Committee of Visitors Review of the

BES Materials Sciences and

Engineering Division

Update for BESACFebruary 24, 2012

Linda L. HortonDirector, Materials Sciences and Engineering Division

• The first SC-BES COV was in 2002• This will be the fourth review for MSE and the eleventh

COV review in BES• All previous COV reports and BES responses can be

found at: http://science.energy.gov/bes/besac/bes-cov/ • COVs are now a standard part of BES practice• COV recommendations are taken very seriously by BES

and have resulted in substantive changes

History of COVs in SC/BES

Committee of Visitor Charge (Standard)

1. For both the DOE laboratory projects and the university projects, assess the efficacy and quality of the processes used to:

(a) solicit, review, recommend, and document proposal actions and

(b) monitor active projects and programs.

2. Within the boundaries defined by DOE missions and available funding, comment on how the award process has affected:

(a) the breadth and depth of portfolio elements, and

(b) the national and international standing of the portfolio elements.

Committee of Visitor Coverage: FY 2009-2011

• Covered: Core research programs, including: Base program awards to universities and DOE labs Single-Investigator and Small-Group Research (SISGR) program in

FY 2009 Renewals of awards made in earlier BES solicitations: Hydrogen

Fuel Initiative (HFI) DOE EPSCoR Program Computational Materials (and Chemical) Sciences Network

(CMCSN/CMSN) in FY 2010 and FY 2011

• Not covered Energy Frontier Research Centers (FY 2009) SC Early Career Awards (FY 2009-2011) SC Graduate Fellowship Program (FY 2010) BES Equipment Supplement Program (FY 2010)

COV will focus on the Materials Sciences and Engineering Research Teams plus EPSCoR

Control and understanding of materials behavior and discovery of new emergent phenomena

Study of photon, neutron, and electron interactions with matter for characterization of materials structures and excitation.

Scattering and Instrumentation

Sciences

Materials Discovery,Design and Synthesis

Condensed Matter and Materials Physics

Rational design and synthesis of new materials via physical, chemical, and bio-molecular routes

Division-wide themes: strongly correlated electron systems; materials synthesis; nanoscale science; theory, modeling, & simulation

Twenty-seven states, the Commonwealth of Puerto Rico, and the U.S. Virgin Islands are eligible to participate in the DOE EPSCoR program.

Authorized by Congress at the NSF in 1979 to broaden the geographical distribution of federal funding for academic research and development. Agency programs participating (FY2011 budget) include: NIH (IDeA), NSF, NASA, DOE

BES-MSE manages the DOE EPSCoR Program

6

o The DOE EPSCoR Program has three main objectives:

Enhance the research capabilities of designated states

Support competitive energy-related research

Develop S&T manpower to meet current and future needs in energy-related areas

o EPSCoR projects cover a wide range of DOE programmatic areas

o Types of Grants:

Implementation Grant Laboratory-State Partnerships Participates in the Early Career Program

o Current Annual DOE Budget approx. $8.5M

FY 2012 Committee of Visitors

• Matthew Tirrell, University of Chicago/Argonne National Lab, chair

• May 22-24, 2012 at DOE Germantown

• 33 COV panelists organized into 4 panels (3 Teams and EPSCoR) to review the core programs within the division

• Panelist statistics:

Academia: 25 Funded by BES: 22DOE Lab: 4 Not funded: 11Industry: 3International: 1 Male: 26

Female: 7

6 served on 2009 MSE COV3 are on BESAC (Bare, Hall, Lagally)

Panel Structure and Membership

Panel 1: Scattering and InstrumentationMargaret Murnane, University of Colorado (Lead)

Simon Bare, UOP – Honeywell (BESAC, COV 2009 Chair)Collin Broholm, Johns Hopkins University Tom Devereaux, SLACErnie Hall, GE Global Research (BESAC)Chris Hammel, Ohio State UniversityAlamgir Karim, University of AkronJohn Sarrao, LANLOleg Shpyrko, University of California, San DiegoSusanne Stemmer, University of California, Santa Barbara

Panel 2: Materials Discovery, Design and SynthesisJuan de Pablo, University of Wisconsin, (Lead)

Mike Aziz, Harvard UniversityJeff Brinker, SNLBruce Chase, DuPont – retiredVinayak Dravid, Northwestern UniversityKim Dunbar, Texas A&MMustafa El-Sayed, Georgia Tech (prior BESAC)Arunava Gupta, University of AlabamaYves Idzerda, Montana State University Monica Olvera de la Cruz, Northwestern UniversityElsa Reichmanis, Georgia Tech

Panel Structure and Membership

Panel 3: Condensed Matter and Materials PhysicsMax Lagally, University of Wisconsin (Lead, BESAC)

