|
DEPARTMENT OF ENERGY For more information about the Office of Science, go to Office of Science |
To DOE National Laboratories LAB 04-06
Natural and Accelerated
SUMMARY: The Office of Biological and Environmental Research (OBER) of the Office of
Science (SC), U.S. Department of Energy (DOE), hereby announces its interest in receiving
proposals for research in the Natural and Accelerated Bioremediation Research (NABIR)
Program. The goal of the NABIR program is to provide the fundamental science that will serve
as the basis for development of cost-effective bioremediation and long-term stewardship of
radionuclides and metals in the subsurface at DOE sites. The focus of the program is on
understanding the role of microorganisms in long-term immobilization of contaminants in place,
and the potential for their remobilization. Contaminants of interest are uranium, technetium,
plutonium, chromium or mercury. NABIR is focused on subsurface sediments below the zone of
root influence and includes both the vadose (unsaturated) zone and the saturated zone
(groundwater and sediments). Proposals should describe research projects in one or more of the
following program categories: 1) Biogeochemistry, Biotransformation, Community Dynamics
and Microbial Ecology, or Assessment; 2) Interdisciplinary studies that integrate research from
more than one NABIR element, or 3) Projects to be performed at the NABIR Field Research
Center (FRC) addressing field scale processes that immobilize uranium and/or technetium; field
teams must include, at a minimum, expertise in microbiology, geochemistry and hydrology.
DATES: Researchers are strongly encouraged to submit a preproposal for programmatic review.
Preproposals should be submitted on or before February 6, 2004 for review for programmatic
relevance.
The deadline for receipt of formal proposals is 4:30 p.m., E.S.T., March 9, 2004, to be accepted
for merit review and to permit timely consideration for awards late in Fiscal Year 2004 or in
early Fiscal Year 2005.
ADDRESSES: Preproposals referencing Program Announcement LAB 04-06 should be sent by
E-mail to Paul.Bayer@science.doe.gov.
Formal proposals in response to Program Announcement LAB 04-06 are to be submitted as 2
paper copies of the proposal and one CD containing the proposal in PDF format. Color images
should be submitted as a separate file in PDF format and identified as such. These images should
be kept to a minimum due to the limitations of reproducing hardcopies. They should be
numbered and referred to in the body of the technical scientific proposal as Color image 1, Color
image 2, etc.
The 2 copies of the proposal and the CD, referencing Program Announcement LAB 04-06,
should be sent to: Environmental Remediation Sciences Division, SC-75/Germantown Building,
Office of Biological and Environmental Research, Office of Science, U.S. Department of
Energy, 1000 Independence Avenue, SW, Washington, D.C. 20585-1290, ATTN: Program
Announcement LAB 04-06.
When submitting by U.S. Postal Service Express Mail, any commercial mail delivery service, or
when hand carried by the researcher, the following address must be used: Environmental
Remediation Sciences Division, SC-75, Office of Biological and Environmental Research,
Office of Science, U.S. Department of Energy, 19901 Germantown Road, Germantown, MD
20874-1290, ATTN: Program Announcement LAB 04-06.
FOR FURTHER INFORMATION CONTACT: Dr. Paul Bayer, Environmental Remediation
Sciences Division, SC-75/Germantown Building, Office of Biological and Environmental
Research, Office of Science, U.S. Department of Energy, 1000 Independence Ave., SW,
Washington, D.C. 20585-1290, telephone: (301) 903-5324, E-mail:
Paul.Bayer@science.doe.gov, fax: (301) 903-8519.
SUPPLEMENTARY INFORMATION:
Background
For more than 50 years, the U.S. created a vast network of more than 113 facilities for research,
development, testing and production of nuclear weapons. As a result of these activities,
subsurface contamination has been identified at over 7,000 discrete sites across the U.S.
