LABORATORY DIRECTED
RESEARCH AND DEVELOPMENT
FY-16 CALL FOR PRE-PROPOSALS
Introduction and Guidance
Contents
SCHEDULE .............................................................................................. - 1 GENERAL CALL INFORMATION...................................................... - 1 SUMMARY: ..........................................................................................................................................................................- 2 RESEARCH AREAS: ..............................................................................................................................................................- 2 ELIGIBILITY: ........................................................................................................................................................................- 4 SELECTION PROCESS:...........................................................................................................................................................- 5 -
GUIDANCE FOR APPLICATION SUBMITTAL:.............................. - 6 GUIDANCE FOR PREPARING THE PRE-PROPOSAL APPLICATION FORM .................................................................................- 6 TECHNICAL EVALUATION CRITERIA (FULL PROPOSALS) .....................................................................................................- 8 -
APPENDIX A. SAMPLE PRE-PROPOSAL FORM......................... - 11 -
Introduction & Guidance
Page ii
FY 2016 LABORATORY DIRECTED
RESEARCH AND DEVELOPMENT
CALL FOR PRE-PROPOSALS
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Pre-proposals must be submitted electronically via the LDRD Electronic system
at http://ldrd/
Full instructions for the Call can be obtained electronically at the LDRD Google
Site.
Schedule
Activity
Issue call for pre-proposals
Pre-proposals submitted by PIs
Management review of pre-proposals
Full proposals submitted by PIs
Technical review of full proposals
Management review of full proposals
NE-ID Concurrence of continued and new starts
Authorize FY-16 projects
Date
April 30, 2015
May 21, 2015
June 11, 2015
July 9, 2015
August 6, 2015
August 20, 2015
September 30, 2015
October 1, 2015
General Call Information
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This is a call for pre-proposals. The purpose of the pre-proposal phase is to provide
potential principal Investigators (PIs) the opportunity to briefly articulate an idea and
have management review for interest, prior to investment of time and effort to write a full
proposal.
There is a MS Word pre-proposal template that can be obtained from the LDRD Google
Site (https://sites.google.com/a/inl.gov/ldrd/Home/ldrd-proposal-process/fy-15-call-forpre-proposals). When completed, the template must be uploaded via the electronic
system which can be accessed at http://ldrd. Pre-proposals do not require your
manager’s signature, but please make certain you address all items in the form.
Additional information on completion of the form can be found under the “Guidance”
section of this call.
The bulk of the FY-16 LDRD call will address traditional needs that support mission
areas as they have in the past. New for FY-16 are two additional portions of the call
that address laboratory wide strategic, crosscutting needs.
Introduction & Guidance
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Summary: The FY-16 LDRD call for pre-proposals solicits creative research approaches to
address current and future challenges in key DOE mission areas. All INL staff are eligible to
submit. Within this call, an emphasis is placed on addressing challenging problems at the
intersections of three broad focus areas: Advancing Nuclear Energy; Securing & Modernizing
Critical Infrastructure; and Enabling Clean Energy Deployment. Within these broad focus
areas are several challenges to be addressed as shown below.
Researchers are strongly encouraged to submit ideas that have applicability across
directorates and that involve multi-disciplinary teams. At this time, the FY-16 budget for LDRD
research is planned for approximately $20M
The INL continues to emphasize collaboration with universities, including the NUC/IUC
universities. Collaborative projects may have some advantage relative to those without a
university component.
Research Areas: Research needs for the FY-16 call have been defined by the Associate
Laboratory Directors (ALDs), Initiative Leaders, and the Deputy Laboratory Director for
Science and Technology. Each need area is identified as an LDRD investment interest for a
mission area within the laboratory and is described in detail in mission area specific locations
in Section II of this call. Proposers may either click on the need area to go directly to details,
or find details manually in Section II of this call if desired. Need areas for FY-16 are as follows:
Introduction & Guidance
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1. Primary Laboratory Directed Research and Development

