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Guide to the XRISM Cycle 1 Program for US- and Canadian-based Proposers

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1. Overview

This NASA Research Announcement (NRA) solicits General Observer (GO) proposals for XRISM from U.S. and Canadian-based PIs. For proposers from neither U.S. nor Canada, please refer to the ESA solicitation or the JAXA solicitation.

For the NASA solicitation, approximately 5.2 Ms of time will be available in the observing period running approximately from August 1, 2024 - July 31, 2025. It is anticipated that no more than $6.5M in funding will be made available to support the analysis of targets accepted at priority A, B or C (if observed) as well as Supporting Atomic Physics (SAP) investigations. Priority C targets will be observed on a "best-effort" basis. In cases where the same target is selected in more than one national program (JAXA, NASA, ESA), the feasibility of merging the two (or three) investigations will be explored at the International Merging meeting. XRISM data from approved GO program observations (including peer review approved TOO observations) have a nominal one-year exclusive-use period commencing at the time of receipt of the processed data by the observer. Only PIs affiliated with, and located at, a U.S. institution will be eligible for funding for accepted XRISM proposals through NASA.

2. Deadline

Proposals are due no later than April 4, (Thursday), 2024.

There are two types of proposals with different submission procedures:

• Type-1 proposals should be submitted by 4:30 pm (EDT) via NASA HEASARC ARK/RPS.
• Type-2 proposals should be submitted by 11:59 pm (EDT) via NASA NSPIRES by an Authorized Organizational Representative (AOR) of the proposing organization.

For the ESA or JAXA solicitation, please refer to the proposal deadline and submission methods at the ESA site or the JAXA site.

3. Dual-Anonymous Review Proposals

Type-1 Phase-1 and Type-2 proposal review will be done in a dual-anonymous fashion.

Dual-anonymous peer review (DAPR) means that not only will the proposers not know who their reviewers are, but the reviewers will not know who the proposers are, at least not until after they have evaluated the scientific merit of the proposal. This implementation of DAPR will be based on that employed by NASA's Science Mission Directorate. The "Expertise and Resources Not Anonymized" document is distributed to the panel for a subset of proposals. This is to allow the reviewers to assess the team capabilities required to execute a given proposed science investigation. This assessment will not affect the science grade and will be used by the Selection Official to help determine whether there would be any risks in funding the proposal.

Key Points

• Proposals should eliminate language that identifies the proposers or institution, as discussed in the Type-1 Phase-1 Guidelines for Anonymous Proposals and Type-2 SAP DAPR instructions.
• PIs are required to upload an "Expertise and Resources Not Anonymized" PDF through ARK or NSPIRES as a separate document when submitting the anonymized Scientific/Technical/Management section.
• Proposals that do not follow these dual-anonymous guidelines may be returned without review.

Additional information may also be found on the web at: https://science.nasa.gov/researchers/dual-anonymous-peer-review.

4. Proposal Types, Elements and Submission Method

Additional details concerning Cycle 1 are given in the XRISM NRA. There will be two types of proposals, (1) investigations requesting observations of celestial targets using one or both of the XRISM scientific instruments ("Type-1" or "Observing"); and, (2) theoretical and/or experimental investigations of atomic physics processes critical to enabling the fullest exploitation of the high-quality spectral data expected to be obtained with the Resolve instrument ("Type-2" or "SAP", US proposers only).

Type-1 (Observing) Proposals

Type-1 proposals will undergo a two-stage proposal process. Phase-1 is for observing proposals. Phase-2 is for budget proposals for successful Phase-1 proposers who were awarded Priority A or B ratings by the International Merging meeting.

Proposal submission is done via the HEASARC ARK/RPS on-line system. Hard-copy submission is not required. The following elements are required:

Type-2 (SAP) Proposals

The laboratory/theoretical investigation portion of the XRISM GO program, SAP will utilize a single stage proposal process. SAP proposals may request support for a period of up to three years in duration. Only US-based PIs are eligible.

Proposal submission is done via the NASA NSPIRES on-line system. Hard-copy submission is not required. The following elements are required:

The following should not be submitted as part of the Phase-1 proposal:

5. Selected Key Details of the Proposal Form

Type-1 Phase-1 (Observing) - ARK/RPS

New XRISM PIs must first create an ARK account and/or join the XRISM RPS group. Having done so, the XRISM RPS form can be accessed via ARK/RPS.

We provide below selected key details for XRISM Cycle 1. For further details, consult the ARK/RPS help file.

Cover Page

• Target of Opportunity (TOO) proposals for previously known sources will be accepted in response to this AO. Please look at the Notes on TOO Proposals page for details.
• PIs can indicate on their proposal whether they wish their proposed observation merged or not when the same target is selected by multiple agencies. If merged, a single observation of the target will be awarded to both proposing teams, a single, Prime PI (PPI) will be designated, and the time will be accounted for based on the Agency to which the PPI proposed the observation. The PPI will assume the responsibility for planning the observation, and both teams will have access to the processed data. Alternatively, PIs have the option of indicating on their proposal that they do not wish their proposed observation merged. In such cases, if one or both of the accepted proposals are so marked, only one will be selected for observation. The priority given by the national reviews, as well as the lengths of the accepted observations, will be considered. The decision will be made by the International Merging Panel.

