FY22 SSAA Center FOA DE-FOA-0002789 REV AMD 01.pdf

DEPARTMENT OF ENERGY

NATIONAL NUCLEAR SECURITY ADMINISTRATION

OFFICE OF RESEARCH, DEVELOPMENT, TEST, AND

EVALUATION

STEWARDSHIP SCIENCE ACADEMIC ALLIANCES PROGRAM

CENTERS OF EXCELLENCE

NOTICE OF FUNDING OPPORTUNITY (NOFO)

ANNOUNCEMENT NUMBER:

DE-FOA-0002789

NOFO TYPE: INITIAL

ASSISTANCE LISTING NUMBER: 81.112

NOFO Issue Date: July 11, 2022 Submission Deadline for Pre-Applications: August 22, 2022 Encourage/Discourage Date September 06, 2022 Submission Deadline for Applications: October 19, 2022 Expected Date for Selection Notifications: March 2023

Table of Contents

SECTION I – FUNDING OPPORTUNITY DESCRIPTION

SECTION II – AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

B. ESTIMATED FUNDING

C. MAXIMUM AND MINIMUM AWARD SIZE

D. EXPECTED NUMBER OF AWARDS

E. ANTICIPATED AWARD SIZE

F. PERIOD OF PERFORMANCE

G. TYPE OF APPLICATION

SECTION III – ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

B. COST SHARING

C. LIMITATIONS ON SUBMISSIONS

SECTION IV – APPLICATION AND SUBMISSION INFORMATION

A. ADDRESS TO REQUEST APPLICATION PACKAGE

B. LETTER OF INTENT (LOI) AND PRE-APPLICATION

C. GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES

D. CONTENT AND APPLICATION FORMS

E. SUBMISSIONS FROM SUCCESSFUL APPLICANTS

F. SUBMISSION DATES AND TIMES

SECTION V - APPLICATION REVIEW INFORMATION

A. CRITERIA

B. REVIEW AND SELECTION PROCESS

C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES

SECTION VI – AWARD ADMINISTRATION INFORMATION

A. AWARD NOTICES

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

C. REPORTING

D. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY AND

PERFORMANCE (DECEMBER 2015)

SECTION VII - QUESTIONS/AGENCY CONTACTS

A. QUESTIONS

B. AGENCY CONTACTS

SECTION VIII – SUPPLEMENTARY MATERIAL

A. HOW-TO GUIDES

B. POLICY PROVISIONS

C. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

UPDATES AND REMINDERS

RECOMMENDATION

The Department of Energy (DOE) National Nuclear Security Administration (NNSA) 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.

CURRENT AND PENDING SUPPORT AND BIOSKETCHES

The instructions for the content of current and pending support and biosketches have changed.

Please read the instructions carefully and follow them.

REPORTING AND ADMINISTRATIVE REQUIREMENTS

DOE/NNSA is implementing enhanced reporting requirements for applications and awards.

Reporting and administrative requirements, including but not limited to those pertaining to other sources of support and potential conflicts of interest or commitment, are subject to change before the Federal award date. The terms and conditions of award will specify changed requirements:

Applicants have the right to reject any proposed awards. Terms and conditions may be modified at the time of an award modification: Recipients have the right to reject such modifications and allow an award to expire.

UNIQUE ENTITY IDENTIFIER (UEI)

The Federal Government is transitioning from the Data Universal Numbering System (DUNS), assigned by Dun and Bradstreet at https://fedgov.dnb.com/ to the UEI, assigned by the System for Award Management at https://www.sam.gov. Information systems including SAM.gov amd Grants.gov are being updated: Please follow the on-screen instructions or contact each system’s Help Desk for additional information. Detailed information about the transition is available at https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-information-kit/unique-entity-identifier-update.

ACKNOWLEDGMENT OF FEDERAL SUPPORT

For peer reviewed and technical papers, the following acknowledgment of support is required:

“This material is based upon work supported by the National Nuclear Security Administration, Stewardship Science Academic Alliances, under Award Number [DE-NA-XXXXXX].”

NNSA follows the general format of the Office of Science. More specific guidance can be found at: https://science.osti.gov/funding-opportunities/acknowledgements/.

https://fedgov.dnb.com/ https://www.sam.gov/ https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-information-kit/unique-entity-identifier-update https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-information-kit/unique-entity-identifier-update https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-information-kit/unique-entity-identifier-update https://science.osti.gov/funding-opportunities/acknowledgements/

PUBLIC ACCESS

Awards made under this NOFO are subject to DOE’s Public Access Plan (https://www.energy.gov/downloads/doe-public-access-plan). Full-text version of scientific publications must be made publicly accessible at no charge to readers.

