**Stewardship Science Academic Alliances Program**

**SOLICITATION NUMBER**

**DE-PS03-01SF22349**

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**SOLICITATION FOR FINANCIAL ASSISTANCE**

**APPLICATIONS**

Issuing Office: U.S. Department of Energy

Oakland Operations Office

1301 Clay Street, N-700

Oakland, CA 94612-5208

Date Issued: November 30, 2001

**Pre-Applications Due: 1/11/02**

**Applications Due: 4/1/02**

Point of Contact: Ms. Bertha Crisp

Electronic Mail: bertha.crisp@OAK.doe.gov

> This Solicitation and any Amendments are available via the internet at
> [http://e-center.doe.gov]{.underline}.
>
> [TABLE OF CONTENTS]{.underline}

[SECTION TITLE]{.underline} [PAGE]{.underline}

I. INTRODUCTION 3

A. Stockpile Stewardship Program Overview 3

B. Stewardship Science Academic Alliances Program Objectives 3

C. Technical Scope and Research Areas 4

D. Use of Experimental Facilities 6

II. PRE-APPLICATION
    ..................................................................................6

A. Content of Pre-application 7

B. Review of Pre-application and Evaluation Criteria 8

C. Response by the Program Office 8

III. APPLICATION
     ........................................................................................
     8

> A . Cover
> Page.......................................................................................\....8

B. Administrative and Cost Section 9

C. Technical Section 9

IV. APPLICATION REVIEW AND
    AWARD........................................................ 10

A. Review of Application and Evaluation Criteria 10

B. Notice to Applicants 11

V. APPENDIX: GENERAL INFORMATION
...................................................... 12

> A. Solicitation Definitions 12
>
> . Eligibility Requirements 14
>
> C. Amendments to the Solicitation 14
>
> . Submission of Pre-applications and Applications 15

E. Questions 15

F. Award Instrument and Program Management 15

G. North American Industry Classification System (NAICS) 16

H Sub-Awards to Debarred and Suspended Parties 17

> I. Financial Assistance for Application Preparation 17
>
> J. Notice Regarding Eligible/Ineligible Activities 17
>
> K Lobbying Restrictions 17
>
> L. Notice Regarding Purchase of American-Made Equipment and Products
> ---

Sense of Congress 17

> M. Compliance with Buy American Act 17
>
> N. Additional Information 18
>
> O. Application Preparation Costs 18

P.  Number of
    Awards................................................................................
    18

Q.  National Environmental Policy Act (NEPA)
    Requirements..............................\... 18

R.  Forms...............................................................................................
    19

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I.  **[INTRODUCTION]{.underline}**

**. [Stockpile Stewardship Program Overview ]{.underline}**

The Stockpile Stewardship Program (SSP) is based on a leading-edge
scientific approach to ensure the safety, reliability, and performance
of the nuclear stockpile in the absence of nuclear testing. The
stewardship mission stresses increased fundamental understanding of
physical phenomena associated with stockpile performance, safety, and
reliability, as well as the preservation and enhancement of core science
and technology competencies within the National Nuclear Security
Administration/Defense Programs (NNSA/DP) complex. The NNSA/DP Office of
Research, Development and Simulation (NA-11) is responsible for
developing, maintaining, and integrating all technical and scientific
capabilities necessary to execute the Stockpile Stewardship Program.
Research activities supporting the SSP are conducted primarily at the
three NNSA/DP laboratories: the Lawrence Livermore National Laboratory
(LLNL), the Los Alamos National Laboratory (LANL), and the Sandia
National Laboratories (SNL) and at several other NNSA-supported
organizations: the Nevada Test Site (NTS), the Naval Research Laboratory
(NRL), the University of Rochester Laboratory for Laser Energetics
(UR/LLE), and General Atomics, Inc.

**B. [Stewardship Science Academic Alliances Program Objectives
]{.underline}**

The objectives of the Stewardship Science Academic Alliances Program are
to:

1.  Grow the U.S. scientific community, through the funding of research
    projects at universities, in areas of fundamental science and
    technology relevant to stockpile stewardship, with a focus on those
    areas that have not been traditionally supported by other federal
    agencies and for which there is a recruiting need within the NNSA/DP
    laboratories complex;

2.  Provide fundamental-science information and develop advanced
    experimental measurement techniques in selected areas of physical
    sciences: condensed matter physics and materials science,
    hydrodynamics, plasma and high-energy-density physics, fluid
    dynamics, and low-energy nuclear science;

3.  Train scientists in specific areas of research relevant to stockpile
    stewardship;

4.  Promote and sustain scientific interactions between the academic
    community and scientists at the NNSA/DP laboratories through
    exchange of personnel;

5.  Increase the availability of unique experimental facilities sited at
    the NNSA/DP laboratories to the academic community, particularly for
    collaborations in areas of relevance to stockpile stewardship;

6.  Develop and maintain a long-term recruiting pipeline to the NNSA/DP
    laboratories by increasing the visibility of the NNSA/DP scientific
    activities to the U.S. faculty and student communities; and

7.  Complement the current NNSA/DP Accelerated Strategic Computing
    Initiative (ASCI) Academic Strategic Alliances Program (ASAP)
    supporting the Strategic Alliance Centers of Excellence by
    emphasizing primarily *experimental* research in forefront
    scientific areas aligned with the NNSA/DP mission needs.

