FINANCIAL ASSISTANCE

**FUNDING OPPORTUNITY ANNOUNCEMENT**

![](media/image1.png){width="1.375in" height="1.375in"}

**U.S. Department of Energy**

**Office of Science**

**Office of Fusion Energy Sciences**

**Research in Innovative Approaches to Fusion Energy Sciences**

**Funding Opportunity Number: DE-FG01-05ER05-09**

**CFDA Number: 81.049**

**CONTACT: Dr. Kenneth Hill, Team Lead, Innovative Confinement
Concepts**

**TELEPHONE NO.: 301-903-0418**

**E-MAIL: Kenneth.Hill@science.doe.gov**

**ISSUE DATE: April 6, 2005**

**LETTER-OF-INTENT DUE DATE: May 18, 2005**

**APPLICATION DUE DATE: June 23, 2005**

Information regarding this solicitation is available on the Department
of Energy, Industry Interactive Procurement System (IIPS) web site at:
[http://e-center.doe.gov](http://e-center.doe.gov/).

**NOTE: NEW REQUIREMENTS FOR GRANTS.GOV**

**Registration Requirements:** As part of the Department's
implementation of e-Government, we are encouraging the submission of
applications through Grants.gov. There are several one-time actions you
must complete in order to submit an application through Grants.gov
(e.g., obtain a Dun and Bradstreet Data Universal Numbering System
(DUNS) number, register with the Central Contract Registry (CCR),
register with the credential provider and register with Grants.gov). You
must complete all the one-time actions in "Get Started" at
[www.Grants.gov](http://www.Grants.gov/) prior to submitting your
initial application. **Applicants who are not registered with CCR and
Grants.gov should allow at least 14 days to complete these
requirements.** It is suggested that the process be started as soon as
possible. (See PART IV.H OTHER SUBMISSION AND REGISTRATION REQUIREMENTS)

**VERY IMPORTANT -- Download PureEdge Viewer:** In order to download the
application package, you will need to install PureEdge Viewer. This
small, free program will allow you to access, complete, and submit
applications electronically and securely. For a free version of the
software, visit the following Web site:
<http://www.grants.gov/DownloadViewer>.

**TABLE OF CONTENTS**

**PART I -- FUNDING OPPORTUNITY DESCRIPTION . . . . . . . . . 4**

**PART II -- AWARD INFORMATION . . . . . . . . . . . . . 6**

A.  **Type of Award Instrument**

B.  **Estimated Funding**

C.  **Maximum and Minimum Award Size**

**PART III -- ELIGIBILITY INFORMATION . . . . . . . . . . . . 7**

A.  **Eligible Applicants**

B.  **Cost Sharing or Matching**

C.  **Other Eligibility Requirements**

**PART IV -- APPLICATION AND SUBMISSION INFORMATION . . . . . . 8**

A.  **Address to Request Application Package**

B.  **Letter of Intent and Pre-Application**

C.  **Submission Dates and Times**

D.  **Content and Form of Application**

E.  **Submissions from Successful Applicants**

F.  **Intergovernmental Review**

G.  **Funding Restrictions**

H.  **Other Submission and Registration Requirements**

**PART V -- APPLICATION REVIEW INFORMATION . . . . . . . . . 15**

A.  **Criteria**

B.  **Review and Selection Process**

C.  **Anticipated Notice of Selection and Award Dates . . . . . . . 17**

**PART VI -- AWARD ADMINISTRATION INFORMATION . . . . . . . . 18**

A.  **Award Notices**

B.  **Administrative and National Policy Requirements**

C.  **Reporting**

**PART VII -- AGENCY CONTACTS . . . . . . . . . . . . . . 19**

A.  **Contacts**

B.  **Electronic Questions**

**PART VIII -- OTHER INFORMATION . . . . . . . . . . . . . 20**

A.  **Modifications**

B.  **Government Right to Reject or Negotiate**

C.  **Commitment of Public Funds**

D.  **Proprietary Application Information**

E.  **Evaluation and Administration by Non-Federal Personnel**

F.  **Intellectual Property Developed under this Program**

G.  **Notice of Right to Request Patent Waiver**

H.  **Notice Regarding Eligible/Ineligible Activities**

I.  **Participation by Federally Funded Research and Development Center
    (FFRDC) Contractors**

**PART I -- FUNDING OPPORTUNITY DESCRIPTION**

**SUMMARY:** The Office of Fusion Energy Sciences (OFES) of the Office
of Science (SC), U.S. Department of Energy (DOE), announces its
intention to conduct a special review of the research in innovative
approaches to fusion energy sciences. **All university or industry
individuals or groups planning to submit applications for renewal or new
funding in Fiscal Year 2006 should submit in response to this Notice.**
In addition, the OFES requests the following projects to submit renewal
applications as part of this special review: (1) The Helically Symmetric
Experiment (HSX) at the University of Wisconsin -- Madison and (2) The
Levitated Dipole Experiment (LDX) at MIT and Columbia University. Mail
reviews and a panel review are being planned for this special review.
This special review is necessitated in part by a reduction of funding
(of approximately \$2M per year) in the program. If additional funds
should become available later, which would reverse the anticipated ICC
funding shortfall, the two special projects, namely HSX and LDX, would
then be exempted from the final review.

