1. James Horwitz Team Lead, Condensed Matter and Materials Physics Division of Materials Sciences and Engineering Basic Energy Sciences University of Missouri and the National Association of College and University Business Officers Federal Update Webinar November 1, 2011 Washington, D.C. Grants, Policies, and Procedures in the DOE Office of Science

2. Office of Science Overview Funding Announcements Pre-Applications Applications Peer Review of Applications Award or Declination Continuation Awards and Supplemental Applications Renewal Applications Completion of an Award Outline 2

3. DOE – From Fundamental Science to Technology Research

4. Department of Energy Mission The mission of the Department of Energy is to ensure America's security and prosperity by addressing its energy, environmental, and nuclear challenges through transformative science and technology solutions. Goal 1: Catalyze the timely, material, and efficient transformation of the nation's energy system and secure U.S. leadership in clean energy technologies. Goal 2: Maintain a vibrant U.S. effort in science and engineering as a cornerstone of our economic prosperity, with clear leadership in strategic areas. Goal 3: Enhance nuclear security through defense, nonproliferation, and environmental efforts. We will achieve our mission by establishing an operational and adaptable framework that combines the best wisdom of all Department stakeholders. Office of Science FY 2011 Budget 4

5. $4.88B FY 2011 appropriation 10 National Laboratories 1,000 Federal employees In FY 2011, the Office of Science supported: –Disciplines of condensed matter and materials physics, chemistry, biology, climate and environmental sciences, applied mathematics, computational science, high energy physics, nuclear physics, plasma physics, and fusion energy sciences –24,900 Ph.D.s, graduate students, undergraduates, engineers, and technicians –25,500 users at the scientific user facilities –300 academic institutions and all 17 DOE laboratories Office of Science Overview 5

6. Office of Science Programs 6 Advanced Scientific Computing Research ($424M) Biological and Environmental Research ($615M) Fusion Energy Sciences ($377M) Nuclear Physics ($546M) Workforce Development for Teachers and Scientists ($23M) Basic Energy Sciences ($1,688M) High Energy Physics ($798M) Science Laboratory Infrastructure ($126M) Science Program Direction ($203M) Safeguards and Security ($86M) FY 2011 Funding Office of Science ($4.88B)

7. The mission of the Office of Science is to deliver the scientific discoveries and major scientific tools that transform our understanding of nature and advance the energy, economic, and national security of the United States. The mission is accomplished by funding: –Science for Discovery –Science for National Need –Construction and operation of National Scientific User Facilities Office of Science Mission 7

8. The Office of Science issues two types of funding announcements: –Funding Opportunity Announcements (FOAs), which may be open to one or more institution types; and –DOE National Laboratory Announcements. FOAs and DOE National Laboratory Announcements may be issued either as companion announcements, where one of each announcement is issued in the same topical area, or as stand-alone opportunities. Current open funding opportunities are posted at http://science.doe.gov/grants/announcements.asp http://science.doe.gov/grants/announcements.asp Full FOAs are now posted on the Office of Science website as PDF files in addition to FedConnect. Funding Announcements 8

9. Each funding announcement issued by the Office of Science provides: –a technical description of the type of work to be funded; –information about the type, size, number, and duration of awards expected; –eligibility criteria; –instructions for submission of: letters of intent (if required) pre-applications or pre-proposals (if required) applications and proposals due dates and times; –review and selection information, including merit review criteria; –award administration information; –agency points of contact. Funding Announcements 9

10. Since FY 2011, the Office of Science has issued one cross-cutting solicitation that is open year-round: –Continuation of Solicitation for the Office of Science Financial Assistance Program The open solicitation is: –an ongoing solicitation that is tied to the federal budget cycle (October 1 – September 30). –for the submission of new, renewal, and supplemental applications (previously, renewals and supplementals were submitted separately from new applications). All applications are submitted through Grants.gov. FOAs can also be focused on a specific topic. The Office of Science issues about 40 FOAs per year. Open Solicitation 10

