Basic Energy Sciences Update Dr Harriet Kung Director

Basic Energy Sciences Update Dr. Harriet Kung Director, Office of Basic Energy Sciences Office of Science U. S. Department of Energy 20 November 2008 BASIC ENERGY SCIENCES -- Serving the Present, Shaping the Future http: //www. sc. doe. gov/b

Outline I. Budget update II. EFRC/SISGR status III. Staffing update IV. What’s next 2

There are Four Big Hurdles in SC Budget Formulation (From Pat Dehmer 12 -04 BESAC Talk) #1 – Inside SC #2 – Inside DOE #3 – OMB #4 – Congress (Feb. – April FY 200 N) (April – July FY 200 N) (Aug. – Dec. FY 200 N) [February FY 200(N+1)] The Director of SC and the DOE Assistant Secretaries present their program priorities to DOE determines overall agency priorities. SC prepares President’s Budget. Each SC AD responsible for preparation of AD-ship budget. DOE budget submitted to OMB. Each AD defends program budget at OMB hearing in early September. OMB provides “Passback” guidance to DOE in late November. Discussions between DOE and OMB refine final budget numbers. SC prepares President’s Budget. Each SC AD responsible for preparation of AD-ship President’s Budget presented to Congress. Each AD-ship determines program priorities within constraints of the funding guidance provided by the Director of SC. Each AD presents program priorities to Director of SC. The Director of SC determines program priorities within constraints of the funding guidance provided by DOE. [Mar. – Sept. FY 200(N+1)] Agencies present their budgets to Congress in formal hearings. Congress appropriates funding for 13 appropriations bills for FY 200(N+2), using the “President’s Budget as a starting point for the Congressional Budget and appropriations. ” From the comments of Ellen Burns, Office of Congressman Vern Ehlers, May 3

FY 2009 - An Unusual Year for Budget Planning and Execution Three Years of Budgets are Underway at Any Time YOU ARE HERE! November 2008 BESAC Mtg. FY 2009 O N D J F M A M J FY 2010 J A S O N D J FY 2009 CURRENT YEAR (FY 2009) zzzz zz Congressional Appropriation zzzz zzzz zzzz Monthly AFP Changes zzzz CURRENT YEAR + 1 (FY 2010) zzzz OMB Budget Prep/Defense zzzz z Congressional Bud Prep z Budget Delivered to Congressional Hearings, . . . Congressional Appropriation Initial AFP Monthly AFP Changes CURRENT YEAR + 2 (FY 2011) Issuance of Unicall FTPs Received CRB Preparation OMB Budget Prep/Defense Congressional Bud Prep Budget Delivered to Congressional Hearing s, . . . Congressional Appropriation Initial AFP Monthly AFP Changes F M A M J FY 2011 J A S O N D J F M A M J J A S CR (March 6) FY 2010 OMB Passback for Congressional Budget Preparation ? ? ? zzzz zzzz zzzz zzzz zzzz zzzz Initiatives for FY 2011 ? ? ? zzzz zzzz zzzz z z zzzz zzzz zzzz zzz z zzzz zzzz 4

U. S. Department of Energy Office of Science The Office of Science FY 09 Budget Request

Summary of FY 09 BES Budget Increases Research (~$100 M devoted to EFRCs) 160, 989 Facility related research (Accelerator & Detector, E- 10, 354 beams) Facilities Light Sources Neutron Sources NSRCs IPNS D&D SBIR/STTR 20, 708 17, 924 10, 106 -4, 000 Construction etc. NSLS-II 53, 546 LCLS + linac operations + instruments 33, 778 PULSE -3, 664 ALS USB 6, 546 SNS instruments 1, 144 TEAM -6, 687 CFN -863 GPP/GPE SBIR/STTR Construction Research Facilities Ops -6, 150 4, 527 TOTAL ($K) 298, 258 6

