DEPARTMENT OF ENERGY For more information about the Office of Science, go to Office of Science |
To DOE National Laboratories LAB 04-18
Research in Innovative
SUMMARY: The Office of Fusion Energy Sciences (OFES) of the Office of Science
(SC), U.S. Department of Energy (DOE), announces its interest in receiving peer-
reviewable Field Work Proposals (FWPs) for research in innovative approaches
to fusion energy sciences. All individuals or groups seeking renewal funding or new funding
in this area for projects whose funding will expire at the end of Fiscal Year 2004 should
respond to this Notice. Successful proposals will be funded early in FY 2005.
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 (See, for example, the Report of the Integrated
Program Planning Activity for the DOE Fusion Energy Sciences Program (IPPA 2000),
Report DOE/SC-0028,
http://www.ofes.fusion.doe.gov/FusionDocuments/IPPAFinalDec00.pdf ). Current emphases of the
program include unraveling the physics of high density magnetized plasmas, plasmas
with a high degree of self organization, and high-b plasmas. Research proposals in
support of the on-going research in the program or the long-term goal of the program are
welcome. Proposals for research on the large fusion facilities (DIII-D, Alcator C-Mod,
NSTX, MST, NCSX), or initiatives in Inertial Fusion Energy should not be submitted in
response to this notice.
OFES may also solicit proposals 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 awards, if funded, will be
subject to periodic reviews of progress.
DATES: To permit timely consideration for awards in FY05, proposals submitted in
response to this notice must be received by DOE no later than 4:30 p.m., May 25, 2004.
ADDRESSES: Completed formal FWPs referencing Program Announcement LAB 04-18
submitted by U.S. Postal Service should be forwarded to: Mr. John Sauter,
SC-55/Germantown Building, U.S. Department of Energy, Office of Science, 1000
Independence Avenue, SW, Washington, DC 20585-1290. FWPs submitted by
commercial courier or express mail service, or hand carried by proposer, should use the
following address: U.S. Department of Energy, 19901 Germantown Road, Germantown,
MD 20874-1290, ATTN: Program Announcement LAB 04-18.
FOR FURTHER INFORMATION CONTACT: Office of Fusion Energy Sciences,
U.S. Department of Energy, SC-55/Germantown Building, 1000 Independence Avenue,
SW, Washington, DC 20585-1290. Dr. Francis Thio is the Team Leader for the ICC
Program. Contact information for members of the ICC Team is given below:
Dr. Sam Barish, SC-55, (301) 903-2917, sam.barish@science.doe.gov.
Dr. Curt Bolton, SC-55, (301) 903-4914, curt.bolton@science.doe.gov.
Dr. Steve Eckstrand, SC-55, (301) 903-3752, steve.eckstrand@science.doe.gov.
Dr. Chuck Finfgeld, SC-55, (301) 903-3423, charles.finfgeld@science.doe.gov.
Dr. Francis Thio, SC-55, (301) 903-4678, francis.thio@science.doe.gov.
PROPOSAL SUBMISSION: An original and seven copies of each FWP must be
submitted. Due to the anticipated number of reviewers, it would be helpful for each
proposer to submit an additional seven copies of each FWP. In lieu of the seven
additional copies, proposers may provide a CD-ROM containing the proposal in Portable
Document Format (PDF). The label on the CD must clearly identify the institution,
principal investigator, and title of the proposal. (If the proposer elects to submit a CD, an
original and seven copies of the proposal must still be submitted.) All submissions and
inquiries about this program should reference Program Announcement LAB 04-18.
Since we expect that reviewers will be asked to review several proposals, all proposals
should be limited to a maximum of twenty five (25) pages (including text and figures)
of technical information. Proposals 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 FWP must be peer-reviewable to be responsive. The proposal should be written in
strict compliance with the following format:
2. Abstract - One paragraph summary of the planned work in no more than one page
3. Background and Recent Accomplishments
4. Proposed research
5. Textual Summary of Budget (in addition to the formal budget pages) - in particular, showing how the budget relates to the research and task plans
6. Management plan - if appropriate (for projects of large size and complexity)
7. Description of facilities, resources, and personnel.
8. Other current and pending support.
SUPPLEMENTARY INFORMATION:
In selecting proposals for funding, the DOE Office of Fusion Energy Sciences will give
priority to proposals that can produce experimental results within three to five years after
initiation. Theoretical research will be accepted for consideration under this Notice when
bundled with and in support of an experimental proposal.
Proposals concerned with scientific assessment of new concepts or approaches that are
not ready for experimental investigation 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.
Collaborative research projects involving more than one institution are encouraged.
Proposals submitted from different institutions, which are directed at a common research
activity, should clearly indicate they are part of a proposed collaboration and contain a
brief description of the overall research project. However, each proposal 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.