The OFES Innovative Confinement Concepts (ICC) Program has the long-term
performance measure of demonstrating enhanced fundamental understanding
of magnetic confinement and improved basis for future burning plasma
experiments through research on magnetic confinement configuration
optimization. The program is focused on resolving key scientific issues
and determining the confinement characteristics of a range of attractive
confinement configurations Applications for research on the large fusion
facilities (DIII-D, Alcator C-Mod, NSTX, MST, NCSX), or initiatives in
Inertial Fusion Energy and High Energy Density Physics should not be
submitted in response to this notice.

OFES may also solicit applications from time to time under separate
announcements of Initiatives to support coordinated, goal-directed
community efforts. These Initiatives will be funded to achieve specific
programmatic and scientific aims and will be subject to requirements
that are different from those of this notice. Such grants, if funded,
will be subject to periodic reviews of progress.

**SUPPLEMENTARY INFORMATION:**

In selecting experimental applications for funding, the DOE Office of
Fusion Energy Sciences will give priority to applications that can
produce experimental results within four years after grant initiation.
Theoretical research will be accepted for consideration under this
Notice when bundled with and in support of an experimental application.

In addition, applications concerned with scientific assessment of new
concepts or approaches that are not ready for experimental investigation
may also be considered. These applications should have a well-defined
scope. The product of such assessment would be a clear scientific
description of the concept and its operation, its physics and
engineering basis, critical analysis of major difficulties to be
overcome in developing the concept, and an analysis of what would be
achieved by moving to experimental research.

**Since we expect that reviewers will be asked to review several
applications, all applications should be limited to a maximum of thirty
five (35) pages (including text and figures) of technical information.
Applications exceeding these page limits may be rejected without
review.** The PDF file may also include a few selected publications in
an Appendix as background information. In addition, in the electronic
submission, please limit biographical and publication information for
the principal investigator and key personnel to no more than two pages
each. Each principal investigator should provide an e-mail address. The
page count of 35 does not include the Face Page and Budget Pages, the
Title Page, the biographical material and publication information, or
any Appendices. However, it is important that the 35 page technical
information section provide a complete description of the proposed work,
since reviewers are not obliged to read the Appendices.

**Collaboration**

Collaborative research projects involving more than one institution are
encouraged. Applications submitted from different institutions, which
are directed at a common research activity, should **clearly indicate
that they are part of a proposed collaboration** and should contain a
brief description of the overall research project. However, each
application must have a distinct scope of work and a qualified principal
investigator, who is responsible for the research effort being performed
at his or her institution. Synergistic collaborations with researchers
in federal laboratories and Federally Funded Research and Development
Centers (FFRDCs), including the DOE National Laboratories, are also
encouraged, though no funds will be provided to these organizations
under this Notice. A separate Laboratory solicitation will be posted
**(Program Announcement LAB 05-09)**.

Further information on preparation of collaborative applications is
available in the Application Guide for the Office of Science Financial
Assistance Program and may be accessed via the World Wide Web at:
[http://www.science.doe.gov/grants/Colab.html](http://www.science.doe.gov/production/grants/Colab.html).

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##### PART II -- AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

The Office of Fusion Energy Sciences (OFES) of the Office of Science
(SC), U.S. Department of Energy (DOE) anticipates awarding grants under
this Program Announcement.

**B. ESTIMATED FUNDING**

It is anticipated that approximately \$6,000,000 will be available for
awards in Fiscal Year 2006, contingent upon the availability of
appropriated funds. In addition, approximately \$4,700,000 will be
available for competition by DOE National Laboratories under a separate
solicitation (Program Announcement LAB 05-09). There are four existing
projects within the ICC universities and industry sector Program
scheduled for possible renewal in FY06 with a total funding amount of
about \$4,400,000 in FY05. These projects are HBX, Pegasus, TCS, and
HIT-SI. **It is anticipated that the funding level available in FY06 for
the entire ICC program will be reduced by about \$2,000,000, relative to
that available in FY05.** Thus, in order to accommodate this budget
reduction and to align the ICC program according to ITER-era OFES
objectives and future anticipated budgets, it is necessary for OFES to
include in this year's review all other major ICC projects with annual
budgets near \$1,000,000 or more which are not scheduled for review this
year. These university/industry sector projects are LDX and HSX. The
aggregate funding for these projects is about \$2,800,000 in FY05. If
additional funds should become available later, which would reverse the
anticipated ICC funding shortfall, the two special projects, namely HSX
and LDX, would then be exempted from the final review.

It is anticipated that award sizes may range from \$50,000 to
\$1,500,000 per year. Previous awards have ranged from \$80,000 to
\$960,000 per year. The number of awards funded and the amount of
funding for each grant will depend upon the number and quality of the
applications received. Selection of awardees is expected to begin about
January, 2006. Equal consideration will be given to renewal and new
applications.

Applications from universities and industry for new projects in response
to this Notice will be accepted and will be reviewed and competed with
the six projects specifically mentioned above; however, applicants
should be aware that the reduced funding environment for FY06 and that
anticipated for out-years will significantly limit the number of
projects which can be selected for future funding. Awards will be
considered for a fixed performance period of four years, with out-year
support contingent on the availability of funds, progress of the
research, and programmatic needs. OFES reserves the right not to fund
any renewal or new work that is judged not to be better than or equal in
quality and programmatic importance to existing projects within the
program. The cost-effectiveness of the application will be considered
when comparing applications with differing funding requirements.