The Stewardship Science Academic Alliances Program is an expansion of
the currently funded "Inertial Fusion Science in Support of Stockpile
Stewardship" Grant Program. It is sponsored by the Office of Research,
Development and Simulation in the U.S. Department of Energy (DOE),
NNSA/DP. The Office of Research, Development and Simulation anticipates
supporting multiple awards in Physical Sciences totaling approximately
\$12.5M annually, subject to the availability of funds, as a result of
this solicitation. Projects will be reviewed for progress at the end of
each year. They will be renewed contingent on assessed progress and
availability of funds. Awards will be for one- to three-year projects of
work at a funding level appropriate for the proposed scopes.
Consideration will be given to a broad spectrum of proposed programs,
ranging from Research Grants (typically single-investigator projects) to
comprehensive Centers of Excellence. Any financial assistance awarded as
a result of this solicitation shall be contingent upon the availability
of appropriated funds. No legal liability on the part of the government
for the payment of any money shall arise unless and until appropriated
funds are made available to the contracting officer for these awards.

Funding of awards will range up to approximately \$2,000,000 per year
for Centers of Excellence and will range up to a few hundred thousand
dollars per year for Research Grants. Selected Centers of Excellence
will be managed under a Cooperative Agreement, while all other selected
projects will be managed as Research Grants (see Section V.F "Award
Instrument and Program Management").

> **C. [Technical Scope and Research Areas ]{.underline}**

Under the Stewardship Science Academic Alliances Program, the NNSA will
consider applications for university-based research in the field of
physical sciences that are relevant to stockpile stewardship and which
fall within the areas of research supported by the NNSA/DP Office of
Research, Development and Simulation. All work funded through this
program is to be unclassified.

#### *[Physical Sciences:]{.underline}* 

Research proposals are solicited in the following areas of physical
sciences. As a complement to the ASCI ASAP program, favorable
consideration will be given to proposals that emphasize experimental
efforts, although outstanding theoretical projects will be considered as
well. Proposals covering the following areas of physical sciences will
be considered either as Research Grants, not exceeding a few hundred
thousand dollars per year for a single award, for discipline-focused
investigations; or Cooperative Agreements, not exceeding approximately
\$2,000,000 per year for a single award, for comprehensive,
multi-disciplinary Centers of Excellence (see Section V.F "Award
Instrument and Program Management").

#### 

#### *1. --- Properties of Materials under Extreme Conditions and Hydrodynamics*

Research proposals are solicited in the area of fundamental properties
and response of materials under extreme conditions and hydrodynamics.
The specific sub-areas of interest are:

a\. Investigations of the static and dynamic (i.e., shock-compressed)
properties of materials under conditions of high-pressure,
high-temperature (1--10 eV regime), high-strain and high-strain-rate.
Materials properties of interest include thermodynamic properties
(equation-of-state, high-pressure phase diagram, pressure-induced phase
transformation, etc.) and mechanical constitutive properties (plasticity
and strength, failure, fracture, etc.);

b\. Hydrodynamic experiments in low-energy-density physics regimes where
materials properties (strength, etc.) dominate;

c\. Development of advanced diagnostics and measurement techniques
leading to (1) the observation of physical phenomena at various length
and time scales and (2) development and experimental validation of
physics-based multi-scale models of the dynamic response of materials.

#### *2. --- High-Energy-Density Physics and Fluid Dynamics*

Research proposals are solicited in the area of high-energy-density
physics and fluid dynamics, with favorable considerations given to
experimental investigations based on the utilization of lasers and/or
pulsed power technology. The specific sub-areas of interest are:

a\. Investigation of the properties of matter in high-energy-density
regimes, e.g. as produced by lasers and/or pulsed power. This includes
investigations in related areas of hydrodynamics, plasma physics,
properties of materials under high-energy-density conditions, inertial
fusion, atomic physics, radiation generation, and the interaction of
radiation with matter;

b\. Physics of turbulence and fluid interfaces.