Program Funding
There are two existing projects within the ICC Program scheduled for renewal in FY05
with a total funding amount of about $0.5 M in FY04. It is anticipated that a similar
amount of funding in FY05 might be available to fund the renewals of existing work or
new work from proposals received in response to this Notice. Future year funding will
depend upon suitable progress and the availability of funds. OFES reserves the right not
to fund any renewal or new work that is judged not to be better or equal in quality and
programmatic importance to existing projects within the Program. The cost-effectiveness
of the proposal will be considered when comparing proposals with differing funding
requirements.
The instructions and format described below should be followed. Reference Program
Announcement LAB 04-18 on all submissions and inquiries about this program.
GUIDE FOR PREPARATION OF SCIENTIFIC/TECHNICAL PROPOSALS TO BE SUBMITTED BY NATIONAL LABORATORIES Proposals from National Laboratories submitted to the Office of Science (SC) as a result of this program announcement will follow the Department of Energy Field Work Proposal process with additional information requested to allow for scientific/technical merit review. The following guidelines for content and format are intended to facilitate an understanding of the requirements necessary for SC to conduct a merit review of a proposal. Please follow the guidelines carefully, as deviations could be cause for declination of a proposal without merit review. 1. Evaluation Criteria Proposals will be subjected to formal merit review and will be evaluated against the following criteria. Included with each criterion are the detailed questions that are asked of the reviewers. 1. Scientific and/or technical merit of the project;
2. Appropriateness of the proposed method or approach;
3. Competency of the applicant's personnel and adequacy of the proposed resources;
4. Reasonableness and appropriateness of the proposed budget. The reviewers are also asked to comment on Other Appropriate Factors:
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 proposals 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. 2. Summary of Proposal Contents
Proposal Cover Page Table of Contents Abstract Narrative Literature Cited Budget and Budget Explanation Other support of investigators Biographical Sketches Description of facilities and resources Appendix An original and seven copies of each FWP must be submitted. Due to the anticipated number of reviewers, it would be helpful for each proposer to submit an additional seven copies of each FWP. In lieu of the seven additional copies, proposers may provide a CD-ROM containing the proposal in Portable Document Format (PDF). The label on the CD must clearly identify the institution, principal investigator, and title of the proposal. (If the proposer elects to submit a CD, an original and seven copies of the proposal must still be submitted.). All submissions and inquiries about this program should reference Program Announcement LAB 04-18. 3. Detailed Contents of the Proposal Proposals must be readily legible, when photocopied, and must conform to the following three requirements: the height of the letters must be no smaller than 10 point with at least 2 points of spacing between lines (leading); the type density must average no more than 17 characters per inch; the margins must be at least one-half inch on all sides. Figures, charts, tables, figure legends, etc., may include type smaller than these requirements so long as they are still fully legible. 3.1 Field Work Proposal Format (Reference DOE Order 5700.7C) (DOE ONLY) The Field Work Proposal (FWP) is to be prepared and submitted consistent with policies of the investigator's laboratory and the local DOE Operations Office. Additional information is also requested to allow for scientific/technical merit review. Laboratories may submit proposals directly to the SC Program office listed above. A copy should also be provided to the appropriate DOE operations office. 3.2 Proposal Cover Page The following proposal cover page information may be placed on plain paper. No form is required.
SC Program announcement title Name of laboratory Name of principal investigator (PI) Position title of PI Mailing address of PI Telephone of PI Fax number of PI Electronic mail address of PI Name of official signing for laboratory* Title of official Fax number of official Telephone of official Electronic mail address of official Requested funding for each year; total request Use of human subjects in proposed project:
Signature of official, date of signature* *The signature certifies that personnel and facilities are available as stated in the proposal, if the project is funded. Provide the initial page number for each of the sections of the proposal. Number pages consecutively at the bottom of each page throughout the proposal. Start each major section at the top of a new page. Do not use unnumbered pages and do not use suffices, such as 5a, 5b. 3.4 Abstract Provide an abstract of no more than 250 words. Give the broad, long-term objectives and what the specific research proposed is intended to accomplish. State the hypotheses to be tested. Indicate how the proposed research addresses the SC scientific/technical area specifically described in this announcement. 3.5 Narrative The narrative comprises the research plan for the project and is limited to 5 pages per task. It should contain the following subsections: Background and Significance: Briefly sketch the background leading to the present proposal, critically evaluate existing knowledge, and specifically identify the gaps which the project is intended to fill. State concisely the importance of the research described in the proposal. Explain the relevance of the project to the research needs identified by the Office of Science. Include references to relevant published literature, both to work of the investigators and to work done by other researchers. Preliminary Studies: Use this section to provide an account of any preliminary studies that may be pertinent to the proposal. Include any other information that will help to establish the experience and competence of the investigators to pursue the proposed project. References to appropriate publications and manuscripts submitted or accepted for publication may be included. Research Design and Methods: Describe the research design and the procedures to be used to accomplish the specific aims of the project. Describe new techniques and methodologies and explain the advantages over existing techniques and methodologies. As part of this section, provide a tentative sequence or timetable for the project. Subcontract or Consortium Arrangements: If any portion of the project described under "Research Design and Methods" is to be done in collaboration with another institution, provide information on the institution and why it is to do the specific component of the project. Further information on any such arrangements is to be given in the sections "Budget and Budget Explanation", "Biographical Sketches", and "Description of Facilities and Resources". 