NNSA STATEMENT OF COMMITMENT

The NNSA is fully and unconditionally committed to fostering safe, diverse, equitable, and inclusive work, research, and funding environments that value mutual respect and personal integrity. Discrimination and harassment undermine NNSA’s ability to achieve its mission by reducing productivity, discouraging, or inhibiting talent retention and career advancement, and weakening the integrity of the NNSA enterprise overall. NNSA does not tolerate discrimination or harassment of any kind, including sexual or non-sexual harassment, bullying, intimidation, violence, threats of violence, retaliation, or other disruptive behavior in the federal workplace, including DOE field site offices, or at national laboratories, scientific user facilities, academic institutions, other institutions receiving NNSA funding, or other locations where activities funded by NNSA are carried out.

PDF GENERATION

The research narrative in an application must be one single machine readable PDF file that contains the Title Page, project narrative, biographical sketch, current and pending support, bibliography and references cited, facilities and other resources, equipment, 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. You are strongly encouraged to submit the combined research narrative file through a “Print to PDF” or equivalent process to ensure that all content is visible in one PDF file.

https://www.energy.gov/downloads/doe-public-access-plan

Section I – FUNDING OPPORTUNITY DESCRIPTION

GENERAL INQUIRIES ABOUT THIS NOFO SHOULD BE DIRECTED TO:

Technical/Scientific Program Contact:

Robert Spencer(NNSA) robert.spencer@nnsa.doe.gov

Administrative Contact:

Terri Stone (NNSA) terri.stone@nnsa.doe.gov

Grants Officer:

Kristee Hall (NNSA) kristee.hall@nnsa.doe.gov

STATUTORY AUTHORITY

Atomic Energy Act of 1954, as amended, Section 31, Public Law 83-703, 68 Stat. 919, 42 U.S.C. 2051; Energy Reorganization Act of 1974, Title 1, Section 107, Public Law 93-438, 88 Stat. 1240, 42 U.S.C. 5817; Federal Nonnuclear Energy Research and Development Act of 1974, Public Law 93-577; Department of Energy Organization Act of 1977, as amended, Public Law 95-91, 42 U.S.C. 7101

APPLICABLE REGULATIONS

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, codified at 2 CFR 200 U.S. Department of Energy Financial Assistance Rules, codified at 2 CFR 910

SUMMARY

Defense Programs, within the Department of Energy’s (DOE) National Nuclear Security Administration (NNSA), directs research and development activities to maintain the safety, security, and effectiveness of the nation’s nuclear weapons stockpile. This nuclear deterrent remains a vital part of our national security infrastructure. It maintains strategic stability, deters potential adversaries, and reassures our allies and partners of our security commitments. Since 1992, the United States has observed the moratorium on underground nuclear testing while significantly decreasing the size of its nuclear arsenal. National Policy required NNSA and its weapons laboratories to institute the science-based Stockpile Stewardship Program (SSP) to ensure the safety, security, and effectiveness of the stockpile, while allowing the country to mailto:robert.spenser@nnsa.doe.gov mailto:terri.stone@nnsa.doe.gov mailto:kristee.hall@nnsa.doe.gov pursue a variety of nonproliferation and disarmament goals. The SSP combines sophisticated experiments, highly accurate physics modeling, and improved computational power to simulate and predict nuclear weapon performance over a wide range of conditions and scenarios.

The Stewardship Science Academic Alliances (SSAA) Program was established in 2002 to support state-of-the-art research at U.S. academic institutions in areas of fundamental physical science and technology of relevance to the SSP mission. The SSAA Program provides the research experience necessary to maintain a cadre of trained scientists at U.S. universities to meet the nation’s current and future SSP needs, with a focus on those areas not supported by other federal agencies. It supports the DOE/NNSA’s priorities both to address the workforce specific needs in science, technology, engineering, and mathematics and to support the next generation of professionals who will meet those needs.

Defense Programs Office of Strategic Partnership Programs announces their interest in receiving applications for new or renewal cooperative agreement financial assistance awards for Centers of Excellence for research in the Stewardship Science Academic Alliances (SSAA) Program. Only applications for cooperative agreements awards will be accepted for this solicitation, no grant applications will be considered.

The specific areas of interest are:

1. Advanced Characterization of Materials Properties under Extreme Conditions

2. Low Energy Nuclear Science

3. Radiochemistry

4. High Energy Density Physics

SUPPLEMENTARY INFORMATION

Program Objectives

The objectives of the SSAA Program are to:

• Develop the next generation of diverse, highly trained technical workers able to support NNSA’s core missions.

• Maintain technical expertise external to the nuclear security enterprise for providing valuable advice, cross-check, and peer review.

• Enable innovation to strengthen key fields of research relevant to the NNSA mission, thereby enhancing nuclear security missions.

Technical Scope and Topical Research Areas

The DOE/NNSA will consider applications for university-led research which can address one or more of the fundamental areas of physical sciences outlined below. Proposals should have an appropriate balance between experimentation and analysis using theory and computational simulation and be of relevance to the NNSA Defense Programs stockpile stewardship mission.