Summary of BES HEWD and SEWD Marks and Impacts HEWD Mark The Committee recommendation for Basic Energy Sciences is $1, 599, 660, 000, an increase of $31, 500, 000 over the budget request … Research – An additional $17, 000 is provided to accelerate the completion of the LCLS LUSI project and for LCLS operations to enable substantially more science to be done in the early stages of the operation of LCLS while it is the only x-ray free electron laser in the world. This funding includes $100, 000 for EFRC activities … This Committee has long advocated … open competition for research funding that features head-to-head competition between national labs and universities …, and supports the Department's decision to broadly compete the EFRCs in this manner. Construction. -The funding includes an increase of $14, 500, 000 over the budget request … for continued PED as well as to initiate construction of NSLS-II at BNL … Impacts: SEWD Mark The Committee provides $1, 415, 378, 000 for Basic Energy Sciences. Of these funds $145, 468, 000 is provided for construction activities as requested in the budget. The remaining $1, 269, 910, 000 is for research. Within the research funds provided $17, 000 is for the Experimental Program to Stimulate Competitive Research [EPSCo. R]. Of the decrease, $59, 495, 000 of basic solar research is moved to the EERE solar energy research and development program. Impacts: The move of basic solar research from BES to EERE would affect about 300 researchers. “Dear Colleague” letter posted http: //www. sc. doe. gov/bes/solar_letter. html in 8/08 The $152, 782 K reduction from the President’s Request would make initiation of the $100 M EFRC program difficult. 7

BES Program Status under CR and Beyond Research: The CR through March 6, 2009, is adding significant fiscal strains on DOE labs and university programs, leading to possible staffing losses because of the uncertainty of the FY 2009 appropriations. The BES research programs need the FY 2009 funding request to maintain adequate staffing and level of effort after the CR. The new basic research directions of the proposed the EFRCs and the corresponding effort in single-investigator and small-group research (SISGR)—which have been purposefully identified by numerous major scientific workshops—would significantly enhance our ability to solving the daunting energy and environmental challenges facing the Nation. The accumulated result of three consecutive years (FY 2007–FY 2009) of virtually no appropriations for new areas of basic energy research would be an enormous loss for the U. S. scientific enterprise. User Facility Operations: The supplemental appropriation in FY 2008 has mitigated potential staff layoffs at BES user facilities through the first 6 months of FY 2009. Under a 6 -month CR, the operations will run at 80 -90% of the optimum level, with a commensurate loss of ~300 users. The BES synchrotron light sources and neutron scattering facilities are counting on the FY 2009 funding levels to maintain full staff and operations after the CR, and there will be layoffs in the second half of FY 2009 under appropriations near the FY 2008 levels. Construction and Major Items of Equipment (MIE): The FY 2009 request is needed to fulfill construction and MIE commitments. Failures to fulfill such commitments will lead to cost and schedule growth and staff impact at DOE labs due to the planned ramp-up of the following projects: NSLS-II, LCLS, ALS USB, and SING-II.

EFRC and SISGR Status

Important Dates EFRC February 23, 2008 Discussion at BESAC April 4, 2008 Funding Opportunity Announcement published July 1, 2008 Letters of Intent due October 1, 2008 Full proposals due February 2009 Merit reviews April 2009 Awards made, pending appropriations SISGR February 23, 2008 Discussion at BESAC April 1, 2008 Web announcement released June – Oct 2008 Collect whitepapers January 2009 Notification of PIs of whitepaper decisions March 2009 Full proposals due (tentative) June 2009 Awards made, pending appropriations

Energy Frontier Research Center Engaging the talents of the nation’s researchers for the broad energy agenda The DOE Office of Science, Office of Basic Energy Sciences, announced the EFRCs program. EFRC awards are $2– 5 million/year for an initial 5 -year period. Universities, labs, and other institutions are eligible to apply. See http: //www. sc. doe. gov/bes/EFRC. html. EFRC will pursue collaborative fundamental research that addresses both energy challenges and science grand challenges in areas such as: Solar Energy Utilization Catalysis for Energy Electrical Energy Storage Solid State Lighting Superconductivity Other? Geosciences for Nuclear Waste and CO 2 Storage Advanced Nuclear Energy Systems Combustion of 21 st Century Transportation Fuels Hydrogen Production, Storage, and Use Materials Under Extreme Environments Conversion of Biological Feedstocks to Portable Fuels - Does not involve bricks and mortar construction. - Will be reviewed/re-competed after the initial 5 year award period and periodically thereafter.