Department of Energy complex. With the end of the Cold War threat, the DOE has shifted its
emphasis to remediation, decommissioning, and decontamination of contaminated groundwater,
sediments, and structures at its sites. DOE is currently responsible for remediating 1.7 trillion
gallons of contaminated groundwater and 40 million cubic meters of contaminated soil. It is
estimated that more than 60% of DOE facilities have groundwater contaminated with metals or
radionuclides. More than 50% of all DOE facilities have soils or sediments contaminated with
radionuclides and metals. While virtually all of the contaminants found at industrial sites
nationwide can also be found at DOE sites, many of the metals and most of the radionuclides are
unique to DOE sites. The NABIR program aims: 1) to provide the fundamental knowledge that
may lead to new remediation technologies or strategies for radionuclides and metals; and 2) to
advance the understanding of the key microbiological and geochemical processes that control the
effectiveness of in situ immobilization as a means of long term stewardship, and how these
processes impact contaminant transport.
While bioremediation of organic contaminants involves their biotransformation to benign
products such as carbon dioxide, bioremediation of radionuclides and metals involves their
removal from the aqueous phase to reduce risk to humans and the environment. Microorganisms
can directly affect the solubility of radionuclides and metals by changing their oxidation state to
a reduced form that leads to in situ immobilization. Or, microorganisms can indirectly
immobilize radionuclides and metals through the reduction of inorganic ions that can, in turn,
chemically reduce contaminants to less mobile forms. The long term stability of these reduced
contaminants is as yet unknown.
NABIR Program
The goal of the NABIR program is to provide the fundamental science that will serve as the basis
for development of cost-effective bioremediation and long-term stewardship of radionuclides and
metals in the subsurface at DOE sites. An important aspect to the NABIR program is to assess
factors controlling the long-term stability of the immobilized contaminants and to devise
approaches (biological/chemical) to maintain their immobilization through the stewardship
phase. Naturally-occurring subsurface microbes may be involved in intrinsic bioremediation of
radionuclides and metals by reduction and immobilization, either directly or indirectly. However,
these natural processes (known as natural attenuation) typically occur at fairly slow rates, and
there may be a need to use biostimulation to enhance the rates. The primary focus of the NABIR
program is on biostimulation strategies, due to the ubiquity of metal-reducers in nature.
Immobilized radionuclides and metals are not removed from the subsurface as may occur with
excavation, pump and treat, or biodegradation of organic contaminants. Thus, understanding the
potential for remobilization of contaminants is of special interest.
The focus of the NABIR program is on radionuclides and metals that: 1) pose the greatest
potential risk to humans and the environment at DOE sites; and 2) are amenable to
immobilization by means of bioremediation. Thus, research is focused on the radionuclides
uranium, technetium and plutonium and the metals chromium and mercury. Radioactive
contaminants such as tritium and cobalt are not a focus because of their relatively short half
lives, and strontium and cesium are not addressed because they are not readily amenable to
biotransformation. Research is focused on subsurface sediments below the zone of root influence
and includes both the vadose (unsaturated) zone and the saturated zone (both groundwater and
sediments). Research on phytoremediation will not be supported by this solicitation.
NABIR is oriented toward areas that have low levels of widespread contamination; it is too
costly to clean up those situations with existing technologies. Uranium, technetium, and
chromium can be especially mobile in the subsurface under certain conditions; they are risk-
driving contaminants at some DOE sites. The effects of co-contaminants such as nitrate,
complexing agents (such as EDTA) and chlorinated solvents (such as trichloroethylene and
carbon tetrachloride) on the behavior of radionuclides and metals in the subsurface is also of
interest to the NABIR program. The NABIR Program supports hypothesis-driven, basic research
that is more fundamental in nature than demonstration projects.
The NABIR program consists of four interrelated Science Elements (Biogeochemistry,
Biotransformation, Community Dynamics and Microbial Ecology, and Biomolecular Science
and Engineering). Innovative method development for the Science Elements is supported under
the Assessment Element. The program also includes an element addressing ethical, legal and
societal issues called Bioremediation and its Societal Implications and Concerns (BASIC). The
NABIR program strongly encourages researchers to integrate laboratory and field research at
DOE or DOE-relevant sites. More information on the NABIR program may be found at:
http://www.lbl.gov/NABIR/.