ADVANCING NUCLEAR ENERGY
i. Ensuring long-term reliability of light water reactors and spent fuel
storage
1. Nuclear Science User Facilities capabilities
2. Fuels R&D
3. Transient Testing Capabilities
4. Fuel Cycle Material Recovery
ii. Rapid translation of innovation to nuclear industry
1. Methods, Tools, and Concepts for Utilization of Existing INL
reactors and other Experimental Facilities
iii. Facilitate deployment of nuclear systems in the modern energy
context
1. Advanced Reactor Designs and New Safety Paradigms
2. Methodologies & Tools for Validation
3. Advanced Modeling & Simulation of Integrated Energy Systems
4. Additional INL NUC Call
iv. Peaceful and secure use of nuclear technology
1. Nuclear Nonproliferation

SECURING & MODERNIZING CRITICAL INFRASTRUCTURE
i. Critical infrastructure protection at the nexus of controls, cyber,
wireless
1. Critical Infrastructure Protection
2. Homeland Security
3. Wireless National User Facility (WNUF)
ii. Delivering innovative products that enable defense, intelligence and
public safety
1. Probabilistic Risk Assessment and Related Methods
2. Defense systems
3. Mission Support Center
iii. Advancing environmental security and sustainability
1. Environmental Stewardship
Introduction & Guidance
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ENABLING CLEAN ENERGY DEPLOYMENT
i. Clean Energy Generation and Integration
ii. Accelerated deployment of next generation transportation systems
2. Sustainable Transportation
iii. Advanced sustainable and efficient manufacturing for U.S.
competitiveness
3. Advanced Manufacturing
2. FY-16 Laboratory wide crosscutting strategic area

REFORMING THE ENERGY VISION INSPIRED
3. Laboratory wide – development of transformational concepts