EFRC Application Stats Approximately 260 applications, involving ~385 institutions Applications from 41 states and DC; investigators from 45 states and DC Application breakdown by institution is approximately: - 71% from Universities - 13% from DOE Labs - 16% from other institutions (for-profit, non profit, individual) Approximately 3800 investigators (PIs and Co-PIs) - 98% from U. S. (74% Universities, 18% DOE Labs, 6% other institutions) - 2% from 26 foreign countries Average # of investigators per proposal: 15 Average # of institutions per proposal: 4. 8

EFRC Proposal Distribution by BRN Category* Hydrogen Research Electrical Energy Storage Clean and Efficient Combustion Solid State Lighting Energy Superconductivity Energy Storage Efficiency 11 11% Cross-cutting % 18 % Solar Energy Utilization Advanced Nuclear Energy Systems Biofuels Geological Sequestration of Carbon Dioxide Energy Sources 46% Others 14% Catalysis for energy Materials under Extreme Environments Etc. Not related to BRN or Grand Challenge report * All EFRC applications need to address one or more of the grand challenges identified in the BESAC report Directing Matter and Energy: Five Challenges for Science and the Imagination.

EFRC Proposal and PI Distribution by Federal Regions 10 Standard Federal Regions as established by OMB Circular A-105 11%11 % X I VIII 5% 5% II 20% 19% 4% 5% IX VII 4% 5% III V 7% 5% 10% 9% IV VI 16%14% 9% Proposals Investigators 11% 14 % 16% 14

Single-Investigator and Small-Group Research Tackling our energy challenges in a new era of science Pending appropriations, up to $60 M will be available for single-investigator and small-group awards in FY 2009. BES seeks applications in two areas: grand challenge science and energy challenges identified in one of the Basic Research Needs workshop reports. Awards are planned for three years, with funding in the range of $150300 k/yr for single-investigator awards and $500 -1500 k/yr for small-group awards (except as noted below) Areas of interest include: Grand challenge science: ultrafast science; chemical imaging, complex & emergent behavior Tools for grand challenge science: midscale instrumentation; accelerator and detector research (awards capped at $5 M over 3 -year project duration) Use inspired discovery science: basic research for electrical energy storage; advanced nuclear energy systems; solar energy utilization; hydrogen production, storage, and use; geological CO 2 sequestration; other basic research areas identified in BESAC and BES workshop reports with an emphasis on nanoscale phenomena For full details see: http: //www. sc. doe. gov/bes/SISGR. html

SISGR Status 879 Whitepapers; ~ 88% from Universities; 11% DOE Labs; 1% Other Institutions Solar Energy Utilization Advanced Nuclear Energy Systems Geological Sequestration of Carbon Dioxide Hydrogen Research Electrical Energy Storage 16% Energy Sources 31% Energy Efficiency 10% Grand Science Challenges and Tools 28% Ultrafast Science Chemical Imaging Complex Systems and Emergent Behavior Mid-scale Instrumentation Clean and Efficient Combustion Solid State Lighting Superconductivity Cross-cutting 15% Catalysis for Energy Materials under Extreme Environments

