Peer Review Research and Innovation

Third, the Department will be a leader in examining peer review processes and best practices, and in developing and implementing recommendations for improvements in the application of peer review to today's science and technology environment.

• As part of the Department's oversight of peer review practices and increased use of performance-based contracting, collection of data on the practice and nature of various forms of peer review will be established. Information on current peer review practices will address, to the extent practicable, methods, costs, and benefits, and identify areas of improvement.
• Research on improved methods for peer review will be encouraged and communicated. Tradeoffs must be addressed between accountability and scientific freedom, efficiency and thoroughness, as must issues of the effectiveness, robustness, responsiveness, fairness of review, and adherence to technical standards of good measurement, including validity and reliability.
• A study, including surveys of the literature and interviews with both private and Federal agency R&D managers, will examine the various models for conducting Federal R&D and propose innovative approaches to the application and use of peer review to the accomplishment of the Department's R&D missions.
• A series of pilot programs will be established to test the expanded use of peer review, or modifications of peer review, in areas where it is not now uniformly applied, or where prospective reviews might be beneficially substituted for some retrospective reviews, such as in some of the Department's internal laboratory R&D programs.
• While some parts of the Department have excellent peer review systems already in place, new criteria for selection and effective use of peers will be developed and added to Departmental guidelines, as needed. These criteria may address such issues as the competence and objectivity of peers and methods to deal with reviewer bias and dysfunctional group dynamics.

Appendix A

_____________________________________________________________



SCIENCE & TECHNOLOGY  FY 92-94

_____________________________________________________________

                                          FY 1993  FY 1994

                                  FY 1992 Adjusted Adjusted

                                  Actual  Approp   Approp

Area                              $M      $M       $M

_____________________________________________________________

FUNDAMENTAL SCIENCE & ENERGY RESEARCH 

       

Energy Research                

Biological & Environmental

  Research                         369.5    380.6    412.3 

Basic Energy Sciences                

Materials Sciences                 253.4    273.3    271.6 

Chemical Sciences                  156.5    163.6    166.3 

Energy Biosciences                  24.4     25.5     26.6 

Engineering & Geosciences           35.4     36.5     37.2 

Applied Math Sciences               80.5     83.9    103.7 

Advanced Energy Projects            54.7     11.0     11.2 

All Other BES                      155.5    258.1    173.8 

Subtotal BES                       760.4    851.9    790.4 

Other Energy Research                

Advanced Neutron Source              0.0      0.0     17.0 

University & Science 

  Education Programs                54.1     55.9     57.9 

Laboratory Technology Transfer      10.0      9.9     39.2 

Multi-Program Laboratory Support    25.6     26.7     41.3 

All Other                           15.8     15.7     20.1 

Subtotal Other ER                  105.5    108.2    175.5 

TOTAL ER                         1,235.4  1,340.7  1,378.2 

_____________________________________________________________

GENERAL SCIENCE 

               

High Energy Physics                618.4    606.1    617.5 

Nuclear Physics                    351.4    306.6    348.6 

SSC Not Including   

  Terminiation Costs               482.6    515.4      0.0 

All Other                            6.4     21.7)     9.0 

TOTAL GEN SCI                    1,458.8  1,406.4    975.1 

TOTAL FND SCIENCE                2,694.2  2,747.1  2,353.3 

_____________________________________________________________

CIVILIAN ENERGY TECH DEVELOPMENT & RELATED R&D

_____________________________________________________________

CLEAN COAL TECHNOLOGY  

      

Advance Appropriation - 

  Round 4 & 5                      460.1    525.0    400.0 

Appropriation                      (50.0)  (525.0)  (175.0)

TOTAL CCT                          410.1      0.0    225.0 

_____________________________________________________________

FOSSIL ENERGY R&D  

              

Coal                               225.6    186.3    167.3 

Petroleum                           56.5     61.6     75.3 

Natural Gas                         63.2     79.5     96.1 

All Other                           95.2     86.7     92.0 

TOTAL FE  R&D                      440.5    414.1    430.7 

_____________________________________________________________

CONSERVATION R&D

                

Transportation                     109.3    138.6    178.6 

Utility                              4.7      4.9      6.8 

Industry                            96.7    111.7    125.0 

Buildings                           47.1     52.3     81.4 

Policy & Management                  2.7      3.6      4.7 

TOTAL CONS R&D                     260.5    311.1    396.5 

_____________________________________________________________

RENEWABLES R&D   

             