Proposals that advance theory and physical modeling should have a strong, demonstrable connection to experimental efforts.

All proposed work to be funded through this SSAA Program announcement is to be UNCLASSIFIED. No proposals for CLASSIFIED work will be accepted.

1. Topic Research Area # 1: Advanced Characterization of Materials Properties under Extreme Conditions

This topical research area is written to be multi-disciplinary in nature, incorporating physics (e.g., condensed matter, shock), chemistry, materials science, and engineered materials.

Research proposals are solicited in the area of fundamental properties and behavior of materials under extreme conditions, including high-pressure (> 5 GPa), high-temperature, or fast material loading rates (>104 per second). The breadth of this topical area includes, but is not limited to:

Material Properties under Extreme Conditions:

Experimental investigations of quasi-static high pressure and dynamically driven materials and interrogation of their properties under conditions of high-pressure, high-temperature, high-strain and/or high-strain-rate. Of particular interest are experimental techniques that access and probe dynamic compression phenomenon with novel time-resolved optical and x-ray probes.

Materials properties of interest may include thermodynamic properties (equation-of-state, high-pressure phase diagram, pressure-induced phase transformation, etc.), kinetics of phase transformations, constitutive properties (plasticity and strength, failure, fracture, etc.), material anisotropy, and microstructure.

Examine the nature, mechanisms and kinetics of phase transformations and microstructural changes in condensed matter. Study phase transformations through the nucleation and growth, and development of new matrix or precipitate phases. Observe Martensitic or Eutectoid transformations, or spinodal decomposition with the objective of understanding phase transformations that drive microstructural changes and resulting macroscale properties.

Development of predictive models of material behavior under extreme conditions based on closely integrated experiment and theory. Of particular interest are models that assess microstructural effects (e.g., grain structure, defects, impurities) on dynamic response. Development of computational tools to aid in data analysis and data mining to enhance understanding of experimental results may also be of interest.

Other research areas of interest include geological and planetary science, shock physics, and constitutive properties of high-pressure materials. Consideration will also be given to proposals that explore material properties of engineered materials and materials produced using advanced manufacturing techniques. Proposals including major research themes in explosives synthesis and trans-uranic elements are discouraged.

Novel Characterization, Imaging, and Detection:

Develop and apply novel characterization methodologies, imaging and detection techniques toward understanding material properties and their performance. The following areas are of interest: optical and x-ray measurements such as velocimetry, ultrafast imaging, high repetition rate imaging or detection, diffractive techniques, spectroscopy, and tomographic techniques; and novel time-resolved diagnostics. X-ray source development is not an area of interest. Materials research that may lead to future advances in new x-ray sensors/detector is of potential interest. Measurement techniques should lead to a high-fidelity observation of physical phenomena at relevant temperature, density and/or strain conditions, length and time scales, and temperature measurements under extreme conditions.

2. Topic Research Area # 2: Low Energy Nuclear Science

Research proposals are solicited in the area of low energy nuclear science. Measurement and theory development should be done in a manner to include focus on the systematic errors in the process. The breadth of this topical area includes, but is not limited to:

• Investigations, including nuclear theory, differential and/or integral measurements, leading to greater accuracy in the nuclear data of stable and unstable nuclei and corresponding reaction rates for neutron, gamma, and charged particle-induced reactions.

• Development of advanced simulations and measurement techniques leading to improved radiation and particle detection methods, in terms of energy, temporal, and spatial resolution.

• Physics of the fission process, including measurements or theory to understand fission fragment yields and energies, the multiplicity and distributions of the prompt neutrons and gammas, and the subsequent emissions from the fission fragment products including correlations in energy, multiplicity, and direction among the emitted particles.

• Development of advanced nuclear physics experimental diagnostic methods relevant to proton, x-ray, or other radiographic techniques, or to cross section and reaction rate measurements involving unstable and radioactive nuclei.

• Physics of neutron scattering processes, including measurements or theory to understand the energy and angular dependence of elastic and inelastic reactions.

3. Topic Research Area # 3: Radiochemistry

Research proposals are solicited in the area of radiochemistry with an emphasis on studies of the heavier elements and the actinides. The breadth of this topical area includes, but is not limited to:

• Improvements in isotope production and harvesting methods, chemical separation techniques, and coordination chemistry of actinides and fission products.

• Investigations which particularly address systematic uncertainties while leading to greater accuracy in neutron- and particle- induced cross sections of the actinides.

• Production procedures and techniques to manufacture pure targets, especially short-lived nuclei including americium, for use in nuclear science measurements, including new methods and procedures for harvesting rare isotopes at radioactive ion beam facilities.

• Environmental chemistry of plutonium and other actinides and development of advanced radio-analytical methods to measure actinide elements in environmental samples that improve the knowledge of the behavior of actinides in relevant environments and scenarios.

• Development of novel detector systems to improve spectral measurement sensitivity and/or new chemistry procedures to process irradiated targets to prepare them for precision measurements.