11. Specific Funding Opportunities on Program Websites 11

12. Specific Funding Opportunities on Program Websites 12 Advanced Scientific Computing Research –http://science.energy.gov/ascr/funding-opportunities/http://science.energy.gov/ascr/funding-opportunities/ Basic Energy Sciences –http://science.energy.gov/bes/funding-opportunities/http://science.energy.gov/bes/funding-opportunities/ Biological and Environmental Research –http://science.energy.gov/ber/funding-opportunities/http://science.energy.gov/ber/funding-opportunities/ Fusion Energy Sciences –http://science.energy.gov/fes/funding-opportunities/http://science.energy.gov/fes/funding-opportunities/ High Energy Physics –http://science.energy.gov/hep/funding-opportunities/http://science.energy.gov/hep/funding-opportunities/ Nuclear Physics –http://science.energy.gov/np/funding-opportunities/http://science.energy.gov/np/funding-opportunities/ Workforce Development for Teachers and Scientists –http://science.energy.gov/wdts/http://science.energy.gov/wdts/ Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) –http://science.energy.gov/sbir/funding-opportunities/http://science.energy.gov/sbir/funding-opportunities/

13. Pre-applications can be a requirement – please check the FOA. Submit pre-applications as instructed – process may vary. DOE will respond by email to each proposer encouraging or discouraging the submission of a full application. Pre-applications are used: – to help the Office of Science plan the peer review process. –to save applicants time and effort in preparing and submitting formal applications that may not be responsive to a funding announcement. Only one pre-application per principal investigator is allowed. Further info at: http://science.doe.gov/grants/guide.asphttp://science.doe.gov/grants/guide.asp Pre-Applications 13

14. The Office of Science supports fundamental, hypothesis driven scientific research. Clear description of the proposed research and where it will be carried out What are the goals of the research? Why is the research compelling? How will it change our understanding and if applicable, what important applications might result? How will the results compare with the results of other projects internationally? Are there significant risks in the research? How will they be managed? What resources (facilities, people, money) are required to carry out the project? What new resources are required from the funding agency? Who will carry out the proposed research? Do the PIs have adequate time, experience and resources for this project? Ingredients of a Successful Application 14

15. Program managers perform an initial evaluation of all applications to ensure that –the required information is provided; –the proposed effort is technically sound and feasible; and –the effort is consistent with program funding priorities. For applications that pass the initial evaluation, program managers use external peer review to evaluate them based on criteria specified in the Office of Science Merit Review System (10 CFR 605). Receipt of Applications 15

16. Funding decisions in the Office of Science are made based on peer review. 10 CFR 600 and 10 CFR 605 apply to financial assistance (grants and cooperative agreements). Office of Science also applies 10 CFR 605 principles to the review of national laboratory work, research and facility operation. Access to scientific user facilities: –Facilities issue separate call for proposals. –Proposal submitted directly to the facility. –Reviews carried out by the facility directors. –Awards are determined based on merit review and available resources. Time at DOE computational facilities is allocated based on peer review executed either by DOE or by facility directors. Peer Review of Applications 16

17. The Office of Science peer review process evaluates the following four criteria, which are listed in order of decreasing importance: 1.Scientific and/or technical merit of the project; 2.Appropriateness of the proposed method or approach; 3.Competency of the personnel and adequacy of proposed resources; and 4.Reasonableness and appropriateness of the proposed budget. The criteria for a review may also include other appropriate factors established and announced by the Office of Science. Proposals are reviewed generally within six months. PIs receive award/decline recommendation no later than twelve months from the date of receipt. Office of Science Merit Review Criteria 17

18. Mail Review Generally used for the open solicitation when proposals arrive throughout the year. Reviewers are generally given six weeks to return the review. Reviewer identity kept confidential. Panel Review Generally used for targeted solicitations when many proposals arrive simultaneously. Multiple panels of 10-15 people each; the total number of reviewers at a given panel review can total in the hundreds. They can be physical or virtual. Each reviewer provides his/her input. It is not a consensus. Reviewer identity kept confidential. Site Visit or Reverse Site Visit Generally used for large, group programs such as national laboratory efforts, large facility competitions, etc. Investigator submit written proposal (review document). Researchers make presentations to a site visit team. The site visit team may interact with and ask questions of the investigators. The site visit team members submit independent reviews to DOE. Anomomous reviewer comments sent to PIs. Review Methods 18