Solar energy                       174.3    186.2    252.3 

Geothermal                          26.9     23.2     24.0 

Hydrogen Research                    0.0      0.0     10.0 

Hydropower                           1.0      1.1      1.1 

Electric Energy Systems             30.4     32.1     38.6 

Energy Storage Systems               7.2     10.2     17.5 

Policy & Management - CE             1.9      2.9      3.9 

TOTAL RENEW R&D                    241.7    255.7    347.4 

_____________________________________________________________

NUCLEAR ENERGY 

               

Civilian Nuclear Power                

Light Water Reactor                61.9      57.8     57.6 

Advanced Reactor R&D               60.0      59.2     41.8 

Facilities                         96.6      92.7      6.7 

Subtotal Civ Nuc Pwr               218.5    209.7    106.1 

       

Space-Related Programs                

Advanced Radioisotope Power         51.9     54.4     52.7 

Space Reactor Power System          40.0     29.8     27.4 

Space Exploration Initiative         5.0      0.0      0.0 

Subtotal Space-Related              96.9     84.2     80.1 

_____________________________________________________________

Others 

               

Oak Ridge Landlord                   0.0      0.0     24.9 

Test Reactor Area Hot Cells          0.0      0.0      1.4 

Test Reactor Area Landlord           0.0      0.0      0.0 

Adv Test Reactor Fusion Irridation   0.0      0.0      0.0 

All Other Except Termination Costs  48.9     48.0     23.1 

Subtotal Others                     48.9     48.0     49.4 

       

TOTAL NE R&D                       364.3    341.9    235.6 

_____________________________________________________________

ENERGY RESEARCH 

             

Fusion Program                     332.2    335.2    343.6 

_____________________________________________________________

URANIUM ENRICHMENT

        

AVLIS                              161.7      0.0      0.0 

Alternative Applications             1.0      0.0      0.0 

TOTAL UE                           162.7      0.0      0.0 

_____________________________________________________________

RADIOACTIVE WASTE R&D

        

Nuclear Waste Fund Activities      275.1    275.1    260.0 

Civilian Waste R&D                   5.1      4.9      0.7 

Defense Nuclear Waste Disposal       0.0    100.0    120.0 

TOTAL  RW                          280.2    380.0    380.7 

_____________________________________________________________

ENVIRONMENTAL RESTORATION & 

  WASTE MGMT 

      

Technology Development  Defense    286.3    333.7    397.5 

Technology Development - Civilian    0.0      0.0      0.0 

TOTAL ER & WM                      286.3    333.7    397.5 

_____________________________________________________________

ES & H - ENVIRONMENTAL R&D

        

Epidemiology & Health 

  Surveillance                      47.7     49.5     49.2 

TOTAL TECH DEVEL & REL R&D       2,826.2  2,421.2  2,806.2 

_____________________________________________________________

NATIONAL SECURITY R&D 

       

Atomic Energy Defense Activities        

Weapons Activities - R&D         1,431.7  1,536.0  1,298.8 

Naval Reactors Development         695.2    730.0    684.4 

Nonproliferation & 

  Verification R&D  1/             210.0    219.9    235.0 

Educations Programs                 49.9     52.6      0.0 

TOTAL NATL SEC R&D               2,386.8  2,538.5  2,218.2 

       

TOTAL DOE                        7,907.2  7,706.8  7,377.7 

_____________________________________________________________

1/ Estimated amount for FY 1992; actual amount not available.    



  

_____________________________________________________________

IV. Core Technical Capabilities of the DOE Laboratories

A. Introduction

The Department of Energy Laboratories are the product of several decades of investment by the nation both in facilities and in a highly trained workforce of scientists, engineers, technicians, and other support personnel. This paper provides quantitative and qualitative information about the core technical capabilities of the laboratories, and about how these capabilities are represented in terms of the laboratories' budgets, personnel levels, replacement value of major facilities, industrial partnerships, patents and licenses, and R&D 100 awards. [Note 23] Short narrative profiles for each of the nine multi-program laboratories and the National Renewable Energy Laboratory are provided to give a fuller picture of the distinguishing characteristics of these institutions.

