REPORT OF RESEARCH ACCOMPLISHMENTS AND FUTURE GOALS FOR FY 2004 HIGH ENERGY PHYSICS *** Budget Period: November 1, 2003 to October 31, 2004 *** Grant DE-FG03-92-ER40701 . RESEARCH PROPOSAL SUBMITTED TO THE DEPARTMENT OF ENERGY Annual Budget for FY 2004 and Report of Research Accomplishments and Future Goals Grant DE-FG03-92-ER40701 *** California Institute of Technology Department of Physics Pasadena, CA 91125 *** Budget Period November 1, 2003 to October 31, 2004 Amount Requested: $6,497,000 David Hitlin Thomas A. Tombrello Professor of Physics Chair, Division of Physics, (626) 395-6694 Mathematics and Astronomy (626) 395-4241 Date: 7/3/03 Date: Richard P. Seligman Director, Sponsored Research (626) 395-6073 Date: . DOE F 4650.2 OMB Control No. (10-99) 1910-1401 (All Other Editions Are Obsolete) Office of Science (SC) (OMB Burden Disclosure Statement on Back) Face Page TITLE OF PROPOSED RESEARCH: Report of Research Accomplishments and Future Goals for FY04 High Energy Physics 1. CATALOG OF FEDERAL DOMESTIC ASSISTANCE #: 8. ORGANIZATION TYPE: 81.049 _ Local Govt. _ State Govt. _ Non-Profit _ Hospital 2. CONGRESSIONAL DISTRICT: _ Indian Tribal Govt. _ Individual Applicant Organization's District: 27th _ Other X Inst. of Higher Educ. Project Site's District: 27th, SLAC, Fermilab, CERN _ For-Profit _ Small Business _ Disadvan. Business 3. I.R.S. ENTITY IDENTIFICATION OR SSN: _ Women-Owned _ 8(a) 95-1643303 9. CURRENT DOE AWARD # (IF APPLICABLE): 4. AREA OF RESEARCH OR ANNOUNCEMENT TITLE/#: DE-FG03-92-ER40701 High Energy Physics 10. WILL THIS RESEARCH INVOLVE: 10A .Human Subjects X No _ If yes 5. HAS THIS RESEARCH PROPOSAL BEEN SUBMITTED Exemption No. or TO ANY OTHER FEDERAL AGENCY? IRB Approval Date _ Yes X No Assurance of Compliance No: 10B .Vertebrate Animals X No _ If yes PLEASE LIST IACUC Approval Date or Animal Welfare Assurance No: 6. DOE/OER PROGRAM STAFF CONTACT (if known): 11. AMOUNT REQUESTED FROM DOE FOR ENTIRE P.K. Williams PROJECT PERIOD $ 6,497,000 12. DURATION OF ENTIRE PROJECT PERIOD: 7. TYPE OF APPLICATION: 11/01/03 to 10/31/04 _ New _ Renewal MM/DD/YY MM/DD/YY X Continuation _ Revision _ Supplement 13. REQUESTED AWARD START DATE 11/01/03 MM/DD/YY 14. IS APPLICANT DELINQUENT ON ANY FEDERAL DEBT? _ Yes (attach an explanation) X No 15. PRINCIPAL INVESTIGATOR/PROGRAM DIRECTOR 16. ORGANIZATION'S NAME California Institute of Technology * NAME David Hitlin ADDRESS Mail Code 213-6 TITLE Professor of Physics California Institute of Technology ADDRESS Mail Code 356-49 1200 E. California Blvd. California Institute of Technology Pasadena, CA 91125 1200 E. California Blvd. Pasadena, CA 91125 CERTIFYING REPRESENTATIVE'S PHONE NUMBER 626-395-6694 * NAME Lucy Molina TITLE Contract and Grant Analyst PHONE NUMBER 626 395 2372 * David Hitlin * Lucy Molina SIGNATURE OF PRINCIPAL INVESTIGATOR/PROGRAM DIRECTOR SIGNATURE OF ORGANIZATION'S CERTIFYING REPRESENTATIVE (please type in full name if electronically submitted) (please type in full name if electronically submitted) *Date July 1, 2003 *Date July 2, 2003 PI/PD ASSURANCE: I agree to accept responsibility for the scientific conduct of the project and CERTIFICATION & ACCEPTANCE: I certify that the statements herein are true and complete to the to provide the required progress reports if an award is made as a result of this submission. Willful best of my knowledge, and accept the obligation to comply with DOE terms and conditions if an provision of false information is a criminal offense. (U.S. Code, Title 18, Section 1001). award is made as the result of this submission. A willfully false certification is a criminal offense. (U.S. Code, Title 18, Section 1001). NOTICE FOR HANDLING PROPOSALS This submission is to be used only for DOE evaluation purposes and this notice shall be affixed to any reproduction or abstract thereof. All Government and non-Government personnel handling this submission shall exercise extreme care to ensure that the information contained herein is not duplicated, used, or disclosed in whole or in part for any purpose other than evaluation without written permission except that if an award is made based on this submission, the terms of the award shall control disclosure and use. This notice does not limit the Government’s right to use information contained in the submission if it is obtainable from another source without restriction. This is a Government notice, and shall not itself be construed to impose any liability upon the Government or Government personnel for any disclosure or use of data contained in this submission. PRIVACY ACT STATEMENT If applicable, you are requested, in accordance with 5 U.S.C., Sec. 562A, to voluntarily provide your Social Security Number (SSN). However, you will not be denied any right, benefit, or privilege provided by law because of a refusal to disclose your SSN. We request your SSN to aid in accurate identification, referral and review of applications for research/training support for efficient management of Office of Science grant/contract programs. DOE F 4620.1 U.S. Department of Energy OMB Control No. (04-93) Budget Page 1910-1400 All Other Editions Are Obsolete (See reverse for Instructions) OMB Burden Disclosure Statement on Reverse ORGANIZATION Budget Page No: 1 of 1 California Institute of Technology FY2004/GY05 PRINCIPAL INVESTIGATOR/PROJECT DIRECTOR Requested Duration: 12 (Months) David Hitlin A. SENIOR PERSONNEL: PI/PD, Co-PI's, Faculty and Other Senior Associates DOE Funded (List each separately with title; A.6. show number in brackets) Person-mos. Funds Requested Funds Granted CAL ACAD SUMR by Applicant by DOE 1. 