Sam Bader, ANLJim Fredericks, Georgetown UniversityGiulia Galli, University of California, DavisRachel Goldman, University of MichiganRobin Grimes, Imperial CollegePhilip Kim, Columbia UniversityFeng Liu, University of UtahBill Nix, StanfordSimon Phillpot, University of FloridaJohn Xiao, University of DelawareStefan Zollner, New Mexico State University

Panel 4: EPSCoR (2nd day of COV – consists of members from other 3 panels)John Sarrao, LANL (Lead)

Bruce Chase, DuPont – RetiredArunava Gupta, University of AlabamaYves Idzerda, Montana State UniversityJohn Xiao, University of DelawareStefan Zollner, New Mexico State University

Committee of Visitors Preparations

Chair will visit the division on March 16, 2012Meet with division director, team leads, program managersInform chair of division’s programs and discuss process for COV

Conference call – chair, panel leads, division director, and team leadsPrior to COV to go over agenda, discuss process, and address concerns

COV Website:Provides read ahead materials for COV panelists

COV Website – Background Information

COV Agenda

Tuesday, May 22, 2012

Time ActivityCommittee Members

Division Staff Location

9:00AM Welcome and Charge to the Committee AllJohn Hemminger, ChairBasic Energy Sciences Advisory Committee

A-410

9:15 AM Overview of Basic Energy Sciences AllHarriet Kung, DirectorOffice of Basic Energy Sciences

A-410

9:30 AMOverview of the Material s Sciences and Engineering Division

AllLinda Horton, DirectorMaterials Sciences and Engineering Division

A-410

10:15 AMUpdate on the SC Portfolio Analysis and Management System (PAMS)

All Linda Blevins, Office of Science A-410

10:30 AM Instructions, procedures and schedule All Matthew Tirrell, COV Chair A-410

11:00AM Break and disperse to panel rooms

11:20 AM First Read Panels 1-3First-Read Panel Members

MSE Team Lead and Program Manager(s)

A-410, E-301, E-401

12:30 PM Working Lunch All AllA-410, E-301,

E-401

4:30 PM COV Executive SessionCOV Panel Leads and Chair

G-426

5:00 PM COV and BES General DiscussionPanel Leads and Chair

Harriet Kung, Linda Horton G-426

6:00PM Dinner COV Members BES Staff Carrabbas

COV Agenda, cont’d.

Wednesday, May 23, 2012

Time ActivityCommittee Members

Division Staff Location

8:30 AM Scattering & Instrumentation Sciences Team Panel 1 Team Lead and Program Managers E-301

8:30 AM Materials Discovery, Design and Synthesis Team Panel 2 Team Lead and Program Managers E-401

8:30 AM Condensed Matter & Materials Physics Team Panel 3 Team Lead and Program Managers A-410

8:30AM EPSCoR Panel 4 Team Lead and Program Manager G-207

9:15 AM Complete First Read Panel Reports PanelsPanel

Rooms

11:30AM Working Lunch AllA-410, E-301,

E-401, G-207

12:30PM COV Executive Session – Preliminary Panel FindingsCOV Panel Leads and Chair

F-441

1:30 Panel Report PreparationFirst Read Panels

A-410, E-301, E-401, G-207

4:50 Depart Germantown Facility COV Members North Lobby

6:00 Working DinnerCOV Chair & Panel Leads

On Your Own

COV Agenda, cont’d.

Thursday, May 24, 2012

Time ActivityCommittee Members

Division Staff Location

8:30 AM Breakout Panels – Final Wrap-UpCOV Chair Panel Leads

A-410

9:15 AM COV Executive SessionCOV Chair Panel Leads

Harriet Kung, Linda Horton A-410

10:00 AM Closeout Session with COV and BES StaffCOV Chair Panel Leads

BES Staff A-410

11:00 AM Adjourn – Thank You!

Back-Up Slides

2009 COV Recommendations / MSE Response

Recommendation 1: Average Grant Size and New Program DirectionsThe influx of new money is an opportunity to implement ambitious new programs and directions, and to increase the average grant size. Both the money from the American Recovery and Reinvestment Act 2009 and the FY2009 Omnibus Appropriations Act 2009 provide a unique opportunity to be bold and steer the Division into new scientific directions and opportunities

MSE Response: DMS&E has increased the average single investigator award over the last three years. It agrees that the recent initiatives and Recovery Act funding are real opportunities for growth into new research areas. The DMS&E has carefully assessed the portfolio in determining the emphasis areas for the initiatives and is pleased with the balance of the awards among the emphasis areas. We are cognizant of the award size concern and are working to address this in new awards.

Update:Compared to FY 2006-2008, the average grant award has increased 8.3% with a current average grant size of $176k.

2009 COV Recommendations / MSE Response, cont’d

Recommendation #2: Portfolio Analysis and Management SystemThe highest priority should be given to implement the proposed Portfolio Analysis and Management System (PAMS) information management system. This COV strongly endorses the single recommendation of the 2008 CSGB. The strength of this recommendation cannot be overstated. There are a plethora of examples from this COV where a reliable, efficient, usable information management system would greatly aid all involved.