#  

**C.** **MAXIMUM AND MINIMUM AWARD SIZE.**

Ceiling (i.e., the maximum amount for an individual award made under
this announcement): NONE

Floor (i.e., the minimum amount for an individual award made under this
announcement): NONE

## 

## PART III - ELIGIBILITY INFORMATION

A.  **ELIGIBLE APPLICANTS**

All types of applicants are eligible to apply, except other Federal
agencies, Federally Funded Research and Development Center (FFRDC)
Contractors, and nonprofit organizations described in section 501(c)(4)
of the Internal Revenue Code of 1986 that engaged in lobbying activities
after December 31, 1995.

**B. COST SHARING**

Cost sharing is not required.

C.  **OTHER ELIGIBILITY REQUIREMENTS.**

[Federally Funded Research and Development Center (FFRDC)
Contractors]{.underline}. **\
**FFRDC applicants are not eligible for an award. A list of the FFRDC
contractors is available at
[http://www.nsf.gov/sbe/srs/ffrdc/start.htm](http://www.nsf.gov/)[.]{.underline}
However, an application that includes performance of a portion of the
work by a FFRDC contractor will be evaluated and considered for award.
(See Section VIII).

> **PART 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
[http://www.grants.gov](http://www.grants.gov/), select "Apply for
Grants," and then select "Download Application Package." Enter the CFDA
(81.049) and/or the funding opportunity number (DE-FG01-05ER05-09)
located on the cover of this announcement. Select "Download Application
Package," and then follow the prompts to download the application
package. To download the instructions, go to "Download Application
Package" and select "Instructions." [NOTE]{.underline}: You will not be
able to download the Application Package unless you have installed
PureEdge Viewer.

**B. LETTER OF INTENT AND PRE-APPLICATION**

1.  **Letter of Intent**

> **A Letter-of-Intent (LOI) to submit an application is REQUIRED and
> should be submitted by May 18, 2005. Failure to submit the LOI by the
> due date may preclude the full application from due consideration for
> award.**
>
> Letters-of-Intent should be submitted electronically by email to Mr.
> John Sauter at <John.Sauter@science.doe.gov>, with a copy to Dr.
> Kenneth Hill at <Kenneth.Hill@science.doe.gov>, citing
> "Letter-of-Intent for Notice DE-FG01-05ER05-09: Research in Innovative
> Approaches to Fusion Energy Sciences" in the subject line of the
> email. The purpose of the LOI is to expedite the planning of the
> review of the applications. For this purpose, the LOI should contain a
> one-page abstract of the proposed research, together with a list of
> potential collaborators and their institutional affiliations, to
> enable potential conflict of interest issues to be determined in
> relation to the review.

2.  **Pre-application**

> Pre-applications are not required.

**C. SUBMISSION DATES AND TIMES**

1.  **Pre-application Due Date**

> Pre-applications are not required.
>
> **2. Application Due Date**
>
> Formal applications submitted in response to this notice must be
> received by DOE no later than 8:00 p.m., Eastern Time, June 23, 2005,
> to be accepted for merit review and to permit timely consideration for
> award in Fiscal Year 2006. Awardees are expected to be selected by
> January 2006. Electronic submission of formal applications in PDF
> format is required. You are encouraged to transmit your application
> well before the deadline. APPLICATIONS RECEIVED AFTER THE DEADLINE
> WILL NOT BE REVIEWED OR CONSIDERED FOR AWARD.
>
> **D. CONTENT AND FORM OF APPLICATION -- SF 424 (R&R)**

You must complete the mandatory forms and any applicable optional forms
in accordance with the instructions on Grants.gov R&R form and the
additional instructions below. To activate the instruction on the R&R
form click on the "Help Mode" icon (This is the icon with pointer and
question mark on the menu bar). **Files that are attached to the forms
must be in Adobe Portable Document Format (PDF).**

1.  **SF 424 (R&R).**

> Complete required fields in SF 424 (R&R) -- Application for Federal
> Assistance in accordance with the instructions. Complete this form
> first to populate data in other forms. The list of certifications and
> assurances referenced in Block 18 can be found at
> [http://grants.pr.doe.gov](http://www.grants.pr.doe.gov/).

2.  **RESEARCH AND RELATED Project/Performance Site Location(s).**

> Indicate the primary site where the work will be performed. If a
> portion of the project will be performed at any other site(s),
> identify the site(s).

3.  **RESEARCH AND RELATED Other Project Information.**

> Complete questions 1 through 5 and attach files in blocks 6-11, as
> necessary. The attached files must provide the information specified
> in the application instructions and the following additional
> instructions:

