DEPARTMENT OF ENERGY For more information about the Office of Science, go to Office of Science |
To DOE National Laboratories LAB 06-15
Basic Research
SUMMARY: The Office of Basic Energy Sciences (BES) of the Office of Science (SC),
U.S. Department of Energy (DOE), in keeping with its mission to assist in strengthening
the Nation's scientific research enterprise through the support of fundamental science and
the experimental tools to perform basic research, announces its interest in receiving
proposals for basic research in the area of solar energy utilization. This Notice solicits
innovative basic research proposals to establish the scientific basis that underpins the
efficient capture, conversion, and utilization of solar energy in a cost-effective manner.
We seek to support outstanding fundamental research programs that will lead to key
discoveries and conceptual breakthroughs to make sunlight as the practicable solution to
meet our compelling need for clean, abundant sources of energy.
DATES: Potential researchers are REQUIRED to submit a brief preproposal through
appropriate Laboratory channels. Preproposals referencing Program Announcement LAB
06-15 must be received by DOE by 4:30 p.m., Eastern Time, June 5, 2006. Preproposals
will be reviewed for conformance with the guidelines presented in this Notice and
suitability in the technical areas specified in this Notice. A response to the preproposals
encouraging or discouraging formal proposals will be communicated to the researchers
by August 11, 2006. Complete guidance on the content and format of the
preapplication is provided in the SUPPLEMENTARY INFORMATION section
below.
Only those preproposals that receive notification from DOE encouraging a formal
proposal may submit full proposals. No other formal proposals will be considered.
Formal proposals in response to this Notice must be received by November 14, 2006.
ADDRESSES: Preproposals referencing Program Announcement LAB 06-15 should be
sent as PDF file attachments via e-mail to: solarenergy@science.doe.gov with "Program
Announcement LAB 06-15" as the subject. No FAX or mail submission of preproposals
will be accepted.
NOTE: Each FFRDC may submit up to three preproposals as lead institution; the
first three preproposals received from an FFRDC as lead institution will be considered to
be that institution's official submission. BES reserves the right to encourage, in whole or
in part, any, all, or none of the preproposals submitted, and may issue further guidance on
the scope of the full proposal submissions of those encouraged.
Formal Proposals
This section pertains only to those proposers that have been encouraged to submit a
full proposal. A complete formal FWP in a single Portable Document Format (PDF) file must be submitted
through the DOE ePMA system (https://epma.doe.gov) as an attachment.
To identify that the FWP is responding to this program announcement, please fill in the following fields in the
"ePMA Create Proposal Admin Information" screen as shown:
* Please use the wording shown when filling in these fields to identify that the FWP is
responding to this Program Announcement.
U.S. Department of Energy
FOR FURTHER INFORMATION CONTACT: Eric A. Rohlfing, Office of Basic
Energy Sciences, Chemical Sciences, Geosciences and Biosciences Division, SC-22.1,
telephone: (301)903-8165, E-mail: eric.rohlfing@science.doe.gov or Aravinda Kini,
Office of Basic Energy Sciences, Materials Sciences and Engineering Division, SC-22.2,
telephone: (301) 903-3565, E-mail: aravinda.kini@science.doe.gov
SUPPLEMENTARY INFORMATION: In April 2005, BES sponsored a workshop to
identify basic research needs for effective solar energy utilization. Over 200 workshop
participants, from academia, national laboratories, government and industry in the US
and abroad, critically assessed the state-of-the-art and limitations of current technologies
for producing a significant fraction of our primary energy source from sunlight. The
workshop report, entitled Basic Research Needs for Solar Energy Utilization
(
http://www.sc.doe.gov/bes/reports/files/SEU_rpt.pdf) detailed a broad array of key
scientific challenges and research avenues to address these challenges. This Notice
solicits innovative basic research proposals to establish the scientific basis that underpins
the efficient capture, conversion, and utilization of solar energy in a cost-effective
manner. We seek to support outstanding fundamental research programs that will lead to
key discoveries and conceptual breakthroughs to make sunlight as the practicable
solution to meet our compelling need for clean, abundant sources of energy. As in the
workshop report, three broad areas that encompass many of the priority research
directions will be the subject of this solicitation. They are:
Solar to Electric Conversion
The challenge in converting sunlight to electricity via photovoltaic solar cells is to
dramatically reduce the cost/watt of delivered solar electricity by dramatically improving
the conversion efficiency. Devices that operate above the existing performance limit will
require the discovery of new materials and new pathways for solar to electric conversion.