Staffing Update

BES Budget and Planning Office of Basic Energy Sciences Bob Astheimer, Technical Advisor Margie Davis, Financial Management Vacant, Program Support Specialist BES Operations Rich Burrow, DOE Technical Office Coordination Don Freeburn, DOE and Stakeholder Interactions Ken Rivera, Laboratory Infrastructure/ES&H Vacant, Program Analyst/BESAC Harriet Kung, Director Wanda Smith, Administrative Specialist Materials Sciences and Engineering Division Scientific User Facilities Division Chemical Sciences, Geosciences, and Biosciences Division Helen Kerch, Acting Director Pedro Montano, Director Eric Rohlfing, Director Christie Ashton, Program Analyst Charnice Waters, Secretary Linda Cerrone, Program Support Specialist Rocio Meneses, Program Assistant Diane Marceau, Program Analyst Michaelene Kyler-King, Program Assistant Materials Discovery, Design, and Synthesis Arvind Kini Kerry Gorey, P. A. Materials Chemistry Dick Kelley Jim Mc. Breen, BNL Vacant Biomolecular Materials Mike Markowitz Synthesis and Processing Bonnie Gersten Jeff Tsao, SNL Mike Coltrin, SNL Tech. Coordination Program Management John Vetrano Condensed Matter and Materials Physics Jim Horwitz Marsophia Agnant, P. A. Exp. Cond. Mat. Phys. Andy Schwartz Doug Finnemore, Ames Theo. Cond. Mat. Phys. Michael Lee Arun Bansil, NEU Jim Davenport, BNL Kim Ferris, PNNL Scattering & Instrumentation Sciences Operations Construction Helen Kerch Cheryl Howard, P. A. Fundamental Interactions Photo- and Bio. Chemistry Chemical Transformations Michael Casassa Robin Felder, P. A. Rich Greene Sharron Watson, P. A. John Miller Teresa Crockett, P. A. Catalysis Science Raul Miranda Paul Maupin Michael Chen, ANL X-ray Scattering Lane Wilson X-ray and Neutron Scattering Facilities Roger Klaffky Linac Coherent Light Source Tom Brown Atomic, Molecular, and Optical Sciences Jeff Krause Solar Photochemistry Mark Spitler Neutron Scattering Thiyaga P. Thiyagarajan Nanoscience Centers & E-beam Centers Tof Carim Vacant NSLS II Tom Brown Gas-Phase Chem. Phys. Wade Sisk Larry Rahn, SNL Photosynthetic Systems Gail Mc. Lean Physical Behavior of Materials Refik Kortan Electron and Scanning Probe Microscopies Jane Zhu Accelerator and Detector R&D Vacant Spallation Neutron Source Upgrades Tom Brown Condensed-Phase and Interfacial Mol. Sci. Greg Fiechtner Physical Biosciences Vacant Bob Stack, PNNL Mechanical Behavior and Radiation Effects John Vetrano Ultrafast Science and Instrumentation Vacant Facility Coordination, Metrics, Assessment Van Nguyen TEAM Tom Kiess Computational and Theoretical Chemistry Mark Pederson LEGEND Detailee (DOE laboratory) Detailee, 1/2 time, not at HQ Detailee, 1/4 time, not at HQ IPA (Interagency Personnel Experimental Program to Stimulate Competitive Research Tim Fitzsimmons Helen Farrell, INL Instrument MIEs (SING, LUSI, etc. ) Tom Kiess ALS User Support Bldg Tom Brown Heavy Element Chemistry Lester Morss Norm Edelstein, LBNL Separations and Analysis Bill Millman Larry Rahn, SNL Geosciences Nick Woodward Pat Dobson, LBNL Technology Office Coordination Marvin Singer November 200 18 Posted 03 NOV 08

What’s next?

What’s Next – Some Big Challenges for BES 1. Execute well all of our ongoing projects/initiatives and transition them to robust operation and programs- TEAM, LCLS, NSLS-II, etc. 2. Make SC – and especially BES – synonymous with energy research. Increase understanding of the magnitude of the problem facing society, gain support for a plan of action, and lead in executing the plan. 3. Execute the EFRC and SISGR plans to foster, encourage, and accelerate high-risk, high-reward basic research to provide the knowledge foundation for transformative energy technologies of the future. 4. Advance the next generation of tools. 5. Integrate more effectively our activities in the universities and the DOE labs, and with those at the DOE technology programs. 6. The BESAC New Era Subcommittee and the Photon Workshop will start the process to furthering strategic planning and developing a communication strategy for long-term basic research support.