4. Topic Research Area # 4: High Energy Density Physics

Research proposals are solicited in the area of high energy density physics (HEDP), with particular emphasis on an integration of theory, experiment, and simulation. High energy density laboratory plasmas are defined as matter reaching approximately 100 billion Joules per cubic meter (the dissociation energy density of a hydrogen molecule) corresponding to a pressure of approximately 1 Mbar. Free electrons play a significant role in the dynamics in HEDP and the underlying assumptions and methods of traditional ideal-plasma theory and standard condensed matter theory do not apply.

The breadth of this topical area includes, but is not limited to:

• Properties of matter in high energy density regimes, e.g. those produced by lasers and/or pulsed power drivers. This includes investigations in related areas of high pressure material behavior, plasma physics, inertial fusion, atomic physics, radiation generation and propagation, and the interaction of radiation with matter.

• Experiments using HED facilities that yield information about astrophysical or geophysical phenomena.

• Diagnostics and measurement techniques for the observation of physical phenomena under high energy density conditions, including techniques for laser- or pulsed power-driven systems.

• Development of numerical and computational tools that assist in the design and analysis of experimental HED science and theoretical and computational capabilities to deliver HED-relevant models, such as plasma transport and plasma EOS.

• Advanced driver technologies that could lead to significant advances in the conditions that can be reached on present and future HED drivers (laser and pulsed power technology).

• Advances in experimental target fabrication and characterization methods.

Expectations of a Center of Excellence

A successful Center of Excellence:

• forms an effective collaborative team,

• establishes a Center Scientific Advisory Committee,

• recruits and trains students, early career researchers, and staff scientists and provides them with exposure to researchers and the environment of the NNSA National Laboratories,

• has a committed Director and collaborators, and

• fulfills all obligations and reporting requirements.

Forms an Effective Collaborative Team. A successful Center of Excellence consists of a multi-investigator team, preferably from multiple academic institutions, which address the over-arching theme of interest within one of the topical research areas described in this NOFO. The Principal Investigator, or PI, serves as the Director of the Center, and leads the effort collaboratively with the other senior researchers. The PI’s institution is the assignee for the cooperative agreement. Members of the multi-investigator team are “Partners.” The “Center” is defined as the Partners plus the PI. A Center of Excellence conducts research to address the scientific areas of interest as a team, in a manner that is more efficient and effective than by the members of the team acting separately. The Center demonstrates an integrated use of theory, experiment, simulation and technology. The Center has a sustained and successful leadership and management team comprised of lead senior researchers from the academic partners. NNSA Laboratory researchers may not receive funding through this NOFO and therefore would not be “partners”.

The Center investigators, students, and early career researchers are encouraged to engage and collaborate with NNSA National Laboratory researchers in their scientific research. However, the National Laboratories are not part of the Center’s multi-institutional “partner” team and DOE/NNSA laboratories are not eligible to receive direct funding associated with this NOFO.

National Laboratory researchers are funded through existing Management & Operating (M&O) Contracts with NNSA.

Establishes a Center Scientific Advisory Committee. Successful Centers establish a Center Scientific Advisory Committee (CSAC) within the first year after award. The members of the committee are external to the institutions of the Center. A minimum of five and maximum of seven members comprise the CSAC. Members of the CSAC are subject matter experts or technical experts in an area of research closely related to that of the Centers and have experience leading and managing research efforts. The CSAC must include at least three subject matter experts or technical experts from at least two, preferably three, different NNSA National Laboratories or NNSA Production Facilities with expertise in the Center’s research area. The DOE/NNSA SSAA Program Manager (SSAA PM) has review and approval authority for membership of the CSAC and must be notified for approval in a timely fashion of any changes to the committee.

The CSAC acts as an external advisory and review board for the Center that continually strengthens the Center and its contributions to meeting the goals of the SSAA Program. The CSAC meets at a Center location at least annually to review progress and scientific plans, and to advise on management of the Center and on planning for future collaborations. The SSAA PM shall be informed at least one month in advance of the meetings of the CSAC and may elect to observe the meetings. The CSAC produces an annual report of Findings and Recommendations from the review that is submitted to the Director of the Center and to the SSAA PM.

Additional details on the role of the CSAC may be included in the Special Terms and Conditions section of the cooperative agreement. For Centers that operate their own experimental facility, the CSAC will provide recommendations to the Center for general technical direction and experimental execution plan, including allocation of facility time. For Centers that use experimental facilities operated by others, the CSAC provides recommendations for general technical direction and scientific priorities. The SSAA PM may request the CSAC to review specific matters pertaining to the Center as part of their annual meeting.