Revolutionary approaches will be needed to minimize thermalization and recombination
of photo-generated carriers. These breakthroughs will come from a broad range of
research activities in both materials and topologies, which includes research in single-
crystal, polycrystalline, amorphous, and nanostructured inorganic and organic materials;
an understanding of the electronic structure of these materials; and their implementation
in single and multiple junction solar cells. These cells could potentially take advantage of
optical frequency shifting, multiple exciton generation, and hot carrier generation. Basic
research is essential for identifying new materials and processes to make efficient solar
generated electricity a reality. High priority research directions include:
Because of the day/night variation of the solar resource, the practical use of solar energy
faces two overarching technological challenges: economically converting sunlight into
useful energy, and storing and dispatching that converted energy to end users in an
economical, convenient form. There must be a means to cost-effectively convert this
energy into forms useful for transportation, residential and industrial applications. The
ability to use sunlight to produce CH4 or H2 from abundant, non-toxic resources such as
CO2 and water would revolutionize the economical, environmentally sound production
of fuels. There are two key challenges in cost-effective formation of solar fuels. One is to
replicate the essential components of the photosynthetic machinery to store chemical
energy outside of a natural organism or plant. The other is to construct entirely man-made
chemical components that, as an assembly, absorb sunlight and convert the energy into
chemical fuels such as CH4 and H2. Examples of topical areas in which innovative
research is needed include:
High efficiency thermoelectric and thermophotovoltaic converters coupled to solar
concentrators have the potential to generate electricity with significant increase in
conversion efficiency. Currently, terrestrial thermoelectric and thermophotovoltaic
systems are based on combustion heat, with the novel area of solar-based thermoelectric
and thermophotovoltaic being little explored. Fundamental research is needed in the
following areas:
It is anticipated that up to $20 million annually will be available for multiple awards for
this notice. Initial awards will be in Fiscal Year 2007, and proposers may request project
support for up to three years. All awards are contingent on the availability of funds and
programmatic needs.
Preproposal
The preproposal should consist of a description of the research proposed to be undertaken
by the proposer and a clear explanation of its relevance and impact on improved
utilization of solar energy. The preproposal must be submitted electronically to
solarenergy@science.doe.gov as two files:
(1) A cover page in Excel format downloadable from:
http://www.science.doe.gov/bes/Solar_preapp_cover.xls. The information to be entered
on the cover page includes: Program Announcement Number; Lead Principal Investigator
name, address, email address, telephone number, and fax number; project title; name and
institution of all co-Principal Investigators and/or senior collaborators (excluding
postdocs and graduate students); selection of one primary and multiple secondary
submission categories (see below); budget request for each project year; and total budget
request for the project. Please do not alter the overall format of the cover- page Excel file,
i.e., do not move or merge cells, as this will significantly slow the processing of the
preproposal.
(2) A PDF file containing a narrative section not to exceed 3 pages (including text and
figures) describing the research objectives, approaches to be taken, the institutional
setting, and a description of any research partnership if appropriate; and brief, one-page,
vitae for each Principal Investigator.
As noted above, the preproposal must identify primary and secondary submission
categories for the purposes of appropriate peer review. Applicants should identify their
preproposal by indicating the number and title of the primary and secondary submission
categories on the cover page. The submission categories are:
Solar Research Submission Categories:
The purpose of this self-identification into research categories is solely for the purposes
of grouping like proposals for peer review.
Full Proposal
The Department of Energy will accept Full Proposals by invitation only, based upon the
evaluation of the preproposals. After receiving notification from DOE concerning
successful preproposals, researchers may prepare formal proposals. DOE is under no
obligation to pay for any costs associated with the preparation or submission of
proposals.
Full proposals adhering to DOE Field Work Proposal format are to be prepared and
submitted consistent with policies of the investigator's laboratory and the local DOE
Operations Office.
The instructions and format described below should be closely
followed. Laboratories may submit proposals directly to the SC Program Office listed
above. A copy should also be provided to the appropriate DOE Operations Office.
Program Announcement LAB 06-15 must be referenced 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 evaluation criteria listed below in descending order of importance.