General Form

• To facilitate checking for conflicts of interest during the peer review process, the co-I's institution must be chosen from the menu (thereby enforcing a uniform set of names). Please check the list of institutions and contact the RPS team as soon as possible if your co-I's institution is not on this list.
• Up to 20 co-investigators can be entered into the RPS form. If you have more than 20 Co-Investigators, additional Co-Investigators can be specified in the team expertise PDF that you will need to upload after successful submission of your proposal forms. The team expertise PDF should always include your complete list of Co-Investigators regardless of how many you have. The full list will be used by project personnel for conflict checking. Under the Dual Anonymous Proposal Review Procedure reviewers will not see any investigator names provided to ARK/RPS, unless they assess them after ranking the proposals (see the DAPR Guidelines). Please do not enter any investigator names in any ARK/RPS comment fields.

Target Form

• Time Constrained: A target is considered as "Time Constrained" if any of the following sections of the target form are marked as 'Yes':
  • Roll angle dependent
  • Monitoring Program
  • Phase Dependent
  • Date Constrained
  • Coordinated with other ground- or space-based observatories
  See the XRISM RPS help page for more information about these fields. Time-constrained observations must be designated Priority A.

• Proposers should include a summary of details that are necessary for scheduling and observation planning (constraints, observing mode) in the Remarks box for each target.
• The minimum exposure for XRISM targets is 10 ks. For Cycle 1, observations will be limited to 200 300 ks per pointing.
• Target of Opportunity (TOOs): The details are listed in the Notes on TOO Proposals page.

After completing all fields for a proposal in ARK/RPS, use the Verify button to confirm that all required entries exist and conform to the expected format. Forms that pass verification can then be submitted. ARK/RPS allows PIs to continue to modify submitted proposals until the deadline, so there is no penalty for submitting the proposal form early.

The LaTeX, PostScript, and PDF buttons of ARK/RPS can be used to generate formatted versions of the proposal forms. Although it is often useful for the PIs to keep formatted copies of the forms for the record, it is not a required part of the proposal submission process.

Type-2 (SAP) - NSPIRES

New NSPIRES users (including PIs and Co-Is) must first create an NSPIRES account. Please refer to the NSPRIES help page for how to link to proposers' institutions, add Team Members, and enter budget information, etc.

6. Anonymized Scientific/Technical/Management Section

Format

• The anonymized Scientific/Technical/Management section for a Type-1 Phase-1 Program must not exceed 4 Letter size (8.5" x 11") pages. Page limits include text, figures, tables, and references. The anonymized Scientific/Technical/Management section for a Type-2 Program must not exceed 10 pages. The list of references does not count against the page limit .
• The anonymized Scientific/Technical/Management section can be generated using the software of the PI's choice, as long as it is converted to PDF format before submission. However, the font size and margings should meet the proposal style format requirement described in the ROSES Summary of Solicitation. Specifically, the text body font size should be no smaller than 15 characters per inch. A 12 point font size is recommended. Please note that Phase-1 proposals should have a single-column format. References should be in the [1], [2] format.
• Proposals must not contain hyperlinks to additional material other than references to public information that do not identify the PI, Co-Is or their institutions; web pages with material specific to the proposal such as target lists or stray light assessments are not allowed.
• We suggest that proposers use the LaTeX template (Type-1, and Type-2) or the Word template (Type-1 and Type-2) for the anonymized Scientific/Technical/Management section. When using these templates, the user should double-check that the text area is 6.5" x 9", having at least 1 inch top, botton, right and left margins on US letter size paper (8.5" x 11").

Content

• Type-1 Phase-1 (Observing)
• Proposals should include a description of the scientific objectives; justify the choice of target(s); show that existing data (previous X-ray observations or at other wavelengths) are insufficient to achieve the objectives; justify the choice of XRISM over other existing observatories (preferably linked to some unique characteristic of XRISM); and demonstrate the feasibility of the proposed observation and analysis.
• Proposals for targets already observed by XRISM are allowed, but must include a justification for an additional observation, such as a much longer exposure, different pointing position within an extended object, or different observing window for a variable object. Observed XRISM targets can be found using the DARTS/XRISM at ISAS/JAXA.
• A list of approved targets for the Performance Verification (PV) phase of the XRISM mission can be found on the PV Targets page. The list of the calibration targets (candidates) are found at the calibration target page.
• The length of the observation should be justified based on the specific scientific objectives, preferably using simulations or scaled from prior XRISM observations of a similar source. However, the minimum XRISM observing time for a target is set at 10 ksec. To maximize the breadth of scientific investigations undertaken with XRISM during Cycle 1, observations will be limited to 200 300 ks per pointing with the total not to exceed 600 ks per proposal.

