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Office of Basic Energy Sciences Office of Science U. S. Department of Energy Basic Office of Basic Energy Sciences Office of Science U. S. Department of Energy Basic Energy Sciences Update Dr. Patricia M. Dehmer Director, Office of Basic Energy Sciences Office of Science U. S. Department of Energy 6 December 2004 BASIC ENERGY SCIENCES -- Serving the Present, Shaping the Future http: //www. sc. doe. gov/b

News, Mostly Budget News I. Budget update There is no recent example of a News, Mostly Budget News I. Budget update There is no recent example of a budget executed on a “normal” schedule. So, today we expand on our standard budget tutorial and provide examples of what happens in a real, rough-and-tumble budget cycle. We talk about where in the process you might have influence and why you should care. II. Later in this meeting – more on budgets We will hear how budgets are prioritized in the Executive Branch (J. Patrick Looney, OSTP) and about science policy, budgets, and politics (Mike Lubell, CCNY and APS) III. Hydrogen solicitation update IV. BES response to BESAC DSUF COV V. What’s next 2

Budgeting Requires Negotiating Hurdles 3 Budgeting Requires Negotiating Hurdles 3

There are Four Big Hurdles in SC Budget Formulation #1 – Inside SC #2 There are Four Big Hurdles in SC Budget Formulation #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. § 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 4

Remember: Three Years of Budgets are Underway at YOU ARE HERE! Any Time December Remember: Three Years of Budgets are Underway at YOU ARE HERE! Any Time December 2004 BESAC Mtg. FY 2005 FY 2006 FY 2007 FY 2005 Omnibus Bill (>60 days past normal due date) FY 2006 OMB Passback for Congressional Budget Preparation (~5 days past normal due date) Initiatives for FY 2007 5

So, how did FY 2005 proceed? So, how did FY 2005 proceed?

FY 2005 – The Prelude 7 FY 2005 – The Prelude 7

FY 2005 – The Result 8 FY 2005 – The Result 8

U. S. Department of Energy Office of Science The Office of Science FY 05 U. S. Department of Energy Office of Science The Office of Science FY 05 Budget Request

BES FY 2005 Budget – House Report 108 -554 Language Basic Energy Sciences The BES FY 2005 Budget – House Report 108 -554 Language Basic Energy Sciences The Committee recommendation for basic energy sciences is $1, 076, 530, 000, an increase of $13, 000 over the budget request. For purposes of reprogramming during fiscal year 2005, the Department may allocate funding among all operating accounts within Basic Energy Sciences. Research. — The Committee recommendation includes $612, 228, 000 for materials sciences and engineering, and $232, 422, 000 for chemical sciences, geosciences, and energy biosciences. The additional $13, 000 in these accounts is to fund additional research on nanoscale science, including research on low cost nanoparticles using plasma reactors at the Idaho National Laboratory, and increase operating time on the Basic Energy Sciences user facilities. Also included within this account is $7, 673, 000 for the Experimental Program to Stimulate Competitive Research (EPSCo. R), the same as the budget request. ~~~~~~~~~~~~~~~~~~~~~~~~~~ Construction. — The Committee recommendation includes $231, 880, 000 for ~~~~ Basic Energy Sciences construction projects, the same as the requested amount. There was no Senate Report on the FY 2005 Energy and Water Development Appropriations Bill 10

BES FY 2005 Budget – Conference 108 -792 Language Basic Energy Sciences The conference BES FY 2005 Budget – Conference 108 -792 Language Basic Energy Sciences The conference agreement includes $1, 113, 530, 000 for Basic Energy Sciences. The conference agreement includes $628, 228, 000 for materials sciences and engineering research, and $253, 422, 000 for chemical sciences, geosciences, and energy biosciences. For purposes of reprogramming during fiscal year 2005, the Department may allocate funding among all operating accounts within Basic Energy Sciences. The conference agreement also provides the request of $7, 673, 000 for the Experimental Program to Stimulate Competitive Research (EPSCo. R). ~~~~~~~~~~~~~~~~~~~~~~~~~~ The conference agreement provides the full FY 2005 Budget Request for BES plus an additional $50, 000 for research and facilities operations (excludes construction). The Omnibus Bill includes an across-the-board reduction of 0. 80%. ~~~~~~~~~~~~~~~~~~~~~~~~~~ 11