Appropriateness of the proposed method or approach; Competency of the personnel and adequacy of the proposed resources; Reasonableness and appropriateness of the proposed budget; Basic research that is relevant to improved utilization of solar energy. 2. Summary of Proposal Contents
3.2 Proposal Cover Page 3.3 Proposal Abstract 3.4 Table of Contents 3.5 Management Plan _________________________________________________________ Sections 3.6-3.13 are to be completed for each subtask in the proposal. Up to 4 tightly integrated subtasks are allowed in each proposal. Multiple subtasks should be presented as follows: First Subtask: Sections 3.6.1, 3.7.1,..., 3.12.1, 3.13.1 Second Subtask: Sections 3.6.2, 3.7.2, ..., 3.12.2, 3.13.2 . . _________________________________________________________ 3.6 Subtask Title and Abstract 3.7 Budget and Budget Explanation 3.8 Narrative 3.9 Literature Cited 3.10 Other Support of Investigators and Collaborations 3.11 Biographical Sketches 3.12 Description of Facilities and Resources 3.13 Appendix (All appended material must be separate from the proposal, e.g., in electronic folders containing multiple PDF files of publications.)
A complete formal FWP in a single Portable Document Format (PDF) file must be submitted through the DOE ePMA system ( https://epma.doe.gov) as an attachment. To identify that the FWP is responding to this program announcement, please fill in the following fields in the "ePMA Create Proposal Admin Information" screen as shown:
Fiscal Year: Proposal Reason: Program Announcement Number: Lab 06-15 * Program announcement Title: Basic Research for Solar Energy Utilization, DOE Research Program Announcement * Proposal Purpose: Estimated Proposal Begin Date: HQ Program Manager Organization: * Please use the wording shown when filling in these fields to identify that the FWP is responding to this Program Announcement. In order to expedite the review process, please submit a CD and two copies of the proposal using the following, by U.S. Postal Service Express Mail, any commercial mail delivery service, or when hand-carried to:
U.S. Department of Energy 3. Detailed Contents of the Proposal Proposals must be readily legible, when printed and must conform to the following 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. Number pages consecutively at the bottom of each page throughout the document. Start each major section at the top of a new page with the section number and title, for example, "2 Table of Contents." Do not use unnumbered pages. 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. The format described below should be closely followed. 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 (No special form is required.) The proposal cover page must contain the following information.
FWP Number(s) corresponding to the proposed project (if available for new proposals) BES Program announcement title (if applicable) Name of laboratory Name of principal investigator (PI) (Lead PI only) 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 If other institutions are participating in the project, include a table listing institutions, lead investigator at each institution, and requested funding for each institution at this point on the cover page. Use of human subjects in proposed project:
Signature of PI, date of signature *The signature certifies that personnel and facilities are available as stated in the proposal, if the project is funded. Provide an abstract to convey an overall vision and the long-term goals and objectives of the proposed research. Describe what the specific research proposed is intended to accomplish, the approach to be taken, and the integration and synergy of the various subtasks. Discuss the potential scientific impact and significance of the proposed research. Indicate how the proposed research addresses the scientific/technical areas specifically described in the call. The maximum length for the abstract is one page. 3.4 Table of Contents Provide the initial page number for each of the sections of the proposal. 3.5 Management Plan The plan, up to 5 pages, needs to describe the overall strategy in developing and managing the proposed research program. Describe the overarching scientific goals that link the groups and researchers together. Include an overview of the functions and responsibilities of key personnel and the relationships among the subtasks. Clearly illustrate the integration, synergy, and coordination among the subtasks. Describe any distinguishing strengths of conducting this particular research at your DOE laboratory, such as the synergisms among the investigators of a large interdisciplinary team; the ability to utilize unique DOE facilities at the laboratory; the benefits of collocation with researchers from other DOE programs; the ability to rapidly reconfigure your research thrust to respond to new challenges; and your successes at working with other research performers on transferring results to targeted research and development. Cite specific examples to illustrate such distinguishing strengths. As appropriate for the research described in the proposal, describe the role of any advisory committee, executive committee, program committee, or their equivalent. Identify any plans for administering educational programs and outreach activities associated with the proposed research. Plans for administering shared facilities should be described under Section 3.12, Description of Facilities and Resources. If the proposal consists of multiple subtasks, an overall budget summary should be provided here, which sums to the individual budgets for each subtask (see Section 3.7 for details)
Sections 3.6-3.13 are to be completed for each subtask in the proposal. Up to 4 tightly coordinated subtasks are allowed in a proposal. Multiple subtasks should be presented as follows: First Subtask: Sections 3.6.1, 3.7.1,..., 3.12.1, 3.13.1 Second Subtask: Sections 3.6.2, 3.7.2, ..., 3.12.2, 3.13.2 . _________________________________________________________ Provide an abstract for the subtask that is no more than 250 words. No more than 4 subtasks are allowed in the proposal. Give the broad, long-term objectives and what the specific research proposed is intended to accomplish. Indicate how the proposed research addresses the BES scientific/technical area specifically described in the announcement. 3.7 Budget and Budget Explanation A budget, conforming to the guidelines given below, is required for the entire project period, which normally will be three years, and for each Fiscal Year. You optionally may utilize DOE's budget page, Form 4620.1, for providing the equivalent budget information (Form 4620.1 is available at the following web site: http://www.science.doe.gov/grants/budgetform.pdf). Modifications of this form are permissible to comply with institutional practices. A written justification of each subtask 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 justification of the need for each item of permanent equipment. Budgets should also be provided for each research partner from a different institution who is funded under the FWP. Any other significant support received should be shown in Section 3.10.