Recruitment and development of students, early career researchers, and staff scientists. A successful Center of Excellence attracts the brightest and most talented students and early career researchers, attracting them to the exciting opportunities for research in fields relevant to stockpile stewardship. The Center students benefit from opportunities to spend time at the DOE/NNSA National Laboratories, participate in on-site practicums, engage with National Laboratory scientists, and participate in symposia. A successful Center sends at least one PhD student who is funded under the cooperative agreement to meaningfully engage in a research experience at one of the three DOE/NNSA National Laboratories for a significant period of time (preferably at least 8 weeks) each year, either through internship or some other arrangement. The student may be a different individual from year to year. Alternative approaches may be proposed but they must provide PhD students of the Center with equivalent or more meaningful research experiences and engagement with the DOE/NNSA National Laboratories and must be approved by the Federal Program Manager. The alternative approach will be evaluated as part of the Center Review, and approval may be rescinded if the alternative approach is not meeting expectations. The Director of the Center, researchers, and students present the results of their research at conferences and symposiums, including at the Stewardship Science Academic Programs (SSAP) Annual Review Symposium. The Center takes the initiative to reach out to other academic institutions that haven’t had a strong connection to stockpile science, to educate and engage students and faculty in the opportunities and activities of the Center.

Center graduates are encouraged to seek post-doctoral or staff positions at NNSA Laboratories.

It is NNSA’s desire that graduates of the Center pursue careers either at U.S. institutions, U.S.

universities, or at the NNSA National Laboratories, contributing to fields of science that are Defense Program-relevant. Early career researchers and staff scientists involved in the Center have opportunities to conduct exciting research, participate in collaborative efforts, and to assume leadership roles. The Director and senior researchers will actively mentor junior staff, helping to develop future leaders.

Commitment of Director and Collaborators to the Center of Excellence. The success of a Center depends on the engagement of the Director and the senior researchers. It is the responsibility of the primary institution to notify, in writing and in a timely fashion, the DOE/NNSA Contracting Officer and the SSAA PM of any significant change in the time commitment of the Center’s Director and senior research team to the work of the Center; such changes include reductions in effort, leaves of absence, joint appointments, retirements, sabbaticals, or intents to move to another institution. Failure to do so could result in reductions in funding, scope, or project period.

Prospective key personnel must indicate all sources of current or pending funding in the application. Once funds are awarded, key personnel are required to notify the SSAA PM of any changes in such additional funding, including foreign sources of funding. The SSAA PM must be notified, in a timely fashion and in writing, of any change in the Center’s key researcher’s efforts for a period of over 3 months.

Fulfills all obligations and reporting requirements. The Center of Excellence is required to fulfill all obligations and reporting requirements under the cooperative agreement. A post-award orientation meeting will be held with each Center to communicate roles and responsibilities under the agreement. The DOE/NNSA Contracting Officer and the SSAA PM will review the terms, conditions, reporting requirements, and the Statement of Substantial Involvement with the Principal Investigator and Contracting Officer, or their representative(s), of the grantee institution.

Center Reviews and Site Visits

The SSAA PM for each Center will review the performance of the Center through site visits, site reviews, annual Research Performance Progress Report, publications by Center personnel, and ad hoc communications. The SSAA PM will conduct Center site reviews not more frequently than annually, and at least 60 days prior to determination of continuation of funding. Each Center and its personnel are expected to conduct research in the highest standards of the academic community and the missions of the DOE/NNSA. If a Center is not performing satisfactorily, the SSAA PM and the DOE/NNSA Contracting Officer will notify the institution of the performance issues/concerns, recommended action(s), and the timeline to demonstrate satisfactory performance. If performance does not improve to satisfaction and/or problems are not corrected, reduction in funding to the Center or termination of the cooperative agreement may result.

The Center will be reviewed on a number of factors, which may include, but are not limited to:

progress toward accomplishing milestones and addressing key scientific and technical challenges, technical contributions demonstrated through publications, efficient use of resources, recruitment strategy, level of involvement of the doctoral students and post-doctoral researchers in the work of the Center, and exposure of the graduate students and post-doctoral researchers to the research and staff at the NNSA National Laboratories. Also the Center will be reviewed on how successful it is at using a collaborative team approach that positively impacts the research program.

Participation in Center Activities and Compliance

The SSAA Program was established, in part, to support the long-term development of U.S.

human capital in the fields of science, engineering, mathematics, and technology relevant to stockpile stewardship. NNSA follows a graded approach for reviewing and approving access by foreign nationals to DOE sites, programs, information and technologies, in accordance with DOE Order 142.3 A.

Any individual person receiving funding support under this cooperative agreement must be a U.S. Person (see Section III. A) or the Center Director/Principal Investigator must request and receive written permission for such funding from the SSAA PM.

The DOE/NNSA Contracting Officer or the SSAA PM 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 Center. The DOE/NNSA SSAA PM can exclude individuals from receiving funding from the cooperative agreement, from using the resources of the Center, and from participating in Center activities.

All awards made under this NOFO are subject to future implementation of applicable DOE policy directives, including but not limited to those which implement Presidential Memorandum on United States Government-Supported Research and Development National Security Policy, National Security Policy Memorandum – 33, January 14, 2021.