How BES will Use the Extra $50 M Appropriated in FY 2005 § We How BES will Use the Extra $50 M Appropriated in FY 2005 § We assume that (1) the $50 M is “nonrecurring” funding, i. e. , it will not appear in the FY 2006 President’s Request to Congress, and (2) out-year budgets will be constrained. § Therefore, we will allocate the $50 M in way that minimizes out-year mortgages and addresses critical needs that might not be met with constrained out-year budgets. § The 0. 8% rescission to BES and SBIR/STTR on the new $50 M account for about $10 M. § The remainder will be used for activities such as: § Forward-funding of university grants, both new applications and renewals § Postdocs § New-investigator startup funding § One-time capital equipment supplements at the labs and universities § Critical maintenance and upgrades at the facilities, e. g. , maintenance and fuel at HFIR, top-off mode at the ALS, beamline and optics upgrades at SSRL to take advantage of increased brightness from SPEAR 3 upgrade, other high-priority needs at light sources § R&D for instrumentation in ultrafast science and for other facility-related 12

What about FY 2006 and beyond? What about FY 2006 and beyond?

You are here. 14 You are here. 14

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You are here. 17 You are here. 17

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Hydrogen solicitation update Hydrogen solicitation update

DOE Hydrogen Program FY 2005 Budget Request Energy Efficiency and Renewable Energy $173 M DOE Hydrogen Program FY 2005 Budget Request Energy Efficiency and Renewable Energy $173 M (76%) Fossil Energy (Coal) $16 M (7%) Office of Science Basic Energy Sciences $29 M (13%) New addition to the HFI in FY 2005 Nuclear Energy $9 M (4%) TOTAL: $ 227 M 20

BES Solicitation for Basic Research for Hydrogen Fuel Initiative http: //www. sc. doe. gov/bes/hydrogen. BES Solicitation for Basic Research for Hydrogen Fuel Initiative http: //www. sc. doe. gov/bes/hydrogen. html 21

BES Solicitation for Basic Research for Hydrogen Fuel Initiative § Approximately $21. 5 million BES Solicitation for Basic Research for Hydrogen Fuel Initiative § Approximately $21. 5 million in new funding will be awarded in FY 2005, pending appropriations. § Two solicitations (one for universities and one for FFRDCs) were issued in April 2004. FFRDCs were limited to six submissions as leading institution. There was no limit on the number of submissions for universities. § 668 qualified preproposals were received by July 15, 2004 in the following five categories. – – Novel Materials for Hydrogen Storage Membranes for Separation, Purification, and Ion Transport Design of Catalysts at the Nanoscale Bio. Inspired Solar Hydrogen Production Solar (88) (54) Storage (199) – Bio-Inspired Materials and Processes Catalysis (152) Membranes (175) Preproposals Submitted

Preproposal Review and Selection § Each preproposal was reviewed by at least one of Preproposal Review and Selection § Each preproposal was reviewed by at least one of five panels corresponding to the five submission categories. § Each panel consisted of DOE federal officials knowledgeable in the research areas and with responsibilities for managing projects within the Hydrogen Fuel Initiative. § The review panels judged the suitability of the preproposals in accordance with DOE's scientific, technical, and strategic goals related to the Hydrogen Fuel Initiative. § 261 preproposals were selected. § Principal investigators were notified by September 1, 2004 to submit full proposals by January 4, 2005. Preproposals Selected 23