The NABIR Field Research Center (FRC) and Other Field Research Sites
To encourage hypothesis-based field research and process-level understanding, the NABIR
program established the Field Research Center (FRC) for long-term field studies. The FRC
provides a site for investigators to conduct field-scale research and to obtain DOE-relevant
subsurface samples for laboratory-based studies of bioremediation, and it is located on the U.S.
Department of Energy Oak Ridge Reservation in Oak Ridge, Tennessee. The FRC is operated
by the Environmental Sciences Division of the Oak Ridge National Laboratory, and it includes a
contaminated and a background (uncontaminated control) area for in situ studies. Both areas are
located in Bear Creek Valley (BCV) within the Y-12 Plant area.
The contaminated research site at the FRC is a 98-hectare plot containing uranium, nitrate,
technetium-99, strontium, and cadmium in groundwater, soils, and sediments. To a lesser extent,
metals such as mercury, copper, zinc, and lead, and organics such as acetone, methylene
chloride, tetrachloroethylene, and toluene are also present. The contaminated area includes the
groundwater plume that originated from the S-3 Waste Disposal Ponds.
The background area is approximately 163 hectares and is located in West Bear Creek Valley,
about 2 km from the contaminated area. The area lies directly along the geologic strike of the
contaminated area and is, therefore, underlain by nearly identical geology, mineralogy, and
structure. No known contaminants have been disposed at this location throughout the history of
DOE operations. The majority of the area is heavily wooded, with the exception of the Bear
Creek floodplain.
Both the background and contaminated areas are well-characterized and well-instrumented, and
should be available for five to ten years. The water table resides between 0 and 3 meters below
the surface and is readily accessible through multilevel groundwater monitoring wells.
The FRC is responsible for general site characterization activities and provides a rich database
for use by NABIR researchers. The FRC is responsible for data management, systems
integration, and fundamental hydrological and geochemical modeling of the contaminated and
background sites. The FRC makes these data and models accessible to all researchers. See:
http://www.esd.ornl.gov/nabirfrc for more detailed
information on the NABIR FRC.
While the FRC provides a major focus for the NABIR program, it is recognized that other sites
that represent the different hydrogeological regimes found at DOE sites will also be valuable to
researchers. A large fraction of the national inventory of DOE wastes resides in unconsolidated,
porous media in relatively thick, vadose zones and in groundwaters low in soluble organic
carbon. For this reason, NABIR investigators are encouraged to take advantage of opportunities
to collect and analyze samples from arid western environments that typify the Hanford
Reservation and Uranium Mill Tailings Remedial Action (UMTRA) sites. For further
information on NABIR Field Research, please contact Mr. Paul Bayer (paul.bayer@
science.doe.gov), the NABIR Field Activities Manager.
Resources at DOE User Facilities
Researchers are encouraged to propose making use of the capabilities provided by DOE’s
National Scientific User Facilities. The instrumentation and experimental facilities at these user
facilities are available free of charge to users who agree to publish their findings in the peer
reviewed literature. Researchers may be interested in one or more of the following DOE user
facilities:
Researchers may be interested in the capabilities offered at the Environmental Molecular
Sciences Laboratory (EMSL), which is located at the Pacific Northwest National Laboratory in
Richland, WA. EMSL provides users with unique and leading edge instrumentation for
molecular-level studies, including a wide variety of capabilities in spectroscopy and microscopy,
particle characterization and imaging, and meter-scale reactive transport. These experimental
capabilities are located within EMSL’s high field magnetic resonance, high performance mass
spectrometry, interfacial and nanoscale science and optical imaging and spectroscopy facilities.
In addition, the high-performance molecular science computing facility within the EMSL
includes an 11.8 TeraFlop supercomputer for use in reactive transport and flow modeling. See
http://www.emsl.pnl.gov for further information.