***Block 6 - Project Summary/Abstract***

> This section must include both an Executive Summary and an Abstract
> prepared using standard 8.5" by 11" paper with 1" margins (top,
> bottom, left and right) with font not smaller than 11 point. It should
> be a self-contained document that identifies the project title, the
> name of the applicant, the principal investigator/project director,
> names of all the investigators and their institutions, contact
> information for the principal investigator, including e-mail address,
> and major participants (for collaborative projects). This document
> must not include any proprietary or sensitive business information.
>
> The Executive Summary must be summarized in no more than two pages. It
> should contain a summary of the proposed activity, the objectives of
> the project, methods to be employed, and the potential impact of the
> project (i.e., benefits, outcomes).
>
> The Abstract should be a one paragraph summary of the planned work in
> no more than one page. It should contain the project objectives (in
> broad scientific terms), the approach to be used, and what the
> research is intended to accomplish. State the hypotheses to be tested
> (if any).
>
> ***Block 7 - Project Narrative***
>
> The narrative comprises the research plan for the project and is
> limited to **35 pages (maximum)** when printed using standard 8.5" by
> 11" paper with 1 inch margins (top, bottom, left and right). The font
> must not be smaller than 11 point. It should contain enough background
> material in the Introduction, including review of the relevant
> literature, to demonstrate sufficient knowledge of the state of the
> science. The major part of the narrative should be devoted to a
> description and justification of the proposed project, including
> details of the methods to be used. It should also include a timeline
> for the major activities of the proposed project, and should indicate
> which project personnel will be responsible for which activities.
>
> In addition, if the application is for renewal of an existing project
> the narrative must include a section on recent accomplishments. This
> is optional for new applications.
>
> ***Long Term Measure***
>
> The OFES Innovative Confinement Concepts (ICC) Program has the
> long-term performance measure of demonstrating enhanced fundamental
> understanding of magnetic confinement and improved basis for future
> burning plasma experiments through research on magnetic confinement
> configuration optimization. The program is focused on resolving key
> scientific issues and determining the confinement characteristics of a
> range of attractive confinement configurations. Applications for
> research on the large fusion facilities (DIII-D, Alcator C-Mod, NSTX,
> MST, NCSX), or initiatives in Inertial Fusion Energy and High Energy
> Density Physics should not be submitted in response to this notice.
>
> ***Blocks 8, 9, and 10 - Bibliography & References Cited; Facilities &
> Other Resources; and** **Equipment*****.**
>
> ***Literature Cited***
>
> Provide a bibliography of any references cited in the Project
> Narrative. Each reference must include the names of all authors (in
> the same sequence in which they appear in the publication), the
> article and journal title, book title, volume number, page numbers,
> and year of publication. Include only bibliographic citations.
> Applicants should be especially careful to follow scholarly practices
> in providing citations for source materials relied upon when preparing
> any section of the application.
>
> ***Description of Facilities and Resources***
>
> This information is used to assess the capability of the
> organizational resources available to perform the effort proposed.
> Identify the facilities to be used (Laboratory, Animal, Computer,
> Office, Clinical and Other). If appropriate, indicate their
> capacities, pertinent capabilities, relative proximity and extent of
> availability to the project. Describe only those resources that are
> directly applicable to the proposed work. Provide any information
> describing the Other Resources available to the project (e.g., machine
> shop, electronic shop) and the extent to which they would be available
> to the project. Include this information for each subcontracting
> institution (if any).
>
> ***Block 11 - Other Attachments***:
>
> If you need to elaborate on your responses to questions 1-5 on the
> "Other Project Information" document, attach a file in block 11. Also,
> attach the following files:
>
> ***[Budgets for Subawardees]{.underline}***. You must provide a
> separate budget, prepared on a plain sheet of paper, for each
> subawardee that is expected to perform work estimated to be more than
> \$100,000 or 50 percent of the total work effort (whichever is less).
>
> ***[Management Plan (if appropriate)]{.underline}***. For projects of
> large size and complexity.
>
> ***Appendix (optional)***
>
> Information not easily accessible to a reviewer may be included in an
> appendix, but **do not use the appendix to circumvent the page
> limitations of the application.** Reviewers are not required to
> consider information in an appendix, and reviewers may not have time
> to read extensive appendix materials with the same care they would use
> with the application proper.
>
> The appendix may contain the following items: up to five publications,
> manuscripts accepted for publication, abstracts, patents, or other
> printed materials directly relevant to this project, but not generally
> available to the scientific community; and letters from investigators
> at other institutions stating their agreement to participate in the
> project (do not include letters of endorsement of the project).

4.  **RESEARCH AND RELATED Senior/Key Person**

> Complete the required profile information for each senior/key person
> proposed. A senior/key person is any individual who contributes in a
> substantive, measurable way to the scientific/technical development or
> execution of the project, whether or not a salary is proposed for this
> individual. Consultants should be included if they meet this
> definition. For each senior/key person provide:
>
> ***Biographical Sketch***
>
> Complete a biographical sketch for each senior/key person and attach
> in the block provided. The biographical information for each person
> must not exceed [2]{.mark} pages when printed on 8.5" by 11" paper
> with 1 inch margins (top, bottom, left, and right) with font not
> smaller than 11 point. ***Biographical Sketches*** are required for
> the senior personnel at the institution submitting the application and
> at all collaborating institutions to be funded under a subaward (if
> any).
>
> *[Education and Training]{.underline}*. Undergraduate, graduate and
> postdoctoral training - provide institution, major/area, degree and
> year.

*[Research and Professional Experience]{.underline}*: Beginning with the
current position, list in chronological order, professional/academic
positions with a brief description.