19. The most important components of a review are the narrative responses to specified review criteria. Merit review is advisory and does not replace the authority of the program manager or contracting officer. Recommendations for awards are based upon: –findings of the technical peer review –importance and relevance to the Office of Science and program mission –availability of funds –other program policy factors, e.g., program balance Program managers recommend awards to the selection official who approves a final selection and forwards to the contracting officer. –For grants, all financial assistance contracting officers are located in Chicago. –Each national laboratory has a federal contracting officer on site. Award Recommendations 19

20. When a project is funded: –DOE issues a Notice of Financial Assistance Award (NFAA, DOE Form 4600.1) signed by the contracting officer. No commitment of funds may be made until the NFAA has been received by the applicant. –Reviews are released to the Principal Investigator at the time of award. Information that reveals the identity of the reviewer is redacted. When DOE determines an application will not be funded, DOE will send a declination letter to the applicant advising that support will not be provided, and also provide redacted reviewer comments. Award or Declination 20

21. Continuation Awards Although project periods can be 3-5 years, funding is provided annually (budget period). A continuation (progress) report must be submitted to the DOE 90 days prior to the end of each budget period. The progress report must be approved by the Program Manager to receive continuation support. Supplemental Applications An application for additional funds can be made during the project period: –For increased costs that could not have been predicted when the application was originally approved; or –To increase the "level of effort" or accelerate the project; and, if there is no change to the project description as contained in the approved application. Submitted through the open solicitation. These applications will generally undergo merit review and will compete for funding with other new applications. Applicants should contact the DOE Project Officer before submitting a supplemental application. Continuation Awards and Supplement Applications 21

22. Most projects funded by the Office of Science are eligible to submit proposal for renewal support (can vary with FOA). Renewal applications must be submitted through the annual open solicitation no later than six months before the scheduled expiration of the project period. Must include the following: –Under the project description section, information on any research changes (size or scope) that affect the original research endeavor; –An estimate of anticipated unexpended funds that will remain at the end of the current project period; and, –A progress report as a separate section that describes the results of work accomplished through the date of the renewal application and how such results relate to the activities proposed to be undertaken in the renewal period. Renewal Applications 22

23. Renewal applications are subject to the Office of Science merit review requirements. –Merit review includes determination of acceptable progress under the prior award and demonstration of “knowledge broadly disseminated”, i.e. peer reviewed publications –Compelling path forward for future research. Should an application be approved and funded, the extended period of support is treated as an extension of the original project period. Renewal Applications Office of Science FY 2011 Budget 23

24. A final report summarizing the entire project must be submitted within 90 days after the project period ends or the award is terminated. Satisfactory completion of an award is contingent upon receipt of this report. The report must be accompanied by a completed electronic version of DOE Form 241.3, "U.S. Department of Energy (DOE), Announcement of Scientific and Technical Information (STI).” Reports must be submitted in a single PDF file with all text, tables, diagrams, photographs, schematic, graphs, and charts. Materials, such as prints, videos, and books, that are essential to the report but cannot be submitted electronically, should be sent to the Contracting Officer at the address listed in Block 12 of the Notice of Financial Assistance Award. Completion of an Award 24

25. The Office of Science is making major investments in support of President Obama’s vision for the future energy security, national security, and competitiveness of our Nation: –Transformational discovery science and forefront technological advances –Increased support for training and advancement of the future scientific and technological workforce –Next generation research tools and facilities for advanced capability A cornerstone of this vision is bringing the best scientific and technical minds everywhere to bear on creating new knowledge, new possibilities, and new sustainable solutions to address future needs of the global community. Your proposals are welcome. Outlook 25