1. DUNE Collaboration Meeting September 4, 2015 Glen Crawford Research and Technology Division Director Office of High Energy Physics Office of Science, U.S. Department of Energy DOE High Energy Physics Program Status and Opportunities

2. THE DOE HEP PROGRAM THE DOE HEP PROGRAM 2

3. Implementing a Program of Discovery Science Drivers identify the scientific motivation while Research Frontiers provide a useful categorization of experimental techniques 3 HEP Status and Opportunities - 9/4/2015 HEP Research program support reflects the science priorities of P5

4. P5 Recommendation: – Form a new international collaboration to design and execute a highly capable Long-Baseline Neutrino Facility (LBNF) hosted by the U.S. To proceed, a project plan and identified resources must exist to meet the minimum requirements in the text [of the report]. LBNF is the highest-priority large project in its timeframe. The Long Baseline Neutrino Facility (LBNF) 4 In short, asks Fermilab to do for neutrinos what CERN did for the Higgs boson, involving the worldwide community HEP Status and Opportunities - 9/4/2015

5. Progress has been extremely rapid since the P5 report was released: Framework for internationalization of LBNF/DUNE established DUNE Spokespersons and Technical & Resources Coordinators appointed DUNE Executive Committee in-place DUNE Institutional Board Chair elected Experiment-Facility Interface Group (EFIG) established U.S.-CERN Bilateral Cooperation Agreement Signed Deputy Director for LBNF appointed CD-1 Refresh Review held Next steps:  Approval of Protocols to the U.S.-CERN Bilateral Cooperation Agreement  CD-1 Refresh DOE-agency Approval  Establish Common Projects and Common Funds for international DUNE  CD-2a/3a (long-lead procurement) Review & DOE-agency Approval  FY 2017 Budget Request  CD-2 (baseline) Review & DOE-agency Approval LBNF/DUNE Progress 5 HEP Status and Opportunities - 9/4/2015

6. The U.S. HEP Program U.S. particle physics research involves over 150 universities and laboratories in 43 states (plus Washington, DC) Major activities at 5 national laboratories (ANL, BNL, FNAL, LBNL, SLAC) involving ~2,600 FTEs University research program consists of ~250 active grants to >100 institutions, involving ~1,700 FTEs A few small, specialized research efforts at other SC and NNSA labs 6 Map data from 2013

7. Laboratory research is mission driven and funded through Field Work Proposals – HEP holds comparative reviews of the Laboratory research programs every ~3 years e.g., Energy Frontier review in late July Program guidance to the Laboratories is provided by HEP with input from a variety of sources, including: – The Laboratories themselves Local strengths and resources – Advisory committees – Institutional reviews University & Laboratory Research 7 HEP Status and Opportunities - 9/4/2015 University research is supported by a competitive, proposal-driven process – Grants issued after peer review of proposals submitted to Funding Opportunity Announcements (FOAs) Program alignment is built into proposal review process: – Relevance to HEP mission is explicit in review criteria – HEP programmatic priorities inform the peer review process – Program Managers consider reviewer feedback and program priority when determining awards

8. 8 HEP FUNDING OPPORTUNITIES

9. Annual Solicitation for the Office of Science [DE-FOA-0001204] is for: Conferences and Workshops Experimental operations support at non-DOE facilities, with no DOE lab involvement (e.g., T2K) Supplemental awards and other invited or special-purpose applications NOTE: SC Annual Solicitation generally has lower programmatic priority in HEP FY 2016 Research Opportunities in High Energy Physics (“HEP Comparative Review FOA”) is for: HEP Research and Technology R&D grants (HEP experimental frontiers, HEP Theory, Accelerator R&D, Detector R&D] Supports Research in highest programmatic priority areas. Will focus on this in rest of talk. Intermediate Neutrino Research Program NOW CLOSED is for: Support of new neutrino experiments that are modest in scale and ready for fabrication  Includes final design, fabrication, installation, operations; should produce physics data in 5 years or less  Less than $2M in capital equipment costs  Technology R&D and Neutrino Theory proposals also accepted but generally lower priority Early Career Research Program” [DE-FOA-0001386; LAB 15-1386] is for: Outstanding junior investigators from labs or universities – Establish new research programs with potential for high impact and future leadership in HEP – All junior faculty/lab staff are encouraged to apply Purpose of DOE/HEP-based Solicitations 9 Office of Science Graduate Student Research Program (SCGSR) Provides funding for graduate students to conduct part of their thesis research at a DOE lab – See specific HEP technical topics at: http://science.energy.gov/wdts/scgsr/ – Applications due Dec 15 2015 HEP Status and Opportunities - 9/4/2015

