Proposals from National Laboratories submitted to the Office of Energy Research (ER), as a result of this program announcement, will undergo scientific/technical merit review. The following guidelines for content and format are intended to facilitate an understanding by submitting principal investigators of the requirements necessary for ER to conduct a merit review of a proposal. Please follow the guidelines carefully, as material deviations could be cause for declination of a proposal without merit review.

Employees of the Princeton Plasma Physics Laboratory are not eligible to respond to this announcement because of the conflict-of-interest considerations that would exist because of the PPPL location of the NSTX program.

1. Evaluation Criteria

Proposals will be subjected to formal merit review (peer review) and will be evaluated against the following evaluation criteria which are listed in descending order of importance:

a. Scientific and/or technical merit of the proposed research

b. Appropriateness of the proposed method or approach

c. Competency of the personnel and adequacy of the proposed resources

d. Reasonableness and appropriateness of the proposed budget

The evaluation will include program policy factors such as the relevance of the proposed research to the terms of the announcement and an agency's programmatic needs, specifically including the needs of the NSTX research program.

2. Summary of Proposal Contents

• Field Work Proposal Cover Sheet (DOE ONLY)
  
• Face Page
  
• Table of Contents
  
• Abstract
  
• Narrative
  
• Literature Cited
  
• Budget and Budget Explanation
  
• Other support of investigators
  
• Biographical Sketches
  
• Description of facilities and resources
  
• Appendix
  

2.1 Number of Copies to Submit

An original and seven copies of the formal proposal/FWP must be submitted.

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 type in this paragraph meets the guidelines); 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 Cover Sheet (DOE ONLY)

The Field Work Proposal (FWP) Cover Sheet is to be prepared and submitted consistent with policies of the investigator's laboratory and the local DOE Operations Office.

Laboratories may submit proposals directly to the ER Program office listed in this guide. For DOE laboratories, a copy should also be provided to the appropriate DOE operations office.

3.2 Face Page

The Face Page is to include the following information:

• Title of proposed project
  
• ER 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:
  If activities involving human subjects are not planned at any time during the proposed project period, state "No"; otherwise state "Yes" and provide the IRB Approval date and Assurance of Compliance Number and include all necessary information with the proposal should human subjects be involved.
• Use of vertebrate animals in proposed project:
  If activities involving vertebrate animals are not planned at any time during this project, state "No"; otherwise state "Yes" and provide the IACUC Approval date and Animal Welfare Assurance number from NIH and include all necessary information with the proposal.
• Signature of PI, date of signature
  
• 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.

3.3 Table of Contents

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 ER scientific/technical area, specifically the terms of announcement/solicitation.

3.5 Narrative

The narrative comprises the research plan for the project and is limited to 20 pages. 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 Energy Research. 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.er.doe.gov/production/grants/forms.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 (including collaborations) 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 or collaborating 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
(DOE Form 4620.1 "Budget Page" may be used)

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 $5000 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.

Explain the basis for each overhead and indirect cost. Include the current rates.

5.0 Appendix:

5.1 Due Date

Submission of formal proposals/FWPs must be received no later than 4:30 p.m. eastern time, April 23, 1998.

5.2 Submission Site

Completed proposals/FWPs must be sent to Mr. John F. Sauter, U.S. Department of Energy, Office of Energy Research, Office of Fusion Energy Sciences, ER-55, 19901 Germantown Road, Germantown, MD 20874-1290.

5.3 Energy Research Program Contact

For further information contact: Dr. William F. Dove, Office of Fusion Energy Sciences, Office of Energy Research, ER-55, telephone: (301) 903-4911, e-mail: william.dove@mailgw.er.doe.gov.