2. 3. 4. 5. 6. ( ) OTHERS (LIST INDIVIDUALLY ON BUDGET EXPLANATION PAGE) 7. ( ) TOTAL SENIOR PERSONNEL (1-6) 10.67 21 $311,598 B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS) 1. ( ) POST DOCTORAL ASSOCIATES 11.83 142 $575,790 2. ( ) OTHER PROFESSIONAL (TECHNICIAN, PROGRAMMER, ETC.) 12.0 144 $843,648 3. ( ) GRADUATE STUDENTS 8.84 $172,104 4. ( ) UNDERGRADUATE STUDENTS 5. ( ) SECRETARIAL - CLERICAL 5.0 60 $162,240 6. ( ) OTHER TOTAL SALARIES AND WAGES (A+B) $2,065,380 C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS) 27.0% $511,185 TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A+B+C) Excluding GRA $2,576,565 D. PERMANENT EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM.) Computing Equipment $100,000 TOTAL PERMANENT EQUIPMENT $100,000 E. TRAVEL 1. DOMESTIC (INCL. CANADA AND U.S. POSSESSIONS) $285,471 2. FOREIGN $123,704 TOTAL TRAVEL $409,175 F. TRAINEE/PARTICIPANT COSTS 1. STIPENDS (Itemize levels, types + totals on budget justification page) 2. TUITION & FEES 3. TRAINEE TRAVEL 4. OTHER (fully explain on justification page) TOTAL PARTICIPANTS ( ) TOTAL COST G. OTHER DIRECT COSTS 1. MATERIALS AND SUPPLIES $382,943 2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION $24,785 3. CONSULTANT SERVICES 4. COMPUTER (ADPE) SERVICES 5. SUBCONTRACTS $1,350,000 6. OTHER (62% of GRA support) $106,704 TOTAL OTHER DIRECT COSTS $1,864,432 H. TOTAL DIRECT COSTS (A THROUGH G) $4,950,172 I. INDIRECT COSTS (SPECIFY RATE AND BASE) (Excludes D. and G. 4-6) 52.61% 75% TOTAL INDIRECT COSTS 24.50% 25% $1,546,828 J. TOTAL DIRECT AND INDIRECT COSTS (H+I) $6,497,000 K. AMOUNT OF ANY REQUIRED COST SHARING FROM NON-FEDERAL SOURCES L. TOTAL COST OF PROJECT (J+K) $6,497,000 . Senior Personnel Barish, B.C. ( 9%) Hitlin, D.G. (18%) Kamionkowski, M. (18%) Kapustin, A. (18%) Newman, H.B. (18%) Peck, C.W. (18%) Ooguri, H. (18%) Politzer, H.D. (0%) Porter, F.C. (18%) Preskill, J.P. ( 9%) Schwarz, J.H. (18%) Weinstein, A.J. (12%) Wise, M.B. (18%) . Contents Budget Request iii HEP Personnel — FY 2003 xi I Theory 1 1 Research in Theoretical Physics 3 2 Theoretical Particle Astrophysics 13 II Experimental Program 23 3 The Experimental Program 25 4 CLEO-II and CLEO-III 35 5 CMS at LHC and L3 at LEP2 55 6 BaBar 119 7 MINOS 155 III Technical Support 179 8 Experimental Computing 181 9 LHCNET: Wide Area Networking and Collaborative Systems for HENP 189 i ii CONTENTS IV Curriculum Vitae 229 V Bibliography 245 A Published Papers — Theory (2002 - present) 247 B Published Papers — Experiment (2002 – present) 251 C Unpublished Papers — Theory (2002 - present) 257 D Preprints and Conference Proceedings — Experiment (2002 – Present) 259 E Theses (2002 – Present) 265 Budget Request The proposed budget for the Caltech High Energy Physics Program for FY2004, the fifth year of a five year grant cycle, is presented and discussed herein. The Caltech grant is divided into several Tasks: A and B, representing theoretical particle physics and astrophysics, respectively, C representing the indi- vidual HEP experiments, S, for general administrative and technical support, including computing, and N representing costs for those global networking infrastructure and development activities administered by Caltech for the HEP community. The proposed base budget for Tasks A, C and S for FY2004 is increased by 4%, representing the cost of technical inflation. We propose an increase in Task B, Theoretical Particle Astrophyics, by $155K, as development of our capabilities in this exciting and rapidly expanding field is well motivated and, indeed, required, to maintain the synergy between our theoretical efforts and current and proposed experiments. The budget request for Task N is increased in accord with the DOE’s computing infrastructure plan. As the computing requirements of BABAR, MINOS and CMS are continuing to increase, we request $100K for ongoing upgrades to our computing installation. The indirect rate, fixed by agreement with the Institute at 52.61% at the start of this grant cycle, remains unchanged, although the Institute staff benefit rate has been raised to 27%. Last year we began combining the CLEO and CMS groups.