10. HEP Proposal Review and Award Timeline HEP Status and Opportunities - 9/4/2015 10

11. P5 was charged to consider three 10-year budget scenarios for HEP within the context of a 20-year vision for the global field – Scenario A was the lowest constrained budget scenario – Scenario B was a slightly higher constrained budget scenario – Scenario C was “unconstrained,” but not considered unlimited Context: P5 HEP Budget Scenarios 11 *Budget Request and Appropriations do not include SBIR/STTR HEP Status and Opportunities - 9/4/2015 B A

12. Energy Frontier – Analysis of LHC Run 2 data – Contribute to operational responsibilities and complete “Phase I” upgrades – Prepare for leading roles in HL-LHC upgrades Intensity Frontier – Neutrino Program NOvA, T2K/SK, Minerva, MINOS+ data analysis Develop near-future short-baseline program Prepare to host LBNF/DUNE and PIP-II – Muon Program : complete Mu2e and g-2 and take data – Heavy Flavor Program : complete Belle-II and take data Cosmic Frontier – Dark Matter : Complete G1 analysis, construct G2 experiments, modest R&D – Dark Energy : Complete BOSS, DES analysis; construct LSST and DESI – Begin planning for CMB-S4 Accelerator R&D – Hosting workshops to work through R&D plan following P5 and GARD panels Detector R&D – Seeking community input to identify highest priority R&D activities in wake of P5 HEP Theory – Maintain an overall “thriving” program as per P5 DOE HEP Research Priorities: Snapshot 12 HEP Status and Opportunities - 9/4/2015

13. A Fiscal Year in the U.S. runs from Oct. 1, 201x – Sept. 30, 201(x+1) U.S. Federal budget is planned and executed over a three-year cycle, with activity occurring simultaneously for three fiscal years – Presidential budget formulation (2 years ahead) Agencies are currently formulating plans for FY 2017 – Congressional budget resolution (1 year ahead) U.S. Congress is now considering the U.S. President’s request for FY 2016 – Appropriated budget execution (current year) Agencies are now executing programs with the budget for FY 2015 The U.S. President’s Budget Request for FY 2016 is the first budget formulation to reflect the P5 report strategy – Large project construction funding requires line-item approval by Congress in a budget appropriation DOE Budget Formulation and Execution 13 HEP Status and Opportunities - 9/4/2015

14. 14 HEP FUNDING OPPORTUNITY ANNOUNCEMENT (FOA): COMPARATIVE REVIEWS

15. DE-FOA-0001358 issued July 14, 2015 Six HEP research subprograms – Energy, Intensity, and Cosmic Frontiers – HEP Theory – Accelerator and Detector Science and Technology R&D Letter of Intent due August 13, 2015 – Strongly encouraged, but if you missed the deadline: please notify us by email of intent to submit a full proposal Final Proposal due Sep. 17, 2015 by 5 PM Eastern Time In addition to information provided in FOA, a FAQ is available and addresses topics on: – Registration and Eligibility requirements – Proposal types and proposal requirements – Guidance for new faculty and those without current HEP grants – Guidance for PIs with existing HEP grants – Letter of Intent – Budget information and guidance on scope of request(s) – Information on overall scientific merit review process FY16 HEP Comparative Review FOA and FAQ Both the FOA and FAQ available at: http://science.energy.gov/hep/funding-opportunities/ 15 HEP Status and Opportunities - 9/4/2015