> *[Publications]{.underline}*. Provide a list of up to 10 publications
> most closely related to the proposed project. For each publication,
> identify the names of all authors (in the same sequence in which they
> appear in the publication), the article title, book or journal title,
> volume number, page numbers, year of publication, and website address
> if available electronically.
>
> Patents, copyrights and software systems developed may be provided in
> addition to or substituted for publications.
>
> *[Synergistic Activities]{.underline}*. List no more than 5
> professional and scholarly activities related to the effort proposed.
>
> To assist in the identification of potential conflicts of interest or
> bias in the selection of reviewers, **provide the following
> information on page 3 of each biographical sketch**.
>
> **Collaborators and Co-editors:** A list of all persons in
> alphabetical order (including their current organizational
> affiliations) who are currently, or who have been, collaborators or
> co-authors with the investigator on a research project, book or book
> article, report, abstract, or paper during the 48 months preceding the
> submission of the application. Also include those individuals who are
> currently or have been co-editors of a special issue of a journal,
> compendium, or conference proceedings during the 24 months preceding
> the submission of the application. If there are no collaborators or
> co-editors to report, this should be so indicated.
>
> **Graduate and Postdoctoral Advisors and Advisees:** A list of the
> names of the individual\'s own graduate advisor(s) and principal
> postdoctoral sponsor(s), and their current organizational
> affiliations. A list of the names of the individual\'s graduate
> students and postdoctoral associates during the past 5 years, and
> their current organizational affiliations.
>
> ***Current and Pending Support***
>
> Other support is defined as all financial resources, whether Federal,
> non-Federal, commercial, or institutional, available in direct support
> of an individual\'s research endeavors. Information on active and
> pending other support is required for all senior personnel, including
> investigators at collaborating institutions to be funded by a
> subcontract. For each item of other support, give the organization or
> agency, inclusive dates of the project or proposed project, annual
> funding, and level of effort (months per year or percentage of the
> year) devoted to the project.

5.  **RESEARCH AND RELATED BUDGET**

> Complete the Research and Related Budget form in accordance with the
> instructions. This form allows you to complete up to five separate
> budget years. You must complete a separate budget for each year of
> support requested. The form will generate a cumulative budget for the
> total project period. You may request funds under any of the
> categories listed as long as the item and amount are necessary to
> perform the proposed work and are not precluded by the cost principles
> or the funding restrictions in this announcement (See Section IV, G)
>
> [Block K - Budget Justification]{.underline}
>
> Provide the required supporting information (See "Help Mode"
> instructions on the R&R budget form) for the following costs:
> equipment; domestic and foreign travel; participant/trainees; material
> and supplies; publication; consultant services; ADP/computer services;
> subaward/consortium/contractual; equipment or facility rental/user
> fees; alterations and renovations; and indirect cost type. Provide any
> other information you wish to submit to justify your budget request.
> Attach the budget justification file in Block K.

**E. SUBMISSIONS FROM SUCCESSFUL APPLICANTS**

> The Department anticipates that no additional submissions will be
> required. However, it reserves the right to request additional or
> clarifying information for any reason deemed necessary.

F.  **INTERGOVERNMENTAL REVIEW**

    This program is not subject to Executive Order 12372 --
    Intergovernmental Review of Federal Programs.

**G. FUNDING RESTRICTIONS**

**\
**

[Cost Principles]{.underline}**.** Costs must be allowable in accordance
with the applicable cost principles referenced in 10 CFR part 600.

> [Pre-award Costs]{.underline}**.** Recipients may charge to an award
> resulting from this announcement pre-award costs that were incurred
> within the ninety (90) calendar day period immediately preceding the
> effective date of the award, if such costs would be reimbursable under
> the agreement if incurred after the agreement is awarded. Recipients
> must obtain the prior approval of the contracting officer for any
> pre-award costs that are for periods greater than this 90 day calendar
> period.
>
> Pre-award costs are incurred at the applicant's risk. DOE is under no
> obligation to reimburse such costs if for any reason the applicant
> does not receive an award or if the award is made for a lesser amount
> than the applicant expected.

**H. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS**

######### 

> **1. Where to Submit**
>
> **[APPLICATIONS MUST BE SUBMITTED THROUGH GRANTS.GOV OR IIPS TO BE
> CONSIDERED FOR AWARD.]{.underline}**
>
> **[Preferred Submission Method]{.underline}**: Submit electronic
> applications through the "Apply for Grants" function at
> [www.Grants.gov](http://www.Grants.gov/). If you have problems
> submitting your application, send an email to
> [support@grants.gov](mailto:support@gratns.gov) or call
> 1-800-518-4726.
>
> **[Alternate Submission Method]{.underline}**: If you are unable to
> submit your electronic application through Grants.gov, you may submit
> it through the DOE Industry Interactive Procurement System (IIPS) at
> [http://e-center.doe.gov](http://e-center.doe.gov/). If you have
> problems submitting your application, send an email to
> [HelpDesk@pr.doe.gov](mailto:HelpDesk@e-center.doe.gov) or contact the
> Help Desk at 1-800-683-0751 and select option 1.

