. dependence on foreign supplies of isotopes to ensure robust domestic supply chains. The DOE IP incorporates core competencies of many scientific areas including, but not limited to nuclear and radiochemistry, nuclear physics, accelerator and nuclear reactor science, materials science and engineering, separations science, and nuclear data.

Isotopes are high-priority commodities of strategic importance for the Nation and are essential in medical diagnosis and treatment, discovery science, national security, industrial processes, advanced manufacturing, space exploration, communications, biology, archaeology, quantum information science, clean energy, environmental science, and other fields. Isotopes can directly enable emerging technologies and contribute to the economic, technical, and scientific strength of the U.S. The DOE IP makes isotopes available to the Nation through the capabilities of particle accelerator, nuclear reactor, enrichment, and radiochemical processing facilities throughout the national laboratory complex and at universities. Unique facilities utilized by the DOE IP are located at Argonne, Brookhaven, Idaho, Lawrence Berkeley, Los Alamos, Oak Ridge, Pacific Northwest, and Savannah River National Laboratories. University resources are located at five domestic universities (University of Alabama at Birmingham, Michigan State University, University of Missouri-Columbia, University of Washington-Seattle, and University of Wisconsin-Madison).

C. Award Contribution to Goals and Objectives

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

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

D. Performance Goals

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

E. Substantial Involvement

Not applicable.

F. Program Unallowable Costs

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

G. Citations to Statute and Regulations

The programmatic authorizing 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.

PERIOD OF PERFORMANCE

DOE anticipates making awards with a project period of 2 years.

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

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

(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)

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.

Applications that have not been encouraged by DOE may 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 Principal Investigator 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 Sub-Recipients [if applicable] PI Names and Job Titles at the Collaborating Institutions Including Sub-Recipients

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

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

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 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.

In addition, the pre-application 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 pre-application’s page limit. The list of individuals must be included as an “Additional Attachment” to your pre-application in PAMS.

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

DOE is under no obligation to consider any suggested reviewers.

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

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

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

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

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

Names Institution Year 1

Budget Year 2 Budget

Total Budget

Lead

PI

Co-PI

Example budget table ($ in thousands)

PRE-APPLICATION REVIEW

Those pre-applications 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 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 be submitted by a PI or by other users at the PI’s institution with the “Submit to DOE” privilege in PAMS.

Applicants are strongly encouraged to inform their DOE Program Manager if teaming arrangements, proposed personnel, topics, or the anticipated title change between submitting the 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.

C. Component Pieces of the Application

LETTERS OF COLLABORATION OR ACCESS

Your application may include up to three (3) one-page letters of support. 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.

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

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

Letters of collaboration or access should be placed in Appendix 7 (Other Attachment). Letters of collaboration or access must not be written as recommendation or endorsement letters, which are not allowed. Each letter of collaboration or access may contain two and only two sentences and must use the following format:

Dear <Principal Investigator Name>:

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

Thank you for the opportunity to participate.

Sincerely, <Collaborator’s Name and Signature Block>

SCIENTIFIC USER FACILITIES

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

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

1. SF-424 (R&R)

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

TYPE OF SUBMISSION (FIELD 1)

Select the checkbox for “Application” for an initial submission. Select the checkbox for

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

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

“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)

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.

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 only accept new applications under this NOFO.

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

NOFO.

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

2. Research and Related Other Project Information

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

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

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

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

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

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

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

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

PROJECT SUMMARY/ABSTRACT (FIELD 7 ON THE FORM)

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

• The project title, the PI name and the PI’s institutional affiliation, and any coinvestigators and their institutional affiliations.

https://www.ecfr.gov/

• 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:

• Street Address/City/State/ZIP:

• Postal Address:

• Lead PI name, telephone number, email:

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

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

• DOE/SC Program Office:

• DOE/SC Program Office Technical Contact:

• PAMS Pre-application tracking number

• Research area or areas as identified in Section III of this NOFO (if applicable).

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

Important Instructions to the Sponsored Research Office of Submitting Institutions: SC requires that you create one single machine-readable PDF file that contains the DOE Title Page, project narrative, all required appendices, and other attachments. This single PDF file may not be scanned from a printed document and must be attached in Field 8 on the Grants.gov form. This must be a plain PDF file consisting of text, numbers, and images without editable fields, signatures, passwords, redactions, or other advanced features available in some PDF-compatible software. Do not use PDF portfolios or binders. The project narrative will be read by SC staff using the full version of Adobe Acrobat: Please ensure that the narrative is readable in Acrobat.

If combining multiple files into one project narrative, ensure that a PDF portfolio or binder is not created. If creating PDF files using any software other than Adobe Acrobat, please use a “Print to PDF” or equivalent process to ensure that all content is visible in the project narrative. Once a project narrative has been assembled, please submit the combined project narrative file through a “Print to PDF” or equivalent process to ensure that all content is visible in one PDF file that can be viewed in Adobe Acrobat. Do not attach any of the appendices listed in this paragraph separately in any other field in Grants.gov. If you do, these additional attachments will not become part of the application in PAMS.

TITLE PAGE SUPPLEMENT FOR COLLABORATIVE APPLICATIONS

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

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

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

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

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

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

• If applicable,…