16. Data Management Plans (DMPs) – All Research proposals to DOE/SC must have a data management plan Includes HEP comparative review, Early Career Does not include conferences, workshops, operations, projects – Please make sure applicants know that the requirement for a data management plan will be strictly enforced. Any research thrust in a proposal without a DMP will be declined without review. All Renewal proposals will need to also submit “proposal products” (essentially recent publications and other records of science outcomes from DOE-supported research) after the application is submitted – PIs will be notified by PAMS and have 5 days to respond – We cannot review incoming proposals until this step is completed – In the future, these will be captured with your annual Progress Report, but during the transition phase, you will need to enter them by-hand Important Changes for FY2016 16 HEP Status and Opportunities - 9/4/2015

17. What DOE supports – Research efforts (mainly scientists) on R&D, experiment design, fabrication, data-taking, analysis-related activities – Theory, simulations, phenomenology, computational studies – Some engineering support may be provided in the Detector R&D subprogram Support depends on merit review process and programmatic factors – Efforts that are in direct support of our programs Faculty support – Based on merit reviews and/or optimizing the number of research personnel supported by financial assistance awards, support of up to 2-months summer salary – Summer support should be adjusted according to % time the faculty is on research effort Research Scientists – Support may be provided, but due to long-term expectations, need to consider case-by-case on merits: whether the roles and responsibilities are well-matched with individual capabilities and cannot be fulfilled by a term position – Efforts are related towards research; not long-term operations and/or project activities What’s not supported by research grants – Any significant operations and/or project-related activities: Engineering, major items of equipment, consumables for prototyping or production – Non-HEP related efforts Gravity waves (LIGO), Heavy Ion (RHIC), AMO Science, etc… HEP Research Activities Supported 17 HEP Status and Opportunities - 9/4/2015

18. Generally very useful to have head-to-head reviews of PIs working in similar areas, particularly for large grants Lots of discussion of relative strengths and weaknesses of individual proposals and PIs Many factors weigh into final funding decisions – Compelling research proposal for next ~3 years Interesting? Novel? Significant? Plausibly achievable? × Incremental? Implausibly ambitious? Poorly presented? – Significant recent contributions in last 3-4 years Synergy and collaboration within group (as appropriate) Contributions to the research infrastructure of experiments – Alignment with programmatic priorities – Balanced program of R&D/design, support of construction or operations, data analysis This may span several experiments over a 3 year proposal Supportive of excellent people, including excellent new people, even when times are tough! Programmatic Considerations 18 HEP Status and Opportunities - 9/4/2015

19. Factors weighing into final funding decisions – Compelling research proposal for next ~3 years Demonstrable impact on DUNE R&D/fabrication plan or performance Supports current timeline for DOE CD’s or other milestones × Outside of DUNE plan, not timely, or no clear leadership role × Project activities – Significant recent contributions in last 3-4 years Should be able to show science impact/leadership in neutrino physics and/or detector development – Alignment with programmatic priorities Highest priority mid-term HEP project – Balanced program of R&D/design, support of construction or operations, data analysis DUNE research program will be focused on first item in next ~3 years PIs should look to other experiments for possible operations or analysis elements during this period Particular Considerations for DUNE 19 HEP Status and Opportunities - 9/4/2015

20. DOE HEP is executing its Research mission by supporting and implementing the P5 plan – Priority is given to specific projects or efforts recommended – DUNE/LBNF is the highest priority major project in the mid-term There are several opportunities for investigators in U.S. program to get better informed and involved – Specific funding opportunities, discussions with HEP PMs – Opportunities at funding agencies Particle physics has a long history of leading successful efforts to “internationalize” science – Tevatron, BaBar, LHC just the most recent examples – LBNF/DUNE gives the U.S. the opportunity to set a strong example in hosting its first international “megascience” facilityOutlook HEP Status and Opportunities - 9/4/2015 20

21. Another Promising Start 21 HEP Status and Opportunities - 9/4/2015