EXPLORATORY RESEARCH, RAPID TURNAROUND
Specific information on requested research can be found in Section II of this call.
Eligibility: To receive funding, the principal investigator must be a full-time or part-time INL
employee. PIs are not required to have a Ph.D. University researchers are encouraged to be
actively involved in generating ideas as members of the research team, or as co-investigators.
Background: Established formally in 1985 (as Exploratory Research and Development),
the LDRD program allows each laboratory director the discretion of selecting a limited number
of research and development projects to exploit creative and innovative concepts that will
increase the laboratory’s ability to respond to current and future DOE missions and objectives.
The LDRD program provides a means of fostering research and development to encourage
maximum scientific and industrial progress.
LDRD research is governed by DOE Order 413.2B (http://www.directives.doe.gov/) which
outlines the goals of the program. These goals include:
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Enhancing the INL’s ability to address current and future DOE missions;
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Fostering creativity and stimulating exploration at the forefront of science and
technology;
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Enabling and enhancing the technical vitality of the INL;
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Serving as a proving ground for new research; and
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Supporting high-risk, potentially high-value research and development.
LDRD research must include one or more of the following characteristics:
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Advanced study of new hypotheses, new concepts, or innovative scientific and
engineering solutions to technical problems;
Introduction & Guidance
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Experiments and analyses directed toward “proof of principle” or early determination of
the utility of new scientific or engineering ideas, technical concepts or devices; or
Conception and preliminary technical analyses of experimental facilities or devices.
Projects should be directed toward "proof of principle" or early determination of the utility of a
new scientific or engineering idea. LDRD projects are limited to a maximum of 36 months
funding. Rapid turnaround LDRD projects are intended to address less well-developed
ideas and will generally be limited to a maximum of 12 months.
Organization: The FY-16 LDRD Call for pre-proposals is organized into two sections and one
appendix.
Section I: Contains the Introduction and instructions for completing the pre-proposal
application.
Section II: Contains subsections with specific information from each investment interest area
Each subsection contains a brief explanation of the challenges or objectives of that investment
interest area, and the management review criteria that will be used to determine which
researchers will be asked to write full proposals.
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Appendix: Appendix A is a sample copy of the pre-proposal form that must be
completed and submitted electronically. Please download the electronic version from
the LDRD google site or the LDRD Electronic System.
Selection Process: Pre-proposals will be selected by management based on the
management criteria identified in each section of the call, and full proposals will be requested
from those investigators whose pre-proposals most closely match management needs. Once
full proposals are submitted, they must pass technical review. The timeline for
submission of full proposals, and the timeline for the technical and management review of full
proposals is in the schedule found at the beginning of this call.
Partnerships: The INL LDRD program encourages research partnerships with faculty from
universities, especially those that are part of National University Consortium (NUC) or the
Idaho University Consortium (IUC). Proposals that have university collaborations may be
given preference in the selection process. NUC universities include: MIT, North Carolina
State, Ohio State, Oregon State, and the University of New Mexico. IUC universities include
Boise State University, Idaho State University, and the University of Idaho.
Resources: Several resources are available to LDRD researchers. The INL Research
Library can perform literature searches and provide copies of journal articles. Literature search
requests can usually be handled over the telephone at 526-1185 or by email LIB@inel.gov.
Introduction & Guidance
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Guidance for Application Submittal:
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Submittal Process: There is an electronic system to submit your pre-proposal. The
web address is http://ldrd. You may view the call information without logging in, but
must log in to be able to upload your proposal.
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Pre-proposal Page Limit: 2 pages.
Guidance for Preparing the Pre-proposal Application Form
Title: Provide a clear and concise title. Avoid references to specific applications of the
technology in the title. Do not use acronyms in the title.
Research Areas: On the pre-proposal application form, indicate the area you are submitting
your pre-proposal to: 1) Laboratory wide crosscutting strategic, 2) Laboratory wide
development of transformational concepts, or 3) Primary Laboratory Directed Research and
Development – for this area, select from the drop-down menu the specific area within the R&D
call that you are proposing to.
Technical Abstract: Please address each of the following bullets. Be clear, but concise.
This information will be provided to the appropriate manager(s) for review prior to
requests for full proposals.
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Clearly state your objective or hypothesis: Briefly describe the technical goals and
significance of the proposed research and the significant deliverables.
State concisely the importance of the research described and how the proposed R&D
addresses the needs stated in the Call and why/how it addresses the INL strategies.
Describe what your team will do. Identify the team members and/or collaborators and
describe how their combined expertise and experience enables them to do the
proposed work. Include both internal and external members of the team by name and
institution if possible.
Describe the technical benefits/improvement to the state-of-the-art.
Describe the logic of the technical approach, including any new or novel techniques so
their merit can be evaluated. Explain the innovation of the work in terms of the state-ofthe-art in this field.
Potential INL Benefits: Please address each of the following bullets. Be clear, but concise.
 How will INL directly benefit from the proposed work?
 Identify potential sources of and opportunities for follow-on funding
 State if and how the work supports students, post-docs, or new staff hires.
 Describe the approach to be taken to publish and present the results and key findings of
the research.
Introduction & Guidance
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Budget Estimate: For the Call for pre-proposals, you will only need to provide a total dollar
request by year. In 2006, Congress mandated that all LDRD projects carry the same burden
rates as direct funded projects, including G&A. Contact your project financial control officer
(PFC) for accurate burden rates (see LDRD Contacts).
Introduction & Guidance
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Technical Evaluation Criteria (Full proposals)
Full proposals will be evaluated using the following criteria:
1.
Technical Objectives: Consider all the following in your technical evaluation.
Criteria
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Are there technical objectives?
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Is there a clear path for how the objectives are to be achieved?
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Is the approach scientifically sound?
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Did the author clearly describe the significance of the proposed research?
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Did the author communicate milestones?
Comments:
2.
State of the Art: Consider all the following in your technical evaluation. Is there a clear summary of the
state of the art and/or current practice in operations (background information)?
Criteria
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Is the literature review or description of current practice sufficient in scope, concisely
summarized, and specifically relevant to the proposal?
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Does the background information demonstrate precedence for the investigation and
communicate the author’s familiarity with the field and the current situation?
Comments:
3.
Innovation: Consider all the following in your technical evaluation. Does the proposed investigation
advance the state of the art or provide a means by which to overcome an existing technical hurdle? Is
the investigation sufficiently focused on any of the following:
Criteria