#### *3. --- Low-Energy Nuclear Science* 

Research proposals are solicited in the area of nuclear science with an
emphasis on low energies. The specific sub-areas of interest are:

a\. Investigations leading to greater accuracy in the knowledge of low
energy cross sections of stable and unstable nuclei and corresponding
reaction rates for neutron-, γ- and ion-induced reactions for both
simulation and radiochemistry diagnosis;

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

c\. Physics of the fission process, including division of mass and
charge as a function of excitation, production of energy, and the
reaction properties of prompt fission products;

d\. Investigations of particle production and advanced diagnostic
techniques relevant to high-energy proton radiography;

e\. Development of experimental diagnostic techniques for laser or
pulsed power implosion systems.

> **D. [Use of Experimental Facilities ]{.underline}**

For Applicants who propose investigations in the Physical Sciences area
requiring the use of facilities at any of the NNSA/DP laboratories, the
Applicant must make arrangements with the specific laboratory. Examples
of experimental facilities within the NNSA/DP laboratory complex include
the Los Alamos Neutron Science Center (LANSCE) and the National High
Magnetic Field Laboratory at LANL, the *Z*-accelerator and the Saturn
facility at SNL, the Positron Research Facility at LLNL, various
high-pressure, shock physics and laser facilities within the DP complex,
the Atlas pulsed-power facility at LANL/NTS, the National Ignition
Facility (NIF) at LLNL, the Omega laser facility at the University of
Rochester, etc. Potential applicants are responsible for contacting the
appropriate laboratory directly to discuss any facility-related
activities and utilization, including beam-time availability, shot
schedule, etc. A letter from either the facility manager or program
manager indicating 1) the level of communication between the Principal
Investigator (PI) and facility management, 2) the feasibility of the
proposed use of the facility, and 3) arrangements pursued regarding
facility availability for this project must be included with the
Application. Applicants must acknowledge, accept and comply with all
environmental, safety and health rules and regulations in place at any
of these laboratories when university personnel are working at these
sites. In addition, Applicants may propose the use of national (or
international) user facilities, such as synchrotron-radiation light
sources, neutron sources, etc., by requesting user access to these
facilities through the respective program review procedures. If the use
of such a facility is critical to the success of the proposed project,
the Application shall include a description of the status of the user
access request and any available information supporting the likelihood
of the requested access being granted. A description of national
scientific user facilities supported by the DOE Office of Basic Energy
Sciences can be found at:

<http://www.er.doe.gov/production/bes/BESfacilities.htm>.

In addition to the above experimental facilities, applicants may
incorporate the utilization of remaining components from the LLNL Nova
Laser into their proposals. If the requested components are critical to
the success of the proposed effort, applications shall identify the
components requested. Applicants interested in obtaining Nova laser
components should contact: Scott Samuelson, Oakland Operations Office,
925-423-0593 for further details.

**II. [PRE-APPLICATION ]{.underline}**

Potential Applicants are **required** to submit a Pre-application not
exceeding five (5) pages of narrative, excluding cover-page information,
describing the research objectives and technical methods and approaches
(see Section V.D. -- Submission of Pre-applications and Applications).
Pre-applications must be received by 5:00 pm EST on 1/11/02.
Pre-applications received after the above solicitation closing date will
be rejected from consideration (see Section V.D. -- Late Receipt of
Pre-applications and Applications). The purpose of the Pre-application
is to permit an initial evaluation of the proposals in terms of
responsiveness to the technical scope of the solicitation. The NNSA will
respond with a letter informing the Applicant whether or not the
proposed work is responsive to the solicitation. The Pre-application
evaluation does not replace the final review of Applications.

> **A. [Content of Pre-Application]{.underline}**

The Pre-application should include cover-page information plus a brief
project description not exceeding five (5) pages in the following
format: font no smaller than 10 point Century Schoolbook, with at least
¾" margins all around.

Cover-page information (one page):

1.  Statement that the document is a Pre-application.

2.  Principal Investigator name, telephone number, fax number, and
    e-mail address. The Principal Investigator for a **new** proposal
    shall be a member of the teaching/research faculty of a U.S.
    university or academic institution (Adjunct Professors, Visiting
    Professors and Post-Doctoral Fellows are ineligible to be Principal
    Investigators).

3.  Name and address of Principal Investigator's academic institution
    (Applicant).

4.  Title of the project.

5.  The DOE Grant identification number for projects currently funded
    under the "Inertial Fusion Science in Support of Stockpile
    Stewardship" Grant Program.

6.  Specific area(s) of the technical scope of this solicitation
    relevant to the proposed project using the nomenclature indicated in
    Section I.C. (to be used in the evaluation/review process).