3.  **Grants.gov Registration Process**

> You must COMPLETE the one-time registration process ([all
> steps]{.underline}) before you can submit your first application
> through Grants.gov (See
> [www.grants.gov/GetStarted](http://www.grants.gov/GetStarted)). We
> recommend that you start this process as soon as possible. **It may
> take at least 14 days to complete the entire process.** Use the
> Grants.gov Organization Registration Checklist at
> <http://www.grants.gov/assets/OrganizationRegCheck.doc> to guide you
> through the process. We strongly recommend that you download and
> complete the checklist for each registration step, particularly the
> Central Contractor Registry (CCR) checklist, before contacting the
> registering entity. These checklists are found at
> *<http://www.grants.gov/RegistrationChecklist#ccr>**. ***
>
> **3. IIPS Registration Process**
>
> If you use the alternate submission method, you must be authorized by
> the applicant (i.e., institution or business entity) to submit an
> application on its behalf and you must register in IIPS. You are
> encouraged to register as soon as possible. You only have to register
> once to apply for any DOE award. To register go to
> [http://e-center.gov](http://e-center.gov/), select the IIPS System,
> and follow the registration instructions.

**Part V - APPLICATION REVIEW INFORMATION**

**A. CRITERIA**

> **1. Initial Review Criteria**
>
> Prior to a comprehensive merit evaluation, DOE will perform an initial
> review in accordance with 10 CFR 605.10(b).

2.  **Merit Review Criteria**

> Projects subject to this special review of the research in innovative
> approaches to fusion energy sciences (i.e. those with annual funding
> in the range of \$1M per year or greater), will be assessed on how
> well they are able to contribute to improved understanding of magnetic
> plasma confinement, in addition to, or as an alternative to presenting
> an innovative approach to practical fusion energy over the longer
> term. Against this broad objective, applications will be subjected to
> a formal merit review and will be evaluated against the following
> criteria, which are listed in descending order of importance as set
> forth in 10 CFR Part 605
> ([http://www.science.doe.gov/grants/605index.html](http://www.science.doe.gov/production/grants/605index.html)).
> Included with each criterion are the detailed questions that are asked
> of the reviewers. A two-step review is envisaged. All the applications
> are subjected first to a mail review consisting of three or more peer
> reviewers per application. Selected applications are further subjected
> to a panel review. It is planned to have the mail review completed by
> October 12, 2005. During the mail review, opportunity will be provided
> to the applicants for rebuttal. A panel review is planned for the week
> beginning October 31, 2005. (Note - external peer reviewers are
> selected with regard to both their scientific expertise and the
> absence of conflict-of-interest issues. Both federal and non-federal
> reviewers will often be used, and submission of an application
> constitutes agreement that this proposed review process is acceptable
> to the investigators and the submitting institution.)

1.  Scientific and/or technical merit of the project:

-   Does this application address one or more important problems in
    magnetic confinement fusion science and/or represent an innovative
    approach to practical fusion energy over the longer term?

-   How does the proposed research compare with other research in its
    field, in terms of both scientific and/or technical merit and
    originality?

-   What is the likelihood that the proposed research will lead to new
    or fundamental advances in its field?

2.  Appropriateness of the proposed method or approach:

-   Are the conceptual framework, methods, and analyses adequately
    developed and likely to lead to scientifically valid conclusions?

-   Are there significant potential problems and how well does the
    applicant address these problems?

3.  Competency of the applicant\'s personnel and adequacy of the
    proposed resources:

-   How well qualified are the applicant\'s personnel to carry out the
    proposed research? (If appropriate, please comment on the scientific
    reputation and quality of recent research by the principal
    investigator and other key personnel.)

-   Are the applicant\'s research environment and resources adequate?

-   Does the proposed work take advantage of unique facilities and
    capabilities and/or make good use of collaborative arrangements?

> 4\. Reasonableness and appropriateness of the proposed budget.
>
> The reviewers are also asked to comment on **Other Appropriate
> Factors:**

-   Could the proposed research make a significant contribution to
    another field? If so, what field or fields?

-   Is there potential for spin-offs? If so, what are some potential
    spin-offs?

-   If applicable, please comment on the educational benefits of the
    proposed activity.

> The Office of Fusion Energy Sciences will also consider, as part of
> the evaluation, other available advice or information as well as
> program policy factors such as ensuring an appropriate balance among
> the program areas and within the program areas, coupling to the theory
> and computational efforts, and quality of previous performance.
> Selection of applications for award will be based upon the findings of
> the technical evaluations, the importance and relevance of the
> proposed research to the Office of Fusion Energy Sciences\' mission,
> and funding availability. Funding under this Notice is limited to
> supporting research activities based in the U.S., though subcontracts
> with limited funding for collaborators outside the U.S. may be allowed
> with appropriate justifications.

**B. REVIEW AND SELECTION PROCESS**

**1. [Merit Review]{.underline}**

> Applications will be subjected to formal merit review (peer review)
> and will be evaluated against the evaluation criteria codified at 10
> CFR 605.10(d), as well as the additional criteria listed above.

**2. [Selection]{.underline}**

> The Selection Official will consider the merit review recommendation,
> program policy factors, and the amount of funds available.

**3. [Discussions and Award]{.underline}**

> The Government may enter into discussions with a selected applicant
> for any reason deemed necessary, including but not limited to: (1) the
> budget is not appropriate or reasonable for the requirement; (2) only
> a portion of the application is selected for award; (3) the Government
> needs additional information to determine that the recipient is
> capable of complying with the requirements in 10 CFR part 600; and/or
> (4) special terms and conditions are required. Failure to resolve
> satisfactorily the issues identified by the Government will preclude
> award to the applicant.