Preproposal Selection Results Summary DOE FFRDCs Universities § 215 University preapplications were selected (101 Preproposal Selection Results Summary DOE FFRDCs Universities § 215 University preapplications were selected (101 Universities in 36 States and Puerto Rico). § 46 FFRDC preproposals were selected (13 DOE National Labs in 10 States). Bio. Inspired Storage (19%) Solar Hydrogen (9%) Bio. Inspired Solar Hydrogen (6%) (19%) Catalysis (29%) Storage (33%) (22%) Membranes (24%) Catalysis (15%) Membranes (24%) Profile of Selected Preproposals Universities Average Number of PIs per Preproposal Average Funding Requested per Preproposal DOE Labs DOE Lab 2. 9 6. 5 $294, 700 $834, 500 24

Full Proposal Procedures Timeline January 4, 2005 Full proposals due February – April, 2005 Full Proposal Procedures Timeline January 4, 2005 Full proposals due February – April, 2005 Proposal Peer Review April – May, 2005 of awards DOE assessment of review and selection June – July 2005 Awards made, pending appropriations § Full proposals will be subjected to formal merit review against the following criteria: - Scientific and/or technical merit of the project Appropriateness of the proposed method or approach Competency of the personnel and adequacy of the proposal resources Reasonableness and appropriateness of the proposed budget Basic research that is relevant to the Administration's HFI § It is anticipated that up to $12 million annually will be available for multiple awards in each of the two main research sectors – universities and FFRDCs. § Initial awards will be in Fiscal Year 2005, pending appropriations. § BES is coordinating with all appropriate groups, particularly EERE.

Coordination within DOE on the Hydrogen Fuel Initiative § For the EERE hydrogen storage/ Coordination within DOE on the Hydrogen Fuel Initiative § For the EERE hydrogen storage/ hydrogen production solicitations § BES staff: (1) provided recommendations on scientific scope of the Grand Challenge solicitations; (2) assisted in developing the external peer review panels of experts; and (3) served as federal reviewers on the award selection panels. § For the BES basic research solicitation § DOE technology program offices (EERE, FE, and NE) reviewed research topical areas. § Staff from technology offices were part of the preproposal review process. § SC-1 and the National Hydrogen Program Manager (Steve Chalk) were informed of the award selections. § The Annual DOE Hydrogen Program Review involves EERE, SC, FE, and NE. § The Annual BES Hydrogen Program Contractors’ Meeting will be collocated with the DOE Hydrogen Program Review. § EERE, SC, FE, and NE coordinate on formulation of program management and operations plans

External Coordination and Outreach § Hydrogen symposia at: § American Physical Society March Meeting External Coordination and Outreach § Hydrogen symposia at: § American Physical Society March Meeting (March 22 -26, 2004) § American Chemical Society National Meeting (March 28 - April 1, 2004) § Materials Research Society Fall Meeting (November 29 - December 3, 2004) § MIT mini-course on hydrogen research by Dresselhaus § Lecture notes posted at: web. mit. edu/mrschapter/ § Physics Today and IUMRS Facets articles on basic research needs for a hydrogen economy by Crabtree, Dresselhaus, and Buchanan § Message delivered at Jim Lehrer Newshour interview, newspaper interviews, and NPR interview § International activities § Participated in multi-lateral and bi-lateral hydrogen meetings - IPHE, US/European Commission, US/Canada, US/India, US/United Kingdom, IEA Hydrogen Coordination Group § Topics of Discussion: hydrogen production, carbon sequestration, storage, delivery, fuel cells, codes and standards, economic/cost modeling § Interagency coordination via the OSTP Hydrogen R&D Task Force § Developed Taxonomy of Research Directions to facilitate interagency coordination § BES leads the “Fundamental Research” subgroup to develop 10 -year interagency coordination plans § Participation by DOC, DOD, DOE, DOT, DOS, CIA, EPA, NASA, NIST, NSF, USDA

BES response to BESAC DSUF COV BES response to BESAC DSUF COV

DSUF COV Response DSUF COV Response

DSUF COV Response DSUF COV Response

DSUF COV Response DSUF COV Response

DSUF COV Response DSUF COV Response

DSUF COV Response DSUF COV Response

What’s next? What’s next?