7.  Indication whether the proposed technical activities described in
    the Pre-application are to be considered as a Center of Excellence
    for a Cooperative Agreement or a project for a Research Grant.

The project description must include the following information (five
pages maximum):

1.  Description of the proposed research.

2.  Explanation of its importance to the relevant areas of technical
    scope and overall scientific vitality.

3.  Explanation of the proposed scientific approach and the equipment
    needed, including experimental facility use at NNSA/DP laboratories
    and/or national user facilities, as appropriate.

4.  Description of the mechanisms of interaction with personnel at the
    NNSA/DP laboratories.

5.  Anticipated results of the proposed research.

6.  Project schedule and milestones, including key milestones at the end
    of each year, and an estimated completion date.

7.  The estimated yearly (based on a twelve month interval, not on a
    fiscal or calendar year basis) and total budgetary cost information
    for the duration of the project. Budgetary cost information should
    be a reasonable estimate for the proposed scope of the research.

> **B. [Review of Pre-Applications and Evaluation
> Criteria]{.underline}**

All Pre-applications will be reviewed by technical experts who are
knowledgeable in the scientific research areas indicated in Section I.C.
of this Solicitation for Financial Assistance. No Pre-application will
be eliminated on the basis of the technical review.

Criteria to evaluate the Pre-applications follow:

1.  Alignment with the area(s) of technical scope defined in section
    I.C.

2.  Expected impact on the area(s) of technical scope addressed.

3.  Consistency with the objective of this academic alliances program to
    focus on advanced experimental investigations.

> **C. [Response by the Program Office ]{.underline}**

The NNSA will respond with a letter informing the Applicant whether or
not the proposed work is responsive to the solicitation. This response
will indicate the suitability of the proposed research with regard to
the objectives of the Stewardship Science Academic Alliances Program and
the eligibility of the proposing organization. Although no
Pre-application will be eliminated on the basis of the technical review,
the response by the program office will provide enough information for
the Applicant to evaluate the suitability of the proposed research prior
to submitting a complete, formal Application.

**III. [APPLICATION ]{.underline}**

Applications must be received by 5:00 pm EST on April 1, 2002 per
Section V.D. Applications received after the above solicitation closing
date will be rejected from consideration (see Section V.D. -- Late
Receipt of Pre-applications and Applications). Applications will not be
returned to the Applicants. As described in Section II (Pre-application)
the Pre-application process is required. No application will be accepted
unless a Pre-application was submitted by the required date described in
Section II.

The Application must contain the following information:

######## Cover Page

1.  Statement that the document is an Application.

2.  Principal Investigator name, telephone number, fax number, and
    e-mail address. The Principal Investigator for a **new** proposal
    shall be a member of the teaching/research faculty of a U.S.
    university or academic institution (Adjunct Professors, Visiting
    Professors and Post-Doctoral Fellows are ineligible to be Principal
    Investigators).

3.  Name and address of Principal Investigator's academic institution
    (Applicant).

4.  Title of the project.

5.  The DOE Grant identification number for projects currently funded
    under the "Inertial Fusion Science in Support of Stockpile
    Stewardship" Grant Program.

6.  Specific area(s) of the technical scope of this solicitation
    relevant to the proposed project using the nomenclature indicated in
    Section I.C. (to be used in the evaluation/review process).

7.  Indication whether the proposed technical activities described in
    the Application are to be considered as a Center of Excellence for a
    Cooperative Agreement or a project for a Research Grant.

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A.  **[Administrative and Cost Section]{.underline}**

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1.  Application for Federal Assistance (Form 424).

2.  Yearly budget information with written justification for each budget
    item, especially items of equipment (Standard Form SF424A).

3.  Assurances of Compliance (Form DOE 1600.5).

4.  Certifications regarding: lobbying, debarment, suspension and other
    responsibility matters, and drug-free workplace requirements
    (FA-CERTS).

5.  Environmental Checklist - See Section V.Q.

6.  Statement of current and pending support.

7.  List of foreign nationals planned to be supported by this effort at
    the time of submission.

8.  Signature of the individual authorized to ensure the commitment of
    the Applicant organization as described in Section V.B. of this
    document.

> **C. [Technical Section]{.underline}**

*Note:* The technical section of the application may not exceed 20 pages
for a Research Grant, or 30 pages for a Center of Excellence. The
following format is to be used: font no smaller than 10 point Century
Schoolbook, with at least ¾" margins all around*.* If a letter is
required for item 7 below (described in Section I.D), attach it as an
appendix and do not include it in the page count. No other attachments
to the Application are permitted.

1.  Abstract (300 words or less).

2.  Statement of work containing brief description of technical approach
    and tasks, and direct statements of actions that the Applicant will
    take to perform the proposed work.