D.  **ANTICIPATED NOTICE OF SELECTION AND AWARD DATES**

> Selection of awardees is expected in January 2006 and awards are
> expected to begin about April 2006.

# 

# Part VI - AWARD ADMINISTRATION INFORMATION

**A. AWARD NOTICES**

> **1. Notice of Selection**
>
> DOE will notify applicants selected for award. This notice of
> selection is not an authorization to begin performance. (See Section
> IV.G with respect to the allowability of pre-award costs.)
>
> Organizations whose applications have not been selected will be
> advised as promptly as possible. This notice will explain why the
> application was not selected.
>
> **2. Notice of Award** *Required* {Select one}
>
> A Notice of Financial Assistance Award issued by the contracting
> officer is the authorizing award document. It normally includes,
> either as an attachment or by reference: 1. Special Terms and
> Conditions; 2. Applicable program regulations, if any; 3. Application
> as approved by DOE.; 4. DOE assistance regulations at 10 CFR Part 600,
> or, for Federal Demonstration Partnership (FDP) institutions, the FDP
> terms and conditions; 5. National Policy Assurances; To Be
> Incorporated As Award Terms; 6. Budget Summary; and 7. Federal
> Assistance Reporting Checklist, which identifies the reporting
> requirements.

B.  **ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS**

> **1.** **Administrative Requirements.**
>
> The administrative requirements for DOE grants and cooperative
> agreements are contained in 10 CFR part 600 (See:
> [http://ecfr.gpoaccess.gov](http://ecfr.gpoaccess.gov/)), except for
> grants made to Federal Demonstration Partnership (FDP) institutions.
> The FDP terms and conditions and DOE FDP agency specific terms and
> conditions are located on the National Science Foundation web site at
> http://www.nsf.gov/awards/managing/fed_dem_part.jsp.

**2. Special Terms and Conditions and National Policy Requirements.**

> [Special Terms and Conditions and National Policy
> Requirements]{.underline}.
>
> The DOE Special Terms and Conditions for Use in Most Grants and
> Cooperative Agreements and National Policy Assurances To Be
> Incorporated As Award Terms are located at
> [http://grants.pr.doe.gov](http://www.grants.pr.doe.gov/).

[Intellectual Property Provisions]{.underline}.

> The standard DOE financial assistance intellectual property provisions
> applicable to the various types of recipients are located at
> <http://www.gc.doe.gov/techtrans/sipp_matrix.html>.

**C. REPORTING**

*Required*

Reporting requirements are identified on the Federal Assistance
Reporting Checklist, DOE F 4600.2, attached to the award agreement.

**PART VII - AGENCY CONTACTS**

**A. CONTACTS** Required {Select and complete all that apply:}

> Questions relating to the Grants.gov system or on how to submit an
> application should be directed to <support@grants.gov> or
> 1-800-518-4726.
>
> Questions regarding the Program Announcement (**administrative**)
> should be directed to Laura Scott, email:
> <Laura.Scott@science.doe.gov> .
>
> {Contract Specialist name, phone, e-mail}
>
> Questions regarding the program (**technical**) requirements should be
> directed to:
>
> Dr. Kenneth Hill, SC-55, Germantown Building, U.S. Department of
> Energy, 1000 Independence Ave., SW, Washington, DC 20585-1290,
> telephone (301) 903-0418, fax (301) 903-4716, Internet e-mail address:
> <Kenneth.Hill@science.doe.gov> **OR** Dr. Francis Thio, telephone
> (301) 903-4678, Internet e-mail address:
> <francis.thio@science.doe.gov>. General program information is
> available at <http://www.ofes.fusion.doe.gov/>.
>
> {Program contact name, phone, e-mail}
>
> {Complete text block}

**B. ELECTRONIC QUESTIONS** Optional

Questions regarding the content of the announcement should be submitted
through the "Submit Question" feature of the DOE Industry Interacitve
Procurement System (IIPS) at
[http://e-center.doe.gov](http://e-center.doe.gov/). Locate the program
announcement on IIPS and then click on the "Submit Question" button.
Enter required information. You will receive an electronic notification
that your question has been answered. DOE will try to respond to a
question within 3 days, unless a similar question and answer have
already been posted on the website.

Responses to questions may be viewed through the "View Questions"
feature button. If no questions have been answered, a statement to that
effect will appear. You should periodically check "View Questions" for
new questions and answers.

Questions regarding how to submit questions or view responses can be
e-mailed to the IIPS HELP Desk at
[helpdesk@pr.doe.gov](mailto:helpdesk@e-center.doe.gov) or by calling 1
(800) 683-0751.

## PART VIII - OTHER INFORMATION 

**A. MODIFICATIONS**

Notices of any modifications to this announcement will be posted on
Grants.gov and the DOE Industry Interactive Procurement System (IIPS).
You can receive an email when a modification or an announcement message
is posted by joining the mailing list for this announcement through the
link in IIPS. When you download the application at Grants.gov, you can
also register to receive notifications of changes through Grants.gov.

## B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE 

DOE reserves the right, without qualification, to reject any or all
applications received in response to this announcement and to select any
application, in whole or in part, as a basis for negotiation and/or
award.

## C. COMMITMENT OF PUBLIC FUNDS 

The Contracting Officer is the only individual who can make awards or
commit the Government to the expenditure of public funds. A commitment
by other than the Contracting Officer, either explicit or implied, is
invalid.