Researchers may also be interested in the molecular-level capabilities for studying the speciation,
properties or behavior of contaminants that are available through DOE’s synchrotron radiation
facilities. Information concerning the types of analytical techniques available at specific
synchrotron facilities is available through EnviroSync, a national organization that represents
molecular environmental science at the synchrotrons. See
http://www.cems.stonybrook.edu/envirosync/
for further information.
Current Request for Proposals
Research projects should address the scientific aims of 1) individual NABIR elements including
Biogeochemistry, Biotransformation, Community Dynamics and Assessment; 2) Integrative,
interdisciplinary studies that involve research from more than one element; or 3) Field research
projects to be performed at the NABIR FRC in Oak Ridge, Tennessee. The focus is on field
research, or laboratory studies that can be scaled to the field, to provide supporting information
for current or future field research. The NABIR FRC provides an opportunity for researchers to
work at a DOE site in collaboration with scientists from different research elements. Studies at
the NABIR FRC show that microbial reduction of radionuclides and metals is affected by the
presence of nitrate and low pH. Thus, research into microbial mechanisms involved in the
reduction of radionuclides and metals in this type of subsurface environment is of special
interest.
Biogeochemistry: The goal of this element is to understand the fundamental biogeochemical
reactions that would lead to long-term immobilization of metal and radionuclide contaminants in
the subsurface, and the potential for remobilization. The focus is on reactions that govern the
concentration, chemical speciation, and distribution of metals and radionuclides between the
aqueous and solid phases. Biogeochemical reactions in subsurface environments are influenced
by a wide variety of factors, including the availability of electron donors and acceptors, the
nature of the microbial community, the chemical species or form of contaminant, the
hydrogeology of the site, and the nature of the environmental matrix. Often several competing
redox reactions make the prediction of the substrates, products, and kinetics difficult. The
biogeochemical reactions are further complicated by the sorption of contaminants and reaction
products to mineral surfaces, and the presence of natural organic matter and co-contaminants.
The research challenge is to identify and prioritize the key biogeochemical reactions that are
needed to predict the rate and extent of reactions that result in the immobilization of
radionuclides and metals. New and creative scientific approaches are sought that address the
following fundamental research questions:
Biotransformation: The goal of this element is to understand the mechanisms of microbially
mediated transformation of metals and radionuclides in subsurface environments leading to in
situ immobilization and long term stability. Physiological studies of the biotransformation of
metals and radionuclides by subsurface microorganisms will provide the knowledge base needed
to understand intrinsic bioremediation and to stimulate biotransformation in situ .
DOE subsurface sites encompass a range of redox environments where contaminants such as
uranium are present. One challenge is to understand the impact of these environments on
microbial physiological processes involved in the biotransformation of radionuclides and metals
to an immobilized form. Knowledge of the metabolic pathways for biotransformation of these
contaminants by naturally occurring microbial communities in vadose zones, saturated zones and
the waste plume is needed. A second challenge is to accelerate the rates of these physiological
processes in situ , in complex subsurface environments. Biotransformation of metals and
radionuclides in the subsurface is poorly understood, and predictive models based on laboratory
studies have not always accurately simulated the observed fate of metals and radionuclides in the
field. It is important to understand the kinetics of desirable metal and radionuclide
biotransformations and the physicochemical factors affecting those kinetics in the field. Research
is needed to address questions such as:
Community Dynamics and Microbial Ecology: The goal of this element is to determine the
potential for natural microbial communities to immobilize radionuclides and metals. In
particular, research focuses on: 1) understanding the structure and function of microbial
communities in the subsurface at DOE sites contaminated with metals and radionuclides; and 2)
identifying and optimizing the in situ growth of microorganisms that transform radionuclides and
metals. This research will enhance our ability to predict the effectiveness of intrinsic
bioremediation and to optimize microbial community composition for in situ immobilization of
these contaminants. Diverse microbial communities can be found in subsurface environments.