3.  Detailed description of proposed work including its objective(s),
    its relationship and significance to the relevant area(s) of the
    technical scope of this solicitation (Section I.C) and the
    Applicant's technical approach for executing the proposed work.

4.  For projects currently receiving funding under this program, the
    quality and scientific impact of recent results and accomplishments.

5.  Description of the mechanisms for interaction with the NNSA/DP
    laboratories, including plans for personnel exchange.

6.  Background and experience of the Principal Investigator and other
    research personnel to be assigned to the project. This information
    should be provided in the form of a curriculum vitae for each PI and
    co-PI, not exceeding two (2) pages and including references to the
    five (5) most relevant publications.

7.  Description of facilities and resources of Applicant, including any
    work to be performed at NNSA/DP experimental facilities and/or other
    national user facilities, and arrangements pursued. For NNSA/DP
    experimental facilities a letter is required as described in Section
    I.D.

8.  Bibliography of literature.

**IV. [APPLICATION REVIEW AND AWARD]{.underline}**

All Applications will be subjected to an administrative review, and to a
scientific/technical merit review.

> **A. [Review of Application and Evaluation Criteria]{.underline}**

All Applications will be subjected to an administrative review for
completeness of documentation, and to a scientific/technical merit
review for technical content evaluation.

The scientific/technical review will include an evaluation of whether or
not Applications are within the technical scope of the academic
alliances program (Section I.C.) and will also include a technical peer
review.

The evaluation criteria used in the review process to evaluate the
Applications in the scientific/technical merit review are listed below,
in order of importance.

1.  Alignment with the areas of technical scope defined in section I.C.

2.  Scientific/technical merit of the project, including innovativeness
    and originality.

3.  Expected impact on the area of technical scope addressed.

4.  Consistency with the objective of this academic alliances program to
    focus on advanced experimental investigations.

5.  Qualifications of the Applicant's personnel and adequacy of proposed
    resources.

6.  Feasibility of plans for carrying out the proposed research,
    considering such factors as: appropriateness of the technical method
    and approach, facility compatibility, other commitments, competition
    and timing.

7.  For projects currently receiving funding under this program, the
    quality and scientific impact of recent results and accomplishments.

8.  Level of interaction with NNSA/DP laboratory personnel and the
    potential to train students in scientific areas defined by the
    technical scope in order to build a long-term recruiting pool for
    the NNSA/DP laboratory complex. Generally, a higher degree of
    interaction both quantitatively and qualitatively is considered
    desirable.

9\. Leverage provided by cost sharing with other funding sources.

As part of the review process, a team of DOE and external reviewers may
conduct site visits for Applications describing a Center of Excellence.

The final determination of the successful Applications is the
responsibility of the Source Selection Official.

> **B. [Notice to Applicants]{.underline}**

Following the completion of the selection process, Applicants will be
notified with regard to the decision on their Application. It is
anticipated that selection decisions will be made by August 2002, and
some grants will be awarded by September 2002. Unsuccessful Applications
will not be returned to the Applicant, but will be retained by NNSA for
a period of one year.

**V. [APPENDIX: GENERAL INFORMATION]{.underline}**

> **A. [Solicitation Definitions ]{.underline}**

**"Applicant"** as applied to 1) new Research Grant proposals under this
solicitation means the U.S. university or academic institution committed
to the execution of the project under the direction of its Principal
Investigator, 2) new Center of Excellence proposals under this
solicitation means either (a) the lead U.S. university or academic
institution of the proposed Center committed to the execution of the
project under the direction of a Center Director or Principal
Investigator or (b) the consortium or other business entity made up of
U.S. universities and/or academic institutions proposing the Center of
Excellence, 3) projects proposed for renewal under this solicitation
means the institution committed to the execution of this project under
the direction of the Principal Investigator.

[]{.mark}

"**Application**\" means the documentation submitted in response to this
solicitation.

\"**Award**\" means the written documentation executed by a NNSA
Contracting Officer, after an Applicant is selected, which contains the
terms and conditions for providing financial assistance to the
Applicant(s).

\"**Budget**\" means the cost expenditure plan submitted in the
Application, including both the NNSA contribution and that provided by
the Applicant institution(s).

\"**Budget Period**\" means an interval of time, specified in the award,
into which a project is divided for budgeting and funding purposes.

\"**Center of Excellence**\" means a multi-disciplinary,
multi-investigator effort focused on a topical research area and whose
technical components are integrated into a scientifically world-class
and unique capability.

\"**Contracting Officer**\" means the NNSA official authorized to
execute awards on behalf of NNSA and who is responsible for the business
management and non-program aspects of the financial assistance process.