DOE National Laboratories follow DOE Order 142.3 A, “Unclassified Foreign Visits and Assignments Program” which defines the program for unclassified foreign national access to DOE sites, information, technologies, and equipment. Access approvals for foreign nationals to NNSA National Laboratories are subject to validation and verification of the information submitted for the access request when the visit or assignment begins. Establishing collaborative research relationships between universities and the DOE National Laboratories is more difficult for foreign nationals to accomplish due to access restrictions at DOE/facilities and may prevent foreign nationals from participating in experiments or on-site practicums at DOE Laboratories.

All applicants are responsible for ensuring compliance with all applicable U.S. Export Control laws and regulations and all other applicable security requirements relating to any work performed under a resulting award.

Open Science

DOE/NNSA 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.export.gov.

https://www.export.gov/

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

This NOFO is to support scientific endeavors that could be described in scholarly publications. Do not submit applications containing restricted data or unclassified nuclear information as defined in the Atomic Energy Act of 1954, as amended, 42 USC 2011, et seq., 10 CFR 1017, 10 CFR 1045.

Section II – AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

DOE/NNSA anticipates awarding cooperative agreements under this funding opportunity announcement.

Statement of Substantial Involvement

A cooperative agreement is intended to be offered under this announcement. The proposed Federal involvement will provide programmatic benefits that the SSAA cooperative agreement recipient would not otherwise have available to it in carrying out the project. The statutory authorities for the use of a cooperative agreement are the Federal Grant and Cooperative Agreement Act (31 U.S.C. 6301-08).

Substantial involvement is anticipated between NNSA and SSAA award recipients during the performance of this cooperative agreement due to the expectation that NNSA will share in the responsibility for the overall direction of the SSAA Centers. Substantial involvement by NNSA under this cooperative agreement spans the term of the cooperative agreement award unless otherwise amended. This statement of substantial involvement by NNSA does not increase NNSA's liability under the cooperative agreement award.

The DOE/NNSA Contracting Officer and DOE/NNSA Project Officer will negotiate a Statement of Substantial Involvement with each SSAA cooperative agreement award recipient prior to award.

B. ESTIMATED FUNDING

Approximately $19,000,000 annually is anticipated to be available for new or renewal awards under this announcement. Funding for all awards and future budget periods are contingent upon the availability of funds appropriated by Congress for the purpose of this program and the availability of future-year budget authority. DOE/NNSA is under no obligation to pay for any costs associated with preparing or submitting an application. DOE/NNSA reserves the right to fund, in whole or in part, any, all, or none of the applications submitted in response to this

NOFO.

C. MAXIMUM AND MINIMUM AWARD SIZE

Ceiling (i.e., the maximum amount for an individual award made under this announcement):

$3,000,000 per year Floor (i.e., the minimum amount for an individual award made under this announcement):

$1,000,000 per year https://www.govinfo.gov/link/uscode/31/6301-08

The award sizes will depend on the merit review, the number of meritorious applications, and the availability of appropriated funds. For renewal proposals, notwithstanding the “Floor” identified below, DOE/NNSA may consider limited-term renewal awards to allow for the completion of research projects and orderly closeout of Centers of Excellence that do not merit long-term continued support. Annual funding for such awards could fall below the $1,000,000 floor.

Recognizing that new centers take some time to ramp up to full operations, for new awards DOE/NNSA may award less in Year 1 of the five-year project period than in subsequent years.

D. EXPECTED NUMBER OF AWARDS

The number of awards will depend on the availability of appropriated funds, the number of meritorious applications, the distribution of funds in each topic area determined by the DOE/NNSA selection official, the merit review results, and other policy factors and considerations. DOE/NNSA reserves the right to make no awards, not award in all topical research areas, or make fewer awards than would be possible at the grand-total level at its sole discretion.

E. ANTICIPATED AWARD SIZE

DOE/NNSA anticipates that awards will be in the $3,000,000 to $15,000,000 range for the total project period.

F. PERIOD OF PERFORMANCE

DOE/NNSA anticipates making awards with an estimated project period of up to five years. The overall project duration will be subdivided into annual budget periods. Continuation funding (funding for subsequent budget periods) is contingent on: (1) availability of funds appropriated by Congress and future year budget authority; (2) substantial progress towards meeting the objectives of the approved application; (3) submittal of required reports; and (4) compliance with the terms and conditions of the award.

For renewal proposals, DOE/NNSA may consider limited-term renewal awards to allow for the completion of research projects and orderly closeout of Centers that do not merit long-term continued support. The duration of such awards would not exceed two years.

G. TYPE OF APPLICATION

DOE/NNSA will accept new and renewal applications under this announcement. Renewal applications are requests for additional funding for a period subsequent to that provided by a current award. Renewal applications compete with all other applications and must be submitted by any established due date/deadline. In preparing a renewal application, applicants should assume that reviewers will not have access to previous applications. The application should be developed as though the applicant were applying for the first time. The application must include all the information required for a new project, plus the project narrative section should discuss the results from prior work.