These communities represent an untapped catalytic potential for biotransformation of
radionuclides and metals. Most of these microbes, however, are as yet uncultured using current
methods. One challenge is to determine if sufficient genotypic and/or phenotypic potential exists
to support natural and/or accelerated (biostimulated) bioremediation. Knowledge of microbial
community structure and function may ultimately provide the ability to control or stimulate
subsurface communities capable of biotransformation of radionuclides and metals. A second
challenge is to optimize the community structure and activity for immobilization and metals, and
to determine the long term stability of bioremediative communities. Research is needed to
address questions such as:
Those studies that link structure to function of microbial communities that immobilize metals
and/or radionuclides at DOE sites are especially encouraged.
Assessment: Assessment is a cross-cutting element with a goal to develop innovative methods
to assess processes and endpoints in support of the NABIR Science Elements. Thus, assessment
projects are being sought that support the Science Elements of Biogeochemistry,
Biotransformation, and Community Dynamics/Microbial Ecology. Methods may range from
molecular to field scale, but they should improve the understanding of in situ bioremediation
processes in subsurface environments contaminated with radionuclides and metals. Priority will
be given to research proposals that could lead to fieldable, cost-effective, real time assessment
techniques and/or instrumentation. NABIR will not fund projects that examine endpoints relating
to human health risks. Research should address the development of innovative and effective
methods for assessing or quantifying:
Techniques must enable NABIR science and address specific science needs of the program. The
researcher should explain the potential impact and contribution to the NABIR program, as well
as the relevance and potential usefulness of the innovation.
Integrative Studies: This solicitation especially encourages those studies that integrate research
from more than one NABIR research element through laboratory and/or field research. This
interdisciplinary research should focus on achieving the primary goals of the NABIR program
through collaborative studies in which the experimental design integrates two or more NABIR
elements. Interdisciplinary teams should include participation from two or more research areas
such as microbiology, geochemistry, hydrology, environmental engineering, numerical modeling
or other disciplines. Partnering with specific field experiments may provide information for
hypothesis testing. Such integrative studies might include, for example:
Field Scale Bioremediation Experiments
Although bioremediation of radionuclides and metals has been studied in the laboratory, and
bioremediation technologies have been demonstrated in the field, there are few examples of
carefully controlled, hypothesis-driven, in situ bioremediation research at the field-scale. The
FRC provides opportunities for such field-scale experiments.
The S-3 Ponds were the primary source of contamination detected in the contaminated zone of
the FRC. The S-3 Ponds consisted of four unlined ponds constructed in 1951 on the west end of
the Y-12 Plant at Oak Ridge. Liquid wastes, composed primarily of nitric acid plating wastes
containing nitrate and various radionuclides and metals (e.g., uranium and technetium), were
disposed in the ponds until 1983. Waste disposal activities at the Y-12 Plant created a mixed
waste plume of contamination in the underlying unconsolidated residuum (primarily saprolite
and fill) and shale bedrock. The ponds were neutralized and denitrified in 1984 and capped in
1988, and the area is now a parking lot.
Three areas in the contaminated zone are currently identified as the primary targets for in situ
studies. Areas 1 and 3 are located adjacent and directly south and west, respectively, of the S-3
Ponds parking lot and Area 2 is located several hundred feet to the southwest of the parking lot.
Researchers may choose to propose research for Area 1 (a high nitrate, low pH site), Area 2 (a
low nitrate, circumneutral site) or Area 3 (a very high contaminant concentration, very low pH
site). More detailed information on Areas 1, 2 and 3 can be found on the NABIR FRC web site
(http://public.ornl.gov/nabirfrc/area123.cfm).
The initial focus of in situ research conducted at the FRC has been on biostimulation
experiments to understand or promote the immobilization of uranium and technetium by
microbial processes. Understanding natural and stimulated uranium biotransformation in the
presence of high nitrate and low pH in unconsolidated residuum and fractured rock is one of the
biggest challenges at the FRC at Oak Ridge, and at other DOE sites. The NABIR program is
currently funding the following three in situ projects within the contaminated area of the FRC:
1) a stimulated biocurtain for uranium biotransformation combined with denitification, 2) push-
pull tests to determine the kinetics of electron-acceptor and electron-donor use for microbially-
mediated uranium and technetium reduction and reoxidation, and 3) stimulation of microbial
uranium reduction in hydrologically-accessible fractured zones to precipitate uranium oxide and
isolate the uranium in low-permeability porous regions. Researchers should attempt to
complement existing projects; additional information can be found at
http://public.ornl.gov/nabirfrc/awards.cfm.