• Type-2 (SAP)
• Proposals should include a detailed description of the proposed techniques and associated scientific/technical justification.
• Proposals should be well defined and must address an atomic physics issue expected to be encountered in a potential Resolve observation. It can be a theoretical (e.g., calculation of atomic cross sections or collision strengths) and/or an experimental (e.g., EBIT measurements of particular ionization states) investigation. Note that proposals with a more general scientific relevance, i.e., in which the direct relevance of the investigation is only partially/marginally applicable to the interpretation of Resolve spectral data, are not solicited under this Call. Such proposals should be submitted to the Laboratory Astrophysics category of the Astrophysics Research and Analysis (APRA) program element (Appendix D.3) of ROSES-2016.
• Proposals should provide work plan, including a "Budget Details" section and a "Budget Narrative" section. Note that the budget justification and narrative do not count against the page limit. Proposals may request support for a period of up to three years in duration.

7. Expertise and Resources - Not Anonymized Document

PIs are required to upload an up to three-page "Expertise and Resources - Not Anonymized" document PDF through ARK as a separate upload when submitting the anonymized Scientific/Technical/Management section for Type-1 Phase-1 proposals. The LaTeX template or the Word template is available. This document provides a list of all team members, their institutional affiliations, roles, expertise, and contributions to the work. The document should also discuss any specific resources that are key to completing the proposed work. For Type-2, please refer to the list of required elements described in the proposal types, elements, and submission section or the NRA.

This document will be distributed to the review panel after all proposals have been reviewed and rated, only for programs which are in the selectable range. This is to allow the reviewers to assess the team capabilities required to execute a given proposed science investigation. If there are clear, compelling deficiencies in the expertise required to see through the goals of the proposal, the panel may decide to flag the submission accordingly, and provide a detailed justification in its comments to NASA. This review may not be used to flag "up" proposals for having strong team qualifications, nor may it be used to re-evaluate or upgrade proposals.

8. Budget Proposals for Observing Programs: Type-1 Phase-2 Proposals

US PIs whose Type-1 Phase-1 (observing) proposals are assigned a Priority A, B or C rating by the International Merging meeting will be invited to submit a Phase-2 (cost) proposal.

The Phase-2 proposal deadline is Sept.30th, 2024. Phase 2 proposals are submitted through NASA's NSPIRES system. As with all NASA ROSES proposals, final institutional submission is required. Please leave enough time for your institutional process. If your institution requires a NASA grant solicitation number, it is NNH23ZDA001N-XGO.

Subject to acceptance of the associated Phase 2 cost submission, proposals for standard-mode observations (excluding proposals involving Target of Opportunity ToO or time-constrained TC observations) assigned a Priority A or B rating will be eligible for funding immediately. US PIs of A or B proposals with ToO or TC observations or US PIs of Priority C proposals are also invited to submit a budget proposal by the Sept. 30th, 2024, deadline. However, the PIs of these programs will not receive funding until a target from their program is observed.

US Co-Is on proposals with non-US PIs are not eligible for funding.

To submit a Stage 2 proposal, follow these basic steps:

1. Log on to NSPIRES. If you do not have an NSPIRES account, you will need to create one and affiliate with your institution.
2. On your NSPIRES home page, click on "Proposals/NOIs."
3. Click the "▸Create Proposal" button.
4. Select "Solicitation." Even though your proposal has already been selected via phase 1, do not select "Prior-phase Proposal."
5. Select "XRISM General Observer - Cycle 1" NNH23ZDA001N-XGO)
6. Enter proposal information and your institutional affiliation.
7. When proposal elements are complete, use the "Release to Org" button to release the proposal to your institutional proposal office.
8. Your institutional proposal office must then perform the final proposal submission.

A Phase-2 cost proposal consists of:

1. Cover page (via NSPIRES forms)
2. The abstract (via NSPIRES forms)
3. The budget justification (12pt minimum font with reasonable margins), not to exceed two pages, including: a) a breakdown of the work assignments for all funded investigators, b) any major purchases including workstations, c) proposed scientific travel, d) publication costs, and e) any cost sharing applied to this project
4. Confirmation of commitment (via NSPIRES forms) from any unfunded but essential personnel and from any necessary observing facilities on which time is not granted through the NuSTAR proposal review process
5. A listing of any current and pending support
6. A budget prepared according to the guidelines of the PI or Co-I institution, detailing the requested itemized expenditures
7. All required government certifications
8. A 1-2 page CV for each PI or Co-I requesting support

Please note that only one institution (e.g., PI institution only) award is allowed for XRISM Cycle 1 Phase 2 proposals. If Co-Is requesting support, please do budget this as a sub-award. The nominal period of performance is one year and the PI may select a start date between October 1, 2024 and April 1, 2025. Grants for proposals with "regular" A and B targets will be processed after the cost proposals are reviewed. Since ToO and time-constrained target observation grants will be issued only after the observation(s) take place in those cases the PI may want to use a later start date for planning purposes. Note that in either case the relevant start date for year of effort will be when the grant is issued by NSSC. If the grant needs to be extended beyond one year, please submit the No-Cost Extension request at least three months in advance of the end date of the period of performance.

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