MSE Response:The Office of Science is working towards a common solution that will be implemented broadly. At the request of BESAC, a representative of the Office of the Deputy Director for Science Programs will provide an update on the status of this implementation at the next BESAC Meeting. BES continues to provide input to the Office of Science on the development of an information technology solution.

Update:The PAMS system is being implemented in a phased approach. There will be a presentation on this topic for the COV.

2009 COV Recommendations / MSE Response, cont’d

Recommendation #3: Staffing LevelsThe staffing level should be reviewed to ensure that it is commensurate with increased workload as a result of increased funding and proposal pressure. An appropriate staffing level is critical to the efficiency and overall operation of the Division.

MSE Response:BES agrees with this recommendation. DMS&E has begun this assessment with staffing planning for FY2010 and is planning to add additional staffing as funding is available and temporary detailees in high pressure areas. Especially noteworthy is the decision to add 2 new BES program managers specifically for the EFRCs.

Update:Since the last COV, BES-MSE Division has added the following program managers: Linda Horton (Division Director); Jim Davenport (Condensed Matter Theory); Craig Henderson (EFRCs, Hub, and Materials Chemistry); Michael Sennett (Materials Chemistry). We continue to use detailees to supplement the program managers efforts for Experimental and Theoretical Condensed Matter and for EPSCoR.

2009 COV Recommendations / MSE Response, cont’d

Recommendation # 4: CommunicationThe COV noted several examples where it appeared that the level of communication between DMS&E and the PIs was below what is optimal. This COV therefore recommends that there be an improvement in the communication methods to the research community. One suggested path forward is to drastically improve and keep current the BES website. The website should be the place where a PI can obtain complete information about all aspects of the DMS&E, including proposal submission guidelines and deadlines, new funding announcements and the research areas and directions that fall under the purview of DMS&E.

MSE Response:BES agrees that the BES website is in need of revision and with the importance of communication with the community and PIs. This initiative is in progress and should be launched early in FY2010. DMS&E web content will be updated as part of this process and will be maintained with up-to-date content subsequently.

Update:The entire Office of Science website has been updated. In addition, BES has published a Program Summary and has placed abstracts for all funded activities on the website.

2009 COV Recommendations / MSE Response, cont’d

Recommendations #5 and 6: Proposal Process and White PapersThe entire proposal submission and award process should be more transparent. The increased use of white papers is encouraged. The COV believes that white papers are an effective means to hone or discourage full proposals as appropriate. However, it is noted that communicating to PIs the advantages of a white paper prior to a full proposal has been a challenge.

BES Response: BES agrees that the proposal process should be clearly communicated and transparent. We have been using presentations at major professional society meetings to expand our communication on this process. These concerns will also be addressed with the improvements to the website. DMS&E agrees that white papers are effective in assisting PIs in appropriately focusing their proposals. These are used extensively for the national labs. We will continue to expand our use of white papers for the academic community. The DMS&E will establish a database of incoming white papers submitted by laboratory and university PIs to track progress in the review and communication with the PI on the evaluation of the white papers.

Update: Presentations at major national meetings have continued as planned. We frequently include a “tour” of the enhanced website and always include information on strategic areas of interest and how to submit a white paper and application. Presentations at Principal Investigator meetings have also covered these topics, as well as the importance of delineation of research activities. Laboratory white papers are tracked by the division to ensure timely communication.

2009 COV Recommendations / MSE Response, cont’d

Recommendation #7: Travel BudgetsThe travel budget for PMs should be further increased to allow them to attend national and international meetings and to visit PIs on site. These are critical components for the information gathering that is needed by the PM.

MSE Response: BES agrees with this recommendation and will request additional travel funding to the extent possible within allocated budgets. DMS&E specifically plans to assess the university portfolio and encourage expanded visits to major programs.

Update:BES travel budgets are constrained by Congressional allocations for program direction in the Office of Science. Travel, in particular, has had additional scrutiny during the last two years. Within the travel budget that is available, DMS&E endeavors to send the program managers to at least one major meeting each year. In addition, visits to major university programs are supported as funding is available.

2009 COV Recommendations / MSE Response, cont’d

Recommendation #8: EPSCORFollowing the last COV, a DOE EPSCoR Study Group was convened to make recommendations regarding the program. This COV recommends that the EPSCoR Study Group recommendations should be fully implemented.

MSE Response: BES agrees with this recommendation. As was noted by the COV, significant progress has already been made in improving the processes for the EPSCoR program. In particular, in FY2010, site visits or reverse site visits will be implemented for the Implementation Award Proposals. In addition, site visits or reverse site visits to existing awardees have been initiated in the current fiscal year. The criteria for success/effectiveness of implementation award were included in the most recent Funding Opportunity Announcement.

Update:Ten site visits, including five with external reviewers, occurred for selected implementation grants during FY 2009 – 2011.