"**Cooperative Agreement**" means a financial assistance instrument used
by NNSA to transfer money or property when the principle purpose of the
transaction is to accomplish a public purpose of support or stimulation
authorized by Federal Statute, and substantial involvement is
anticipated between NNSA and the Applicant during the performance of the
contemplated activity.

\"**Cost Sharing**\" means the respective share of total project costs
required to be contributed by the Applicant institution(s) and by NNSA.
The required percentage of Applicant(s) cost share is to be applied to
the total project cost (i.e., the sum of Applicant plus NNSA cost
shares) rather than to the NNSA contribution alone.

\"**Financial Assistance**\" means the transfer of money or property to
a recipient or sub-recipient to accomplish a public purpose of support
authorized by Federal Statute through Research Grants or Cooperative
Agreements and Sub-awards. In NNSA, it does not include direct loans,
loan guarantees, price guarantees, purchase agreements, Cooperative
Research and Development Agreements (CRADAs), or any other type of
financial incentive instrument.

\"**Key Personnel**\" means the individuals who will have significant
roles in planning and implementation of the proposed project.

\"**Project**\" means the set of activities described in an Application,
State plan, or other document that is approved by NNSA for financial
assistance (whether such financial assistance represents all or only a
portion of the support necessary to carry out those activities.

\"**Project Period**\" means the total period of time indicated in an
award during which NNSA expects to provide support contingent upon
satisfactory progress and available funds. A Project Period may consist
of one or more Budget Periods and may be extended by NNSA.

"**Principal Investigator**" as applied to **new** proposals under this
solicitation means any member of the teaching/research faculty of a U.S.
university or academic institution (Adjunct Professors, Visiting
Professors and Post-Doctoral Fellows are ineligible to be Principal
Investigators). This term refers to the single individual responsible
for the management of the proposal/project.

**"Recipient" or "Grantee"** means the entity that receives an award
from NNSA and is financially accountable for the use of any NNSA funds
provided for the performance of the project, and is legally responsible
for carrying out the terms and conditions of the award.

**"Research Grant"** means a financial assistance instrument used by
NNSA to transfer money or property for research work when the principle
purpose of the research is to accomplish a public purpose of support or
stimulation authorized by Federal Statute, and no substantial
involvement is anticipated between NNSA and the Applicant during the
performance of the contemplated activity.

**"Sub-award"** means an award of Financial Assistance by a recipient to
an eligible sub-recipient. The term may include a contract under a
financial assistance award.

\"**Solicitation**\" means a document which requests the submission of
Applications for support and which describes the objectives, Applicant
and project eligibility requirements, desired performance activity,
evaluation criteria, Award terms and conditions, and other relevant
information about the opportunity.

\"**Substantial Involvement**\" means involvement on the part of the
government that includes direction which the Applicant(s) is required to
follow. Such involvement will be negotiated with each Applicant prior to
signing any agreement.

\"**Total Project Cost**\" means all the funds required to complete the
effort proposed by the Applicant(s), including NNSA funds plus all other
funds that will be committed by the Applicant(s) as cost sharing.

**. [Eligibility Requirements]{.underline}**

This solicitation invites Applications for **new** proposals from
Applicants through Principal Investigators who are members of the
teaching/research faculty of a U.S. university or academic institution
(Adjunct Professors, Visiting Professors and Post-Doctoral Fellows are
ineligible to be Principal Investigators). Non-U.S. citizens at the U.S.
institutions described above are eligible to be Principal Investigators.
Investigators at foreign institutions may not be Principal
Investigators, but may receive funding under a Sub-award. NNSA must be
notified of any foreign nationals supported by the funded work, and
there may be some restrictions on their participation at certain
facilities and conferences. NNSA/DP laboratories are not eligible to
receive any funding associated with this solicitation.

Applications for recompetition of projects currently funded under the
"Inertial Fusion Science in Support of Stockpile Stewardship" grant
program will be accepted only from the Principal Investigator of such a
project, who need not be a member of a university or academic
institution but who has the commitment of their institution for the
execution of the work.

Applications must be signed by the Principal Investigator of the
Applicant institution, and by an individual who is authorized to commit
the Applicant organization and must commit the Applicant to comply with
the terms and conditions of the grant, if awarded. (Principal
Investigators are not generally authorized to act for their
institutions.)

Recipients and sub-recipients of NNSA financial assistance shall comply
with the applicable requirements of 10 CFR Part 600, Federal Statutes,
the OMB Circulars, and other Government-wide guidance implementing 10
CFR Part 600; and the requirements identified in Appendix A of 10 CFR
Part 600.