For this solicitation, the NABIR program is seeking proposals that focus on in situ studies that
are aligned with the short- and mid-term scientific tasks outlined in the recently completed
strategic plan for the FRC (
http://public.ornl.gov/nabirfrc/FRCStrategicPlan070103.pdf).
Proposals should therefore focus on field conditions or processes that affect microbial
oxidation/reduction and contaminant transport at the meter or tens of meters scale. The results of
in situ research should lead to improved parameters for modeling the fate and transport of
uranium, technetium or other contaminants. For example, research could be undertaken on
microbial metal reduction in the presence of preferential contaminant flow pathways in the
saprolite or in reworked fill, during storm events, in the vadose zone, at increasing distance from
the source, or at the seasonally variable capillary fringe. Research findings are expected to be
useful for incorporation into a site-wide FRC model for reactive transport and groundwater flow.
Researchers must propose a testable hypothesis that is based on microbially-mediated
mechanisms of immobilization for in situ field research, and they should describe a detailed
technical approach that should include 1) establishing a defined (surface area and depth)
experimental and control plot within the proposed contaminated field site, and 2) manipulating
the experimental plot by amendments of nutrients or other chemicals that might stimulate
microbial communities to immobilize uranium or technetium. The technical approach must be
described in phases such that completion of each phase could result in publishable results. A
statistically robust sampling regimen to determine the efficacy of the manipulation should also
be described. Moreover, the researcher must explain the technical feasibility of performing the
proposed field research. Technology demonstration projects will not be funded by this
solicitation.
The researchers must propose research to be performed as an interdisciplinary team including, at
a minimum, expertise in microbiology, geochemistry, and hydrology. The Principal Investigator
for the team must have prior experience in relevant field research, and the activities of each team
member must be clearly defined. Multi-institutional partnerships are strongly encouraged; for
example, researchers may draw expertise from National Laboratories, academia, and other
institutions engaged in basic research. The successful team must be willing to partner with other
funded NABIR investigators who may wish to obtain samples in conjunction with the proposed
field studies.
Although compliance with National Environmental Policy Act (NEPA) is the responsibility of
DOE, successful researchers who propose to conduct field research are expected to provide
information necessary for the DOE to complete the NEPA review and documentation. Successful
researchers will also be expected to brief and to obtain approval of their written work plan from
the Field Research Review Panel (FRRP) prior to beginning their field work. For this
solicitation, researchers should describe how they would communicate their proposed
experimental design and their results to stakeholders, regulators, and community groups.
Researchers may wish to review the FRC Communication Plan, which can be found on the FRC
web site. All researchers should discuss other relevant societal issues, where appropriate, which
may include intellectual property protection, and communication with and outreach to affected
communities (including members of affected minority communities where appropriate) to
explain the proposed research. For further information on NABIR Field Research, please contact
Mr. Paul Bayer (Paul.Bayer@ science.doe.gov), the NABIR Field Activities Manager.
Additional Information for Proposals
Long Term Environmental Remediation Goals
The following indicators establish specific long term goals in Scientific Advancement that the
BER program is committed to, and against which progress can be measured.
Environmental Remediation: Develop science-based solutions for cleanup and long-term
monitoring of DOE contaminated sites. By 2013, a significant fraction of DOE’s long- term
stewardship sites will employ advanced biology-based clean up solutions and science-based
monitors.
All proposals should address one or more of these measures and/or explain how the
proposed research supports the broad scientific objectives outlined above. More information on
the program and the scientific research it supports can be found at our website:
http://www.sc.doe.gov/ober/.