Section III – ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

Restricted Eligibility In accordance with 2 CFR 910.126(b), eligibility for award is restricted to the following domestic organizations located in the United States, its territories or possessions, as follows:

U.S. universities/academic institutions of higher education. For the purpose of this announcement “a U.S. university/academic institution of higher learning” is defined as an educational institution in any State, Federal District, or U.S. territory that:

1. admits as regular students only persons having a certificate of graduation from a school providing secondary education, or the recognized equivalent of such a certificate;

2. is legally authorized within such State to provide a program of education beyond secondary education;

3. provides an educational program for which the institution awards a bachelor’s degree or provides not less than a 2-year program that is acceptable for full credit toward such a degree; and

4. is accredited by a nationally or regionally recognized accrediting agency or association, or if not so accredited, is an institution that has been granted reaccreditation status by such an agency or association that has been recognized by the U.S. Secretary of Education for the granting of reaccreditation status, and the U.S. Secretary of Education has determined that there is satisfactory assurance that the institution will meet the accreditation standards of such an agency or association within a reasonable time.

For prospective applicants who are submitting financial assistance applications to this NOFO, the individual(s) selected as the PI and Co-PI(s) for the cooperative agreement must be a U.S.

Person(s) and be an active member of the teaching/research faculty of a U.S. university or academic institution of higher learning.

A “U.S. Person” is defined as an individual that is a citizen of the United States or an alien lawfully admitted for permanent residence.

Adjunct professors, visiting professors, and post-doctoral fellows are ineligible to be PIs.

Investigators from foreign universities or academic institutions, irrespective of citizenship, are ineligible to be PIs. Such individuals may receive funding under a subaward if the Principal Investigator requests and receives written permission for such funding from the SSAA PM.

There may be security restrictions on participation by foreign nationals at certain facilities and conferences, in accordance with applicable U.S. Department of Energy Security Policy, Directives, Regulations, or Requirements.

All persons receiving funding or direct involvement in the activities supported under this cooperative agreement must be a U.S. Person or the Director/Principal Investigator must request and receive written permission for such funding from the SSAA PM. Requests for addition of non-US-persons is required throughout the period of award.

Other Eligibility Requirements

Federally Funded Research and Development Centers (FFRDC) (includes DOE/NNSA National Laboratories and other Federal Agency-Sponsored FFRDCs) are not eligible for an award under this announcement. However, FFRDCs may participate as collaborators in order to:

(1) promote and sustain scientific interactions between the academic community and scientists at the FFRDC Laboratories through exchange of information and/or personnel,

(2) increase the availability of unique experimental facilities sited at the FFRDC Laboratories to the academic community, particularly for collaborations in areas of relevance to stockpile stewardship, and

(3) develop and maintain a long-term recruiting pipeline to the DOE/NNSA FFRDC’s by increasing the visibility of the DOE/NNSA scientific activities to the U.S. faculty and student communities.

FFRDCs are not eligible to receive any direct funding associated with this NOFO, except for reimbursement for use of facilities that require “user fees” in accordance with the institution’s written policies or procedures.

To affect this collaboration, a letter from an FFRDC employee who will be collaborating with the applicant must be submitted with the application. This letter must outline their understanding and role in the collaboration effort and indicate that no funds will be provided to the FFRDC from the awarded cooperative agreement except for reimbursement for use of facilities that require “user fees” as stated above.

In addition to the collaboration letters, FFRDC contractors may be proposed as a team member on another entity's application subject to the following guidelines:

Authorization for non-DOE/NNSA FFRDCs. If selected for award, the Federal agency sponsoring the FFRDC contractor must authorize in writing the use of the FFRDC contractor on the proposed project. The use of a FFRDC contractor must be consistent with the contractor's authority under its award and must not place the FFRDC contractor in direct competition with the private sector.

Authorization for DOE/NNSA FFRDCs. If selected for award, the cognizant contracting officer for the FFRDC must authorize in writing the use of a DOE/NNSA FFRDC contractor on the proposed project. The following wording is acceptable for this authorization.

"Authorization is granted for the [Name] Laboratory to participate in the proposed project. The work proposed for the laboratory is consistent with or complimentary to the missions of the laboratory, will not adversely impact execution of the DOE/NNSA assigned programs at the laboratory, and will not place the laboratory in direct competition with the domestic private sector.

If selected for award, the recipient is responsible for making contact with the appropriate DOE/NNSA FFRDC collaborating partner(s) who should in turn obtain prior written authorization from the DOE/NNSA FFRDC Contracting Officer.

Cooperative Agreement Applicant Responsibility. The applicant, if successful, will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to, disputes and claims arising out of any agreement between the applicant and the FFRDC contractor.