Collecting an enabling data set?
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Inventing, testing, or developing an enabling material, device, capability, technique, or computer
program?
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Would it open a new area of knowledge?
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Would it enable a new technical process or a substantially new application?
Comments:
If engineering, method, or capability development:
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Would it provide a substantial improvement to existing practice or substantially new application?
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Would it provide a new unique capability that might be patentable?
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If method development, would it provide a new way to attack a problem that offers substantial
improvements versus existing practice?
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Would it provide a new, unique, and critical capability at the Laboratory that has clear
implications with respect to competitiveness in established mission areas?
Note that the description of the state of the art/current practice coupled with technical explanation of
proposed scope must substantiate claims of innovation.
Comments:
4.
Harvest of Business Strategy: Consider all the following in your technical evaluation. Is there a
realistic, specific, targeted, and detailed harvest strategy to convert the LDRD investment into deployed
Introduction & Guidance
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technology?
Criteria
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New capabilities, staff, equipment, etc.
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Are expected programmatic returns discussed?
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Are specific Peer Reviewed Publication(s) mentioned?
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Are Invention Disclosure Record(s) planned?
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Did the author identify specific DOE Program offices that would be interested in the proposed
research?
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Are targeted external proposals for program development mentioned?
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Will the proposed research result in Work for Others/Cooperative Research and Development
Agreements?
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Are other federal agencies, industrial customers, or partnerships identified?
Comments:
5.
Resources: Consider all the following in your technical evaluation. Are the proposed resources
appropriate to perform the proposed work?
Criteria
Yes/No – if no, provide explanation
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Does the research team have relevant experience in this field of study? Does the team have the
right breadth and depth of expertise to do the proposed work?
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Is the distribution of labor/tasks among the team members relatively clear?
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Does the research team have access to the necessary equipment?(physical, computational,
conceptual tools)
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Does the research team have access to the necessary facilities?
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Are the requested funds (labor time, calendar time, materials, equipment, travel) sufficiently
matched to the proposed scope?
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Are the resources adequate to achieve a deliverable product or decision?
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Are the collaborations proposed enabling of the success of the proposal?
o Do the collaborators have a focused technical task suited to their technical capabilities?
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Do the collaborators provide opportunities for access to strategic and novel infrastructure (e.g.,
facilities, equipment, researchers)
Comments:
6.
DOE Order 413.2B Compliance: Consider all the following in your technical evaluation.
Criteria

Will the proposed research enhance the scientific and technical vitality of the INL? (i.e. new area
of knowledge, enable technical process or new application)

Will the proposed research address current and future DOE/NNSA missions? (i.e.would the
proposed research provide a new, unique, critical capability at the Laboratory) and include one or
more of the following characteristics:
(1) advanced study of hypotheses, concepts, or innovative approaches to
scientific or technical problems;
(2) experiments and analyses directed towards “proof of principle” or early
determination of the utility of new scientific ideas, technical concepts, or
devices; and
(3) conception and preliminary technical analyses of experimental facilities or
devices

Will the proposed research foster creativity and stimulate exploration at the forefront of science
Introduction & Guidance
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and technology? (would the proposed research provide an innovative capability that might be
patentable)
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Will the proposed research serve as a proving ground for new concepts in research and
development?
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Is the proposed research a high-risk, potentially high-value research and development project?
Comments:
7.
Does the PI have a track record of being able to publish and attract external funding with LDRD
investments?
Comments:
8.
Summary of additional feedback to PI regarding the proposal (Recommendation must be accompanied
by written comments that support the Y/N responses and final recommendation. Describe missing
technical content, state technical concerns, communicate what was positive about the proposal,
convey what needs to be improved)
Additional Feedback:
As a technical reviewer for the INL LDRD Program I recommend the above stated LDRD project proposal
may be funded as written – proposal is technically sound and meets the DOE 413.2B
requirements.
may be funded as written, but PI must address the following prior to project being
authorized:
may be funded after proposal is revised to address reviewer comments
should not be funded
Introduction & Guidance
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Appendix A. Sample Pre-Proposal Form
Introduction & Guidance
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