**C. [Amendments to the Solicitation ]{.underline}**

Amendments shall only be placed on the Industry Interactive Procurement
System (IIPS) Home Page at [http://e-center.doe.gov]{.underline}. Hard
copies will not be mailed. Only those parties officially registered with
the Industry Interactive Procurement System (IIPS) system (see section
V.D.) will receive e-mail notices that Amendments, if any, to this
solicitation, have been posted on the Home Page. NNSA reserves the right
to extend the closing date for Pre-applications and Applications, if
necessary.

> **D. [Submission of Pre-applications and Applications ]{.underline}**

Pre-applications and Applications must be submitted electronically via
the Industry Interactive Procurement System.

[Electronic Submission:]{.underline}

Individuals who have the authority to enter their institution into a
legally binding contract/agreement and intend to submit
proposals/Applications via the IIPS System must register and receive
confirmation that they are registered prior to being able to submit a
Pre-application or an Application on the IIPS System. Once an applicant
is registered with IIPS, a signature on the IIPS is the typed name on
the application in Block 18 of the SF 424.

Pre-applications and Applications must be submitted as an Adobe PDF file
via the IIPS in accordance with the instructions outlined in this
solicitation and the IIPS User Guide. The Guide can be obtained by going
to the IIPS Homepage at
[http://e-center.doe.gov](http://e-center.doe.gov/) and then clicking on
the "Help" button. Questions regarding the operation of IIPS may be
e-mailed to the IIPS Help Desk at <IIPSHelpDesk@e-center.doe.gov> or
call the Help Desk at (800) 683-0751.

[Late Receipt of Pre-applications and Applications:]{.underline}

Any Pre-application or Application received after the date and time
indicated in this Solicitation will be considered a late submission and
not eligible for consideration.

> **E. [Questions ]{.underline}**

Frequently asked questions and their associated answers will be posted
on the IIPS website at
[http://e-center.doe.gov](http://e-center.doe.gov/). Additional
solicitation questions not posted on the website must be submitted at
least two weeks before the deadline for Pre-applications or
Applications.

Questions concerning this solicitation may addressed by contacting:

Ms. Bertha Crisp, U. S. Department of Energy, Oakland Area Office,

e-mail: <bertha.crisp@oak.doe.gov>

> **F. [Award Instrument and Program Management ]{.underline}**

Negotiation, award, and administration will be in accordance with DOE
Financial Assistance Rules (10CFR Part 600).

The Office of Research, Development and Simulation will manage the
Stewardship Science Academic Alliances Program using the following dual
system:

1.  **Cooperative Agreements:** Centers of Excellence supporting the
    Physical Sciences area will be managed under Cooperative Agreements.

2.  **Research Grants:** NNSA will manage all other successful
    Applicants through Research Grants.

The decision to manage a successful Applicant as a Cooperative Agreement
or a Research Grant is the responsibility of the cognizant NNSA/DP
federal program managers, with input from personnel at the NNSA/DP
laboratories.

The cognizant NNSA/DP federal program managers, in coordination with and
with assistance from the NNSA/DP laboratories personnel, will have
responsibility for:

1.  Conducting periodic reviews of the program to monitor progress and
    ensure alignment with the objectives of the program, and

2.  Ensuring sustained technical exchanges with the NNSA/DP laboratory
    community.

Appropriate provisions will be incorporated in any resulting grant as
determined by the DOE Financial Assistance Rules (10 CFR Part 600) and
the projects selected for an award.

Appropriate intellectual property provisions will be incorporated in any
resulting agreement in accordance with DOE Financial Assistance Rules
(10 CFR Part 600) as determined by the status of the Applicant
organization and the particular project.

An Application may be submitted by a Consortium or other business
arrangement made up of U.S. universities and academic institutions, in
which case the universities and/or institutions must decide how they
will structure themselves (i.e., prime Recipient with subcontractors or
establish a separate legal entity) so that NNSA can issue an Award to a
single legal entity. NNSA/DP laboratories shall **not** be members of
such consortia or other business arrangements responding to this
Solicitation.

**G. [North American Industry Classification System (NAICS)
Number]{.underline}**

The North American Industry Classification System (NAICS) Number is 541
for this solicitation. This information is provided for completion of
Block 10 of the Application for Federal Assistance, Standard Form (SF)
424.

**H. [Sub-Awards to Debarred and Suspended Parties]{.underline}**

Recipients and Participants, at any tier, must not make any Sub-award or
permit any Sub-award (subcontract) to any party which is debarred,
suspended, or is otherwise excluded from or ineligible for participation
in Federal Assistance programs under Executive Order 12549, "Debarment
and Suspension" or is otherwise ineligible hereunder.