3.6 Literature Cited List all references cited in the narrative. Limit citations to current literature relevant to the proposed research. Information about each reference should be sufficient for it to be located by a reviewer of the proposal. 3.7 Budget and Budget Explanation A detailed budget is required for the entire project period, which normally will be three years, and for each fiscal year. It is preferred that DOE's budget page, Form 4620.1 be used for providing budget information*. Modifications of categories are permissible to comply with institutional practices, for example with regard to overhead costs. A written justification of each budget item is to follow the budget pages. For personnel this should take the form of a one-sentence statement of the role of the person in the project. Provide a detailed justification of the need for each item of permanent equipment. Explain each of the other direct costs in sufficient detail for reviewers to be able to judge the appropriateness of the amount requested. Further instructions regarding the budget are given in section 4 of this guide. * Form 4620.1 is available at web site: http://www.sc.doe.gov/production/grants/Forms-E.html 3.8 Other Support of Investigators 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 devoted to the project. 3.9 Biographical Sketches This information is required for senior personnel at the laboratory submitting the proposal and at all subcontracting institutions. The biographical sketch is limited to a maximum of two pages for each investigator. 3.10 Description of Facilities and Resources Describe briefly the facilities to be used for the conduct of the proposed research. Indicate the performance sites and describe pertinent capabilities, including support facilities (such as machine shops) that will be used during the project. List the most important equipment items already available for the project and their pertinent capabilities. Include this information for each subcontracting institution, if any. 3.11 Appendix Include collated sets of all appendix materials with each copy of the proposal. Do not use the appendix to circumvent the page limitations of the proposal. Information should be included that may not be easily accessible to a reviewer. Reviewers are not required to consider information in the Appendix, only that in the body of the proposal. Reviewers may not have time to read extensive appendix materials with the same care as they will read the proposal 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. Detailed Instructions for the Budget 4.1 Salaries and Wages List the names of the principal investigator and other key personnel and the estimated number of person-months for which DOE funding is requested. Proposers should list the number of postdoctoral associates and other professional positions included in the proposal and indicate the number of full-time-equivalent (FTE) person-months and rate of pay (hourly, monthly or annually). For graduate and undergraduate students and all other personnel categories such as secretarial, clerical, technical, etc., show the total number of people needed in each job title and total salaries needed. Salaries requested must be consistent with the institution's regular practices. The budget explanation should define concisely the role of each position in the overall project. 4.2 Equipment DOE defines equipment as "an item of tangible personal property that has a useful life of more than two years and an acquisition cost of $25,000 or more." Special purpose equipment means equipment which is used only for research, scientific or other technical activities. Items of needed equipment should be individually listed by description and estimated cost, including tax, and adequately justified. Allowable items ordinarily will be limited to scientific equipment that is not already available for the conduct of the work. General purpose office equipment normally will not be considered eligible for support. 4.3 Domestic Travel The type and extent of travel and its relation to the research should be specified. Funds may be requested for attendance at meetings and conferences, other travel associated with the work and subsistence. In order to qualify for support, attendance at meetings or conferences must enhance the investigator's capability to perform the research, plan extensions of it, or disseminate its results. Consultant's travel costs also may be requested. 4.4 Foreign Travel Foreign travel is any travel outside Canada and the United States and its territories and possessions. Foreign travel may be approved only if it is directly related to project objectives. 4.5 Other Direct Costs The budget should itemize other anticipated direct costs not included under the headings above, including materials and supplies, publication costs, computer services, and consultant services (which are discussed below). Other examples are: aircraft rental, space rental at research establishments away from the institution, minor building alterations, service charges, and fabrication of equipment or systems not available off- the-shelf. Reference books and periodicals may be charged to the project only if they are specifically related to the research. a. Materials and Supplies The budget should indicate in general terms the type of required expendable materials and supplies with their estimated costs. The breakdown should be more detailed when the cost is substantial. b. Publication Costs/Page Charges The budget may request funds for the costs of preparing and publishing the results of research, including costs of reports, reprints page charges, or other journal costs (except costs for prior or early publication), and necessary illustrations. c. Consultant Services Anticipated consultant services should be justified and information furnished on each individual's expertise, primary organizational affiliation, daily compensation rate and number of days expected service. Consultant's travel costs should be listed separately under travel in the budget. d. Computer Services The cost of computer services, including computer-based retrieval of scientific and technical information, may be requested. A justification based on the established computer service rates should be included. e. Subcontracts Subcontracts should be listed so that they can be properly evaluated. There should be an anticipated cost and an explanation of that cost for each subcontract. The total amount of each subcontract should also appear as a budget item. 4.6 Indirect Costs Explain the basis for each overhead and indirect cost. Include the current rates.
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