B. Core Technical Capabilities

Over the past several years, the Department of Energy laboratories increasingly have been using the concepts of "core competencies" and "core technical capabilities" as a means of assessing and managing their key areas of technical strength. The core competency concept has been utilized effectively in the private sector as companies have worked to achieve enhanced focus and market expansion based on their firms' distinctive strengths.[Note 24] In 1993, the Department initiated a process aimed at adapting the core competency methodology to the entire DOE laboratory system. That effort resulted in the first-ever characterization of the core competencies of the DOE laboratories.[Note 25]

DOE defines a core competency as a distinguishing integration of capabilities that enables an organization to deliver mission results and products to its customers. The major criteria which the Department has used to determine its core technical capabilities are:

• Vital to Mission Delivery: The core technical capabilities exist to enable the organization to achieve its current and future missions and/or strategic intent;
• Distinguishing: The organization is recognized as being one of a few to achieve excellence in its areas of expertise;
• Comparative Advantage: The capability enables the laboratory to add value to the solution of a broad set of national problems in a fashion that is distinctive from other R&D performers;
• Difficult to Reproduce: The expertise and capabilities embodied by the invested resources are difficult for others to duplicate; and
• Demonstrated: The capabilities have had prior or current effect when applied to problems of national importance; and
• Enduring Value: Competencies have been built to enable the organization to satisfy past, present and future mission, and they need to be responsive to mission changes of the future;

These criteria helped lead to establishment of the following eight core technical capabilities for the DOE Laboratory System:

• Advanced Materials Synthesis, Characterization and Processing. The laboratories employ more than 2,000 scientists and engineers in advanced materials R&D and operate state-of-the-art facilities for conducting materials synthesis, characterization, and processing. Synthesized materials include high-performance ceramics, metallic alloys, intermetallics, polymers, composites, aerogels, superconductors, semiconductors, and high performance magnetic materials. Materials characterization is conducted at diverse facilities throughout the DOE complex including synchrotron light sources, neutron scattering centers, microscope facilities, high-temperature materials laboratories, and centers for microelectronics technology development, design and fabrication. The labs also have unique resources for processing materials, such as actinides and actinide alloys, as well as forming and heat-treating exotic alloys, shaping ceramic composites, developing optical materials, formulating and applying aerogels, and depositing multicomponent thin films. Working with industry, universities and other Federal agencies, the laboratories provide a vital resource -- including scientific user facilities -- for advances in materials technologies critical to future national needs in energy, environment, health, industrial competitiveness, and security.
• Advanced Computing, Modeling and Simulation. The high-performance computing core competency has been a major basis of weapons design for more than 40 years. This capability includes integration of theory, modeling, simulation and advanced computing, and networking for a wide variety of engineering and experimental designs. All DOE laboratories use networking and high-performance computing to address complex problems by integrating theory, modeling, and simulation. Major DOE laboratories also all have important classes of supercomputing capabilities including vector and parallel processing computer power. Scientific computing is crucial to missions such as designing nuclear weapons, predicting global climate change, and conducting fundamental research. It also provides essential underpinnings for such emerging missions as enhanced oil recovery and artificial intelligence.
• Advanced Manufacturing and Process Technology. The DOE labs have extensive experience in assembling multidisciplinary research teams to address various technological challenges particularly in support of national security energy needs. Teams have drawn on competencies in engineered materials processes; engineering sciences; electronics and microelectronics; high-performance computing; rapid prototyping and testing; reliability physics and engineering; process characterization; and modeling and systems integration. Strengths in microelectronics, photonics, reliability engineering, materials and process development, and modeling have resulted in multimillion dollars of cooperative research and development agreements with segments of the U.S. semiconductor industry. These production processes provide a technical and management foundation for the laboratories to make a significant impact on U.S. competitiveness through industry-driven initiatives.
• Biosciences and Biotechnology. These integrated and multidisciplinary capabilities enable development, use, and understanding of living organisms for genomics, structural biology, bioinstrumentation, health risk assessment, bioremediation, bioprocessing of fossil fuels, conversion of biomass to fuels and chemicals, biological solar energy conversion, and bioprocess engineering. The DOE laboratory complex contains an array of unique facilities that support biotechnology R&D, including synchrotron light sources, neutron sources, biomedical imaging systems, bioprocessing research facilities, transgenic mouse facilities, chromosome processing resources, clone libraries, and databases. The competency is built on expertise in biological, health and environmental sciences, chemical and physical sciences, engineering, instrumentation and high-performance computing. This set of capabilities can promote human health, enhance environmental quality, develop more secure and safer energy sources, and improve the competitiveness of U.S. biotechnology firms.
• Advanced Energy Technologies and End-Use Applications. The laboratories possess expertise in a wide range of energy supply and end-use technologies including policy and risk analysis and energy, environmental, and economic modeling. In particular, the DOE labs constitute the world's leading resource in advanced nuclear energy technologies, including advanced fission reactors, space nuclear power, atomic-vapor laser isotope separation, and both inertial and magnetic fusion. The laboratories have provided the technical basis for commercial use of solar thermal, solar photovoltaic, wind, biomass and other forms of renewable energy sources and are developing energy storage technologies, supercapacitors and chemical fuel cells for automotive use, and cleaner fossil-fuel energy cycles. Also, lab-based superconductivity pilot centers work with industry to promote commercialization of high-temperature superconductors. For the most part, these efforts could not exist outside the environment of multidisciplinary institutions such as the DOE Laboratories.
• Environmental Science and Remediation Technology. This emerging core competency is defined as characterizing, evaluating, and monitoring the environment as a complex system. It includes remediating past and present environmental insults and ensuring future environmental sustainability. Capabilities supporting environmental technology include earth sciences and engineering (atmospheric, oceanic, land surface and subsurface); chemistry and chemical engineering; physics; biology; materials; advanced computation and simulation; molecular sciences; robotics; societal phenomena; and information management. The labs take a broad-based approach to this work, ranging from fundamental science programs to technology development. Maintenance of these capabilities will contribute to the national welfare by reducing the cost of environmental restoration and waste management at DOE sites, as well as at other federal agencies and industry. It also will significantly expand new scientific knowledge and contribute to a cleaner environment.
• Nuclear Science and Technology. This category includes a broad spectrum of disciplines, technical capabilities, and facilities essential to DOE's national security and civilian research missions. Unique strengths include nuclear and thermonuclear physics and the physical models and experimental capability necessary to model and verify complex phenomena. Applications include inertial fusion for civilian and military applications and magnetic fusion for energy production. Underlying capabilities include plasma physics, radiation transport, interactions with matter at extreme states, three dimensional hydrodynamics, and instrumentation and diagnostics for extremely fast, high-energy events. High-energy and nuclear physics programs encompass the fields of elementary particle physics (which strives to understand the basic structure of matter and fundamental forces) and nuclear physics (which studies how these particles and forces combine to form nuclei). This competency also encompasses physics, chemistry and technology of light, medium, heavy and transactinium radioactive materials, nuclear safety, security, intelligence and power applications. These capabilities are essential to the future DOE security mission in nonproliferation, dismantlement, safety, security, and stewardship of nuclear materials.
• Integrated Defense Science and Technology Competencies. These enabling technologies and competencies, required for nuclear weapons development and testing, remain critical to maintaining nuclear deterrence and to guarding against nuclear weapons proliferation. Numerous spinoffs serve the commercial world. For example, seismology theory and instrumentation -- highly refined for nuclear weapons testing -- remain important for detecting treaty violations. And advances in the science are important for predicting volcanic action, understanding earthquakes, and for oil and mineral exploration. Other examples include electronics, navigation, computer science, aerodynamics, control of nuclear weapons and materials, atmospheric and other environmental sciences, accelerators, advanced manufacturing, and system engineering and rapid prototyping. The infrastructure provided by this competency allows an unequaled capability for solving complex problems of national importance in defense and industry.