Preproposals
A brief preproposal should be submitted. The preproposal should identify, on the cover sheet, the
institution, Principal Investigator name, address, telephone, fax and E-mail address, and title of
the project. The preproposal should consist of one or two pages of narrative describing the
research objectives and methods. These will be reviewed for responsiveness to the scope and
research needs described in this notice. Please note that notification of a successful preproposal
is not an indication that an award will be made in response to the formal proposal.
Program Funding
It is anticipated that up to $3 million will be available for multiple awards to be made in late
Fiscal Year 2004 and early Fiscal Year 2005 in the categories described above, contingent on
availability of appropriated funds. Proposals may request project support up to three years, with
out-year support contingent on availability of funds, progress of the research and programmatic
needs. Annual budgets for Biogeochemistry, Biotransformation or Community Dynamic projects
are expected to range from $100,000 to $300,000 total costs. Annual budgets for integrative
studies involving participants representing more than one research element may range up to
$450,000. Annual budgets for interdisciplinary field research projects at the FRC are expected to
range from $300,000 to $1,000,000 for total costs. Costs for drilling at the FRC should not be
included in the researcher’s budget. All proposals should include letters of agreement to
collaborate from potential collaborators; these letters should specify the contributions the
collaborators intend to make if the proposal is accepted and funded. DOE may encourage
collaboration among prospective investigators to promote joint proposals or joint research
projects by using information obtained through the preliminary proposals or through other forms
of communication. DOE is under no obligation to pay for any costs associated with the
preparation or submission of proposals if an award is not made.
Submission Information
For this solicitation, the research description must be 20 pages or less, exclusive of attachments,
and must contain an abstract or summary of the proposed research (to include the hypotheses
being tested, the proposed experimental design, and the names of all investigators and their
affiliations). Researchers who have had prior NABIR support must include a Progress
Section with a brief description of results and a list of publications derived from that
funding. Attachments should include short (2 pages) curriculum vitae, a listing of all current and
pending federal support and letters of intent when collaborations are part of the proposed
research. Curriculum vitae should be submitted in a form similar to that of NIH or NSF (two to
three pages).
Any recipient of an award from the Office of Science, performing research involving
recombinant DNA molecules and/or organisms and viruses containing recombinant DNA
molecules shall comply with the National Institutes of Health "Guidelines for Research
Involving Recombinant DNA Molecules," which is available via the World Wide Web at:
http://www.niehs.nih.gov/odhsb/biosafe/nih/rdna-apr98.pdf, (59 FR 34496, July 5, 1994), or
such later revision of those guidelines as may be published in the Federal Register.
Researchers must also comply with other federal and state laws and regulations as appropriate;
for example, the Toxic Substances Control Act (TSCA) as it applies to genetically modified
organisms. Although compliance with NEPA is the responsibility of DOE, researchers proposing
to conduct field research are expected to provide information necessary for the DOE to complete
the NEPA review and documentation.
Additional information on the NABIR Program is available at the following web site:
http://www.lbl.gov/NABIR/. For researchers who do not
have access to the world wide web, please contact Karen Carlson; Environmental Sciences Division,
SC-74, Germantown Building; U.S. Department of Energy; 1000 Independence Avenue, S.W.,
Washington, D.C. 20585-1290; phone: (301) 903-3338; fax: (301) 903-8519; E-mail:
karen.carlson@science.doe.gov; for hard copies of background material mentioned in this solicitation.
The instructions and format described below should be followed. Reference Program
Announcement LAB 04-06 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 (peer review) and will be evaluated against the following criteria which are listed in descending order of importance: Scientific and/or technical merit of the project Appropriateness of the proposed method or approach Competency of the personnel and adequacy of the proposed resources Reasonableness and appropriateness of the proposed budget
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 Formal proposals in response to Program Announcement LAB 04-06 are to be submitted as 2 paper copies of the proposal and one CD containing the proposal in PDF format. Color images should be submitted as a separate file in PDF format and identified as such. These images should be kept to a minimum due to the limitations of reproducing hardcopies. They should be numbered and referred to in the body of the technical scientific proposal as Color image 1, Color image 2, etc. 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.
|