## D. PROPRIETARY APPLICATION INFORMATION 

##  

> Patentable ideas, trade secrets, proprietary or confidentional
> commercial or financial information, disclosure of which may harm the
> applicant, should be included in an application only when such
> information is necessary to convey an understanding of the proposed
> project. The use and disclosure of such data may be restricted,
> provided the applicant includes the following legend on the first page
> of the project narrative and specifies the pages of the application
> which are to be restricted:
>
> "The data contained in pages \_\_\_\_\_ of this application have been
> submitted in confidence and contain trade secrets or proprietary
> information, and such data shall be used or disclosed only for
> evaluation purposes, provided that if this applicant receives an award
> as a result of or in connection with the submission of this
> application, DOE shall have the right to use or disclose the data
> herein to the extent provided in the award. This restriction does not
> limit the government's right to use or disclose data obtained without
> restriction from any source, including the applicant."
>
> To protect such data, each line or paragraph on the pages containing
> such data must be specifically identified and marked with a legend
> similar to the following:
>
> "The following contains proprietary information that (name of
> applicant) requests not be released to persons outside the Government,
> except for purposes of review and evaluation."
>
> {Select all that apply}

**E. EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL**

> In conducting the merit review evaluation, the Government may seek the
> advice of qualified non‑Federal personnel as reviewers. The Government
> may also use non-Federal personnel to conduct routine,
> nondiscretionary administrative activities. The applicant, by
> submitting its application, consents to the use of non-Federal
> reviewers/administrators. Non-Federal reviewers must sign conflict of
> interest and non-disclosure agreements prior to reviewing an
> application. Non-Federal personnel conducting administrative
> activities must sign a non-disclosure agreement.

**F. INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM** *Required if
the program is for RD&D* or if technical data are expected to be first
produced or specified to be delivered under an award.

> [Patent Rights]{.underline}. The government will have certain
> statutory rights in an invention that is conceived or first actually
> reduced to practice under a DOE award. 42 U.S.C. 5908 provides that
> title to such inventions vests in the United States, except where 35
> U.S.C. 202 provides otherwise for nonprofit organizations or small
> business firms. However, the Secretary of Energy may waive all or any
> part of the rights of the United States subject to certain conditions.
> (See "Notice of Right to Request Patent Waiver" in paragraph G below.)
>
> [Rights in Technical Data]{.underline}. Normally, the government has
> unlimited rights in technical data created under a DOE agreement.
> Delivery or third party licensing of proprietary software or data
> developed solely at private expense will not normally be required
> except as specifically negotiated in a particular agreement to satisfy
> DOE's own needs or to insure the commercialization of technology
> developed under a DOE agreement.
>
> Select and complete, if the program is covered under special protected
> data statutes, such as EPAct}

**G. NOTICE OF RIGHT TO REQUEST PATENT WAIVER**

*Required if the program is for R&DD and large for-profit and foreign
organizations are eligible to apply.*

Applicants may request a waiver of all or any part of the rights of the
United States in inventions conceived or first actually reduced to
practice in performance of an agreement as a result of this
announcement, in advance of or within 30 days after the effective date
of the award. Even if such advance waiver is not requested or the
request is denied, the recipient will have a continuing right under the
award to request a waiver of the rights of the United States in
identified inventions, i.e., individual inventions conceived or first
actually reduced to practice in performance of the award. Any patent
waiver that may be granted is subject to certain terms and conditions in
10 CFR 784.

> Domestic small businesses and domestic nonprofit organizations will
> receive the patent rights clause at 37 CFR 401.14, i.e., the
> implementation of the Bayh-Dole Act. This clause permits domestic
> small business and domestic nonprofit organizations to retain title to
> subject inventions. Therefore, small businesses and nonprofit
> organizations do not need to request a waiver.

**H. PARTICIPATION BY FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTER
(FFRDC) CONTRACTORS\
** *Required if FFRDCs may participate as team members.*

> Federally Funded Research and Development Center (FFRDC) contractors
> are not eligible for an award under this announcement, but they may be
> proposed as a team member subject to the following guidelines:
>
> [Authorization for non-DOE/NNSA FFRDCs.]{.underline} The Federal
> agency sponsoring the FFRDC contractor must authorize in writing the
> use of the FFRDC contractor on the proposed project and this
> authorization must be submitted with the application. 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]{.underline}. The cognizant
> contracting officer must authorize in writing the use of a DOE/NNSA
> FFRDC contractor on the proposed project and this authorization must
> be submitted with the application. The following wording is acceptable
> for this authorization.
>
> "Authorization is granted for the \_\_\_\_\_\_\_\_\_\_\_\_\_
> 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."
>
> [Value/Funding.]{.underline} The value of, and funding for, the FFRDC
> contractor portion of the work will not normally be included in the
> award to a successful applicant. Usually, DOE/NNSA will fund a
> DOE/NNSA FFRDC contractor through the DOE field work proposal system
> and other FFRDC contractors through an interagency agreement with the
> sponsoring agency.
>
> [Cost Share.]{.underline} The applicant's cost share requirement will
> be based on the total cost of the project, including the applicant's
> and the FFRDC contractor's portions of the effort.
>
> • {Complete text block}
>
> [Responsibility]{.underline}. 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.

-   {Complete text block to add other notices}