Back-up Slides

BESAC “Facing our Energy Challenges in a New Era of Science” Subcommittee Critically important tasks for both the research programs & the scientific user facilities George Crabtree (ANL) and Marc Kastner (MIT), Co-Chairs 1. Summarize the range of scientific research directions that emerged from the 2002 BESAC report Basic Research Needs for a Secure Energy Future, the follow-on BES BRNs reports, and the BESAC report “Directing Matter and Energy: Five Challenges for Science and the Imagination. ” Identify key cross-cutting scientific themes that are common to these reports. In doing so, also make the connections between themes that resulted from the “use-inspired” BRNs workshops and those that resulted from the consolidation of the fundamental challenges that face our disciplines. 2. Summarize the implementation strategies, and human resources that will be required to accomplish the science described in the aforementioned reports. … 3. Identify future light sources needs that will be required to help accomplish the scientific challenges described in these workshops. Specifically, consider the energy range (from vacuum UV to hard X-rays), coherence (both transversal and longitudinal), intensity (photon per pulse and photon per second), brightness (ultrahigh 22

BESAC Workshop on Solving Science and Energy Grand Challenges with Next Generation Photon Sources “Photon Workshop” October 27 - 28, 2008 Wolfgang Eberhardt (BESSY) and Franz Himpsel (U Wisconsin), Co. Chairs Workshop Charge n This workshop will identify connections between major new research opportunities and the capabilities of the next generation of light sources (“photon attributes”, such as coherence and femtosecond time resolution). Particular emphasis will be on energy-related research. The presentations and discussion sessions will highlight how time-resolved excitation, functional imaging, diffraction, and spectroscopy by photons can help solving major problems and develop “killer applications” in basic energy research. A variety of opportunities have been outlined by ten BESAC and BES reports on basic research needs and by a report on five “Grand Challenges” in directing matter and energy (see: http: //www. sc. doe. gov/bes/reports/list. html ). n Both accelerator-based light sources and novel laser based sources for the VUV to X-ray range will be considered. The Photon Workshop will identify the science drivers for new photon sources but will not consider the design of machines or devices for producing the required photons. A strong coupling of theory and experiment will be emphasized. n A matrix will be prepared to define the most compelling connections between research opportunities and photon attributes. For example, many science and energy grand challenges require probing very fast processes that happen over very small distances: femtoseconds over nanometers. Typically, an electron in a solid takes a femtosecond to travel a nanometer, and atoms have a vibrational period of about 100 femtoseconds. Lasers probe femtoseconds and synchrotrons resolve nanometers, but presently neither can do both.

BES response to BESAC CSGB COV Basic Energy Sciences (BES) Response to the Report of the Basic Energy Sciences Advisory Committee of Visitors (COV) Review of the BES Chemical Sciences, Geosciences, and Biosciences Division August 11, 2008 COV General Recommendation/Finding Recommendation #1 Information Management Major Finding #4 Onsite Reviews of DOE Laboratory Programs Although understanding the review process is relatively straightforward for individual PIs, the COV found more ambiguities about the criteria used by reviewers in evaluation of national laboratory programs. For example, on-site reviews are an important part of the evaluation of ongoing programs at the laboratories, but are more likely to overemphasize past accomplishments. We encourage the CSGB program to direct members of on-site review panels to strive for a better balance between “forward looking” proposed science and track record in their evaluations. The COV recommends, in the strongest terms, the rigorous collection of data on all aspects of proposal solicitation, review, funding recommendation, proposed action, and all metrics associated with progress that can assist in the evaluation of the impact of funded work. Such information should include new investigators to DOE/program, publications, patents, presentations, awards, commercialization successes, new collaborations, annual reports/abstracts from contractors meeting, personnel on project, technical highlights (“nuggets”), information on PI (institution, demographics) number of years funded, and funding profile. Information systems should also be used to collect a distinct set of information on reviewers: institution, BES funded/non-funded, frequency of use, demographics, etc. BES Response BES concurs with this recommendation, which has been forwarded to the Deputy Director for Programs in the Office of Science (SC) for centralized actions for all SC programs. BES has been and will continue to work with SC Resource Management on the development and implementation of information technology resources that will address this recommendation. BES concurs with this finding. The BES guidelines for peer review of DOE laboratory programs is clear in requesting research proposals that are prospective in nature, emphasizing the appropriate balance between recent progress and proposed research. BES will continue to monitor the on-site reviews of DOE lab programs to ensure that the information presented maintains a proper balance between past accomplishments and prospective directions, and to direct the on-site review panels to keep a proper balance in their evaluations.