C. Guide to Core Technical Capability Data Charts

The following pages provide data on the core technical capabilities of the Department's nine multi-program laboratories and the National Renewable Energy Laboratory. The information is provided in seven different measurement categories, with four pages of data per category. The measurement categories are listed below. The first three of each four-page set of data catalogues information according to the eight core technical capabilities described above. The fourth page in each four-page set captures data about five additional core technical capabilities for specific laboratories, plus a category labeled "other" which represents laboratory strengths that did not fit within the established core capability definitions.

1. Operating Dollars:

Data is for Fiscal Year 1993, based on Budget Authority provided by Congress. Operating budgets do not include construction funds.

2. Full-time Equivalent Employees:

Total staff, by core capability category, at end of Fiscal Year 1993.

3. Replacement Value of Facilities:

Data covers only those major facilities valued at greater than $25 million. Replacement cost based on rebuilding the facility on a "green field" site, without derivative utilization of other established buildings.

4. CRADAs with Industry:

The total number of Cooperative Research and Development Agreements from 1989 through the end of 1993. Approximately 600 CRADAs existed at the end of 1993. As of October 1994, the number had grown to more than 1000.

5. Value of CRADAs with Industry:

This chart provides cost-shared value of the operational CRADAs in effect at the end of Fiscal Year 1993.

6. Patents and Licenses:

For the year 1993, approximately 500 new U.S. patent applications were filed based on laboratory innovations and 410 licenses were awarded.

7. R&D 100 Awards:

These awards are given annually by R&D Magazine to institutions, both public and private, for innovations which have a significant prospect for commercial success. The data covers the award-winning technologies at the laboratories over the period from 1989 through 1993.