**I. [Financial Assistance for Application Preparation]{.underline}**

No funding will be available under the NNSA Minority Economic Impact
(MEI) loan program for preparation of Applications in response to this
Solicitation. NNSA assumes no responsibility for any costs associated
with the Application preparation or submission of Application if an
Award is not made. If an Award is made, such costs may be allowable as
provided in the applicable cost principles.

> **J. [Notice Regarding Eligible/Ineligible Activities]{.underline}**

Eligible activities under this program include those which describe and
promote the understanding of scientific and technical aspects of
specific energy technologies, but not those which encourage or support
political activities such as the collection and dissemination of
information related to potential, planned or pending legislation.

> **K. [Lobbying Restrictions]{.underline}**

LOBBYING RESTRICTION (DEPARTMENT OF INTERIOR & RELATED AGENCIES
APPROPRIATIONS ACT)

The contractor or Awardee agrees that none of the funds obligated on an
Award shall be made available for any activity or the publication or
distribution of literature that in any way tends to promote public
support or opposition to any legislative proposal on which Congressional
action is not complete. This restriction is in addition to those
prescribed elsewhere in statute and regulation.

> **L. [Notice Regarding Purchase of American-Made Equipment and
> Products --- Sense of Congress]{.underline}**

It is the sense of the Congress that, to the greatest extent
practicable, all equipment and products purchased with funds made
available under an Award should be American-made.

> **M. [Compliance with Buy American Act]{.underline}**

In accepting this award, the Recipient agrees to comply with sections 2
through 4 of the Act of March 3, 1933 (41 U.S.C. 10a - 10c, popularly
known as the \"Buy American Act\"). The Recipient should review the
provisions of the Act to ensure that expenditures made under this Award
are in accordance with it.

> **N. [Additional Information ]{.underline}**

The projects awarded as a result of this Solicitation will be
administered by the Oakland Operations Office*.* Negotiation, award, and
administration will be in accordance with DOE Financial Assistance Rules
(10 CFR Part 600). A copy of 10 CFR 600 may be obtained electronically
through the Oakland Operations Office Home Page at *[[OAK website
URL]{.mark}.]{.underline}*

The Recipient will be required to submit quarterly project and financial
status reports in accordance with DOE Form 4600.2, Federal Assistance
Reporting Requirements Checklist, which will be included in the Award
document.

NNSA may require Applications to be clarified or supplemented to the
extent considered necessary, either through additional written
submissions or oral presentations; however, the Award may be made solely
on the information contained in the initial Application.

######## Application Preparation Costs

NNSA is under no obligation to pay for any costs associated with
preparation or submission of Applications if an Award is not made.

######## Number of Awards

The exact number of Awards is unknown. NNSA reserves the right to fund,
in whole or in part, any, all, or none of the Applications submitted in
response to the Solicitation.

######### Q. National Environmental Policy Act (NEPA) Requirements

All Applicants shall complete an Environmental Checklist. This checklist
is to be completed at the time of Application and included in the
Administrative and Cost section of the Application as indicated in
Section III.A. It is not to be submitted with the Pre-application. This
checklist form will be placed on the website used for Amendments to this
solicitation (see Section V.C) following the deadline for
Pre-application submission. The Environmental Checklist consists of a
series of questions designed to gather information in the following
general areas as related to the proposed Project: chemicals, waste
generation, emissions, permitting, natural resources and any unique or
controversial issues. The requested information will be used by NNSA to
evaluate any potential impacts (positive and negative) on the
environment and, accordingly, contain sufficient detail for the
Department to meet its requirements under NEPA in its selection of
Applications for negotiation of Award.

Applicants are restricted from taking any irreversible action, prior to
DOE/NNSA/OAK reaching a final NEPA decision regarding the proposed
Project. Irreversible actions include demolition of existing buildings,
site clearing, ground breaking, construction, and/or detailed design.
This restriction, however, does not preclude the Applicant from
developing plans, preliminary designs, or performing other necessary
support work prior to DOE/NNSA/OAK reaching its final NEPA decision,
provided the work has been authorized by NNSA.

######## R. Forms {#r.-forms .unnumbered}

1.  Application for Federal Assistance (Form 424) --
    http://www.whitehouse.gov/omb/grants/sf424.pdf

2.  Yearly Budget Information (Standard Form 424a) --
    http://www.whitehouse.gov/omb/grants/sf424a.pdf

3.  Assurance of Compliance (Form DOE 1600.5) --
    http://www.sc.doe.gov/production/grants/1600-5.html

4.  Certifications (FA-CERTS) --
    http://www.sc.doe.gov/production/grants/certs.html

5.  Environmental Checklist (available following Pre-application
    deadline)