What’s Next – Some Big Challenges for BES 1. Execute well all of our What’s Next – Some Big Challenges for BES 1. Execute well all of our ongoing projects/initiatives and transition them to robust operation (SNS, LCLS, TEAM, five nanocenters, and basic research in support of a hydrogen economy). 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. Ideally, the forthcoming solar workshop will help define the bones of that plan. 3. Define the grand challenges in BES research for use as a communications and strategic planning tool. Ideally, a forthcoming BESAC workshop will start the process. 4. Advance the next generation of tools. 5. Integrate more effectively our activities in the universities and the SC labs. ~~~~~~~~~~~~ A big challenge for all of science – manage the impacts of large-

Backup Material Backup Material

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16 -Year History of EWD Appropriations Bills Energy and Water Development Appropriations Congressional Actions 16 -Year History of EWD Appropriations Bills Energy and Water Development Appropriations Congressional Actions Executive Actions Days Beyond September 30 th Budget Bill Conf. Rpt. Filed Passed Signed by the President Filed Passed Signed FY 2005 H. R. 4818 H 108 -792 20 -Nov-04 Pending H. Con. Res. 528 51 51 Not Yet FY 2004 H. R. 2754 H 108 -357 07 -Nov-03 18 -Nov-03 01 -Dec-03 P. L. 108 -137 38 49 62 FY 2003 H. J. RES. 2 H 108 -10 12 -Feb-03 13 -Feb-03 20 -Feb-03 P. L. 108 -7 135 136 143 FY 2002 H. R. 2311 H 107 -258 30 -Oct-01 01 -Nov-01 12 -Nov-01 P. L. 107 -66 30 32 43 FY 2001 H. R. 4635 H 106 -988 18 -Oct-00 19 -Oct-00 27 -Oct-00 P. L. 106 -377 18 19 27 FY 2000 H. R. 2605 H 106 -336 27 -Sep-99 28 -Sep-99 29 -Sep-99 P. L. 106 -60 -3 -2 -1 FY 1999 H. R. 4060 H 105 -749 25 -Sep-98 28 -Sep-98 07 -Oct-98 P. L. 105 -245 -5 -2 7 FY 1998 H. R. 2203 H 105 -271 26 -Sep-97 30 -Sep-97 13 -Oct-97 P. L. 105 -62 -4 0 13 FY 1997 H. R. 3816 H 104 -782 12 -Sep-96 17 -Sep-96 30 -Sep-96 P. L. 104 -206 -18 -13 0 FY 1996 H. R. 1905 H 104 -293 26 -Oct-95 31 -Oct-95 13 -Nov-95 P. L. 104 -46 26 31 44 FY 1995 H. R. 4506 H 103 -672 04 -Aug-94 11 -Aug-94 26 -Aug-94 P. L. 103 -316 -57 -50 -36 FY 1994 H. R. 2445 H 103 -305 22 -Oct-93 27 -Oct-93 28 -Oct-93 P. L. 103 -126 22 27 28 FY 1993 H. R. 5373 H 102 -866 15 -Sep-92 24 -Sep-92 02 -Oct-92 P. L. 102 -377 -15 -6 2 FY 1992 H. R. 2427 H 102 -177 30 -Jul-91 02 -Aug-91 17 -Aug-91 P. L. 102 -104 -62 -59 -44 FY 1991 H. R. 5019 H 101 -889 16 -Oct-90 20 -Oct-90 05 -Nov-90 P. L. 101 -514 16 20 36 FY 1990 H. R. 2696 H 101 -235 07 -Sep-89 14 -Sep-89 29 -Sep-89 P. L. 101 -101 -23 -16 -1 38