Equipment: Provide the total equipment budget requested. 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 that 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. The narrative comprises the research plan for the FWP subtask. Each proposal is allowed up to four tightly coordinated subtasks. The narrative for each subtask should not exceed 15 pages. The majority of the narrative should address the Proposed Work. At the beginning of each subtask section, name the senior personnel who will participate, and state the proposed number of postdoctoral and undergraduate and graduate student participants. The narrative should contain the following subsections:
Preliminary Studies (Optional): 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. Copies of such publications or manuscripts may be included in the Appendix (Section 3.13). Proposed Work: This section should constitute the major portion of the narrative, and should reflect a well-integrated vision for the project. A clear statement of the work to be undertaken is needed and must include: objectives for the period of the proposed work and expected significance; relation to longer-term goals of the project; and relation to the present state of knowledge in the field, to work in progress by the PIs under other support and to work in progress elsewhere. The Proposed Work should outline the general plan of the proposed work, including the broad design of activities to be undertaken, and, where appropriate, provide a clear description of experimental methods and procedures needed to accomplish the Proposed Work. In addition, it should describe new techniques and methodologies and explain their advantages over what currently exists. 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." List all references cited in the narrative, including titles. 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. 3.10 Other Support of Investigators and Collaborations 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 significant levels of active and pending other support is required for all 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, level of effort devoted to the project, and a one paragraph scope statement for each such project. Describe any proposed interactions and collaborations with other institutions and sectors, such as universities, other national laboratories, and industrial institutions. Define the goals of the collaboration, and describe the planned activities. Describe the roles of the senior participants, the mechanisms planned to stimulate and facilitate knowledge transfer, and the potential long-term impact of the collaborations. 3.11 Biographical Sketches This information is required for each senior personnel at the laboratory submitting the proposal and at all subcontracting institutions. Provide concise vitae, listing professional and academic essentials and complete contact information. List up to ten publications most pertinent to the research. Reference to the information already provided in Section 3.9 may be appropriate. This portion of the biographical sketches is limited to a maximum of two pages for each investigator. Each biographical sketch should also include the following information on collaborators and other affiliations to help identify potential conflicts or bias in the selection of reviewers:
Graduate and Postdoctoral Advisors: A list of the names of the individual's own graduate advisor(s) and principal postdoctoral sponsor(s), and their current organizational affiliations. Thesis Advisor and Postgraduate-Scholar Sponsor: A list of all persons (including their organizational affiliations), over the last five years with whom the individual has had an association as thesis advisor or postgraduate-scholar sponsor. The total number of graduate students advised and postdoctoral scholars sponsored also must be identified. 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. Describe any shared facilities and infrastructure to be established, including specific major instrumentation, and plans for the development of instrumentation. Describe plans for maintaining and operating new facilities, including staffing, and plans for ensuring access to outside users. Distinguish clearly between existing facilities and those still to be acquired or developed. 3.13 Appendix All appended material must be submitted as separate PDF files from the proposal PDF file, e.g., in electronic folders containing multiple PDF files of publications. However, reviewers are not required to consider information in the Appendix. Do not use the appendix to circumvent the page limitations of the proposal. Reviewers may not have time to read extensive appendix materials with the same care as they will read the proposal proper. Only information that may not be easily accessible to a reviewer should be included, such as publications in print or manuscripts accepted for publication. The appendix may also include letters from investigators at other institutions stating their agreement to participate in the project. Do not include letters of endorsement of the project.
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