The Master Government List of FFRDCs is available at: http://www.nsf.gov/statistics/ffrdclist/

B. COST SHARING

Cost sharing is not required for the SSAA Program because DOE/NNSA has determined that projects funded under this Program are limited to research and/or development projects which are of a “basic” or “fundamental” nature. A Cost Share Waiver dated July 14, 2011 has been approved for the SSAA Program. This is in accordance with Section 988 of the Energy Policy Act of 2005 (P.L. 109-58, 42 USC 16352), and 2 CFR 910.130.

C. LIMITATIONS ON SUBMISSIONS

There is no limit on the number of proposals the same institution or PI can submit to this NOFO.

Multiple proposals may also be submitted to each topic research. When submitting multiple proposals ensure that the same PI or supporting staff time does not exceed 100% of their time on all combined proposals and ensure that all proposals are submitted in complete form with all required attachments as specified in the NOFO. Multiple awards may be made to the same institution.

http://www.nsf.gov/statistics/ffrdclist/

Section IV – APPLICATION AND SUBMISSION INFORMATION

A. ADDRESS TO REQUEST APPLICATION PACKAGE

Application forms and instructions are available at Grants.gov. To access these materials, go to https://www.Grants.gov, select “Search Grants” and then enter the Assistance Listing number (81.112) and/or the NOFO number shown on the cover of this NOFO. Select the “Apply” button to access the application package. You are encouraged to review the Applicant FAQs in Grants.gov as you prepare and submit your application.

Applications submitted through www.FedConnect.net will not be accepted.

B. LETTER OF INTENT (LOI) AND PRE-APPLICATION

1. Letter of Intent (LOI)

LOI’s are not required or invited.

2. Pre-application - REQUIRED

DUE DATE listed on cover of this announcement.

Encourage/Discourage Date listed on the cover of this announcement.

A pre-application is required for all applications submitted in response to this NOFO. This is a new requirement for the Stewardship Science Academic Alliances Program. To be considered eligible for an award under this NOFO, potential lead organizations are required to submit a pre-application in accordance with the instructions provided below, and to receive notification from DOE/NNSA that they are allowed to submit a full proposal. Applications received from an applicant who has not submitted the required pre-application, or who has received notification from DOE/NNSA that they are disallowed from submitting a full application, will be deemed non-responsive and will be rejected without further review.

In addition, the lead organization identified in the full application must be the same lead organization identified in the pre-application. If an application is received for which the lead organization has changed since submission of the pre-application, the application will be deemed non-responsive and will be rejected without further review. The Lead Principal Investigator (PI) should not be changed unless unavoidable and only minor edits should be made, if necessary, to the title of the project. If necessary, the applicant may make changes to other senior/key personnel and other participating institutions, although DOE/NNSA discourages extensive changes.

The pre-application should include a cover page with the following information:

• Pre-application Title

• Lead Principal Investigator Name, Title, Email address

• Lead Organization

• List of all Partner Organizations (funded and unfunded) https://www.grants.gov/ https://www.fedconnect.net/

• Funding Opportunity Announcement Number listed on the cover of this announcement.

This cover page must be signed by an official of the lead organization who has the authority to commit institutional/entity support for the application and by the proposed PI.

The cover page should be followed by a narrative description of the mission, scientific goals, and research approaches, a potential scientific impact of the proposed Center, including at least the following elements:

• A clear and concise statement of the scientific mission of the proposed Center;

• An explicit set of up to five-years research goals designed to support that mission;

• A description of the research methods and approaches that will be used to achieve the goals of the Center;

• An explanation of the potential scientific impact of the proposed research and the need for an integrated, multi-disciplinary research team to conduct it;

• A discussion of how the proposed research is responsive to the objectives of this

NOFO.

This description of the proposed Center should not exceed five pages (excluding the cover page) when printed on 8.5 X 11 inch paper, with a minimum text font size no smaller than Times New Roman 11 point and margins no smaller than one inch on all sides. Any figures and references, if included, must fit within the five-page limit. If the pre-application exceeds five pages, only content on the first five pages will be read and considered.

In addition, following the five-page narrative, the pre-application should include the following two tables, which will not count toward the five-page limit:

Senior/Key Personnel Table * Last Name First Name Institution

*Should include the names and institutional affiliations of all Senior/Key Personnel on the pre-application, including the Lead PI.

Collaborator Table ** Last Name First Name Institution

**Should include co-authors over the past 48 months, graduate and postdoctoral advisors of the senior/key personnel, graduate students and postdoctoral associates who have been supervised by the senior/key personnel during the past 60 months, and any other current close associations of the senior/key personnel. This table should exclude all personnel at any of the institutions listed in the Senior/Key Personnel Table.

NOTE: Applicants should follow the exact format of the sample tables because the tabular information will be compiled across all pre-applications. The applicant should submit the pre-application and the original Excel files it used to create its tables via email to Terri Stone (terri.stone@nnsa.doe.gov) by the…