# Presentation: 362664

## BER Response to Climate Change Research Division COV Report

- David Thomassen
- November 29, 2007

## Q1. Is the proposal review process rigorous and fair?
Documentation is needed on how merit reviews are conducted including information provided to the reviewers.
Over time, the diversity of reviewers used is often low. Reviewers should be chosen from a larger pool. No documentation is provided on the criteria used to select reviewers.
While there is no evidence that program Chief Scientists play an inappropriate role in the proposal review process the possibility for bias or conflict of interest does exist.
A preproposal system is recommended that is used as a way to both reduce the burden of reviewing proposals that clearly do not address the program announcement and to discourage prospective applicants from submitting proposals that would not be relevant to the terms of reference in the announcement.
Allocation of large computing resources are made separate from allocation of funding for research. This places an unnecessary burden on investigators.
The review process for lab proposals is difficult to evaluate.

- Documentation is needed on how merit reviews are conducted including information provided to the reviewers.
- Over time, the diversity of reviewers used is often low. Reviewers should be chosen from a larger pool. No documentation is provided on the criteria used to select reviewers.
- While there is no evidence that program Chief Scientists play an inappropriate role in the proposal review process the possibility for bias or conflict of interest does exist.
- A preproposal system is recommended that is used as a way to both reduce the burden of reviewing proposals that clearly do not address the program announcement and to discourage prospective applicants from submitting proposals that would not be relevant to the terms of reference in the announcement.
- Allocation of large computing resources are made separate from allocation of funding for research. This places an unnecessary burden on investigators.
- The review process for lab proposals is difficult to evaluate.

## Are funding decisions adequately documented and justified?
PMs should include their suggestions for PIs to address reviewer comments in either the funding letter or as a memo for the record (if guidance to PIs is given verbally) and that similar information should be documented for declined proposals.
Self-study with outside members should be conducted to establish a checklist for standard project documentation in official files of record for both funded and declined proposals.
Written justifications in declination letters to PIs could be improved. These are often perfunctory.
Decisions on national laboratory projects are not always as well justified or documented as are university project funding decisions. Project files for laboratory projects usually contain a summary of required deliverables but often do not contain the required reports themselves.
There is little documented detail concerning the rationale for continued funding of large-scale multi-lab projects.
PM requests for budget changes need to be documented.
Interim project reports do not seem to have an impact on projects.
Reporting and documentation should be consistent for lab and non-lab projects and that actions be taken based on these reviews to optimize project success.

- PMs should include their suggestions for PIs to address reviewer comments in either the funding letter or as a memo for the record (if guidance to PIs is given verbally) and that similar information should be documented for declined proposals.
- Self-study with outside members should be conducted to establish a checklist for standard project documentation in official files of record for both funded and declined proposals.
- Written justifications in declination letters to PIs could be improved. These are often perfunctory.
- Decisions on national laboratory projects are not always as well justified or documented as are university project funding decisions. Project files for laboratory projects usually contain a summary of required deliverables but often do not contain the required reports themselves.
- There is little documented detail concerning the rationale for continued funding of large-scale multi-lab projects.
- PM requests for budget changes need to be documented.
- Interim project reports do not seem to have an impact on projects.
- Reporting and documentation should be consistent for lab and non-lab projects and that actions be taken based on these reviews to optimize project success.

## Q3. Does the solicitation process for proposals provide sufficient and useful guidance to prospective applicants?
Q 7. Does the process link the research to mission needs of DOE and its programmatic goals and objectives?
Q  9. Does the process ensure a reasonable and appropriate turnover of funded investigators to enable and foster the support of new projects and scientists by programs?

**Q 7. Does the process link the research to mission needs of DOE and its programmatic goals and objectives?**
**Q  9. Does the process ensure a reasonable and appropriate turnover of funded investigators to enable and foster the support of new projects and scientists by programs?**

## Q 4. Are the progress and outcomes of multiyear projects adequately monitored and evaluated to justify decisions about continued funding?
Two types of projects require additional oversight: 
(1) uncompeted projects – need periodic scheduled review, proactive program management and documentation against project goals
(2) very large (multi-cycle) projects – need to ensure periodic reporting and external review at frequencies consistent with level of investment. Reporting and review must be adequate to determine whether timelines and milestones toward project goals are being met.
No documentation on sunset dates for infrastructure projects that are presumably expected to continue indefinitely.
There is little evidence of documentation of progress on milestones, technical issues, and related items on a regular basis in between 3-5 year major reviews. Substantive annual reviews are needed.

- Two types of projects require additional oversight:
- (1) uncompeted projects – need periodic scheduled review, proactive program management and documentation against project goals
- (2) very large (multi-cycle) projects – need to ensure periodic reporting and external review at frequencies consistent with level of investment. Reporting and review must be adequate to determine whether timelines and milestones toward project goals are being met.
- No documentation on sunset dates for infrastructure projects that are presumably expected to continue indefinitely.
- There is little evidence of documentation of progress on milestones, technical issues, and related items on a regular basis in between 3-5 year major reviews. Substantive annual reviews are needed.

## Q 5. Does the process consider the depth and balance in a research portfolio?
It is not clear how and at what frequency DOE-lab research efforts are reviewed. As a result there is some question as to how balance is evaluated and adjusted in a research environment where high priority questions change over relatively short time scales.

Q 6. Does the process solicit and encourage a reasonable amount of exploratory, high-risk research?
Programs need to increase their investment in high-risk (10%) and innovative (25%) research. Perhaps more focused research challenges in solicitations? Consultation with reviewers to develop a measure of success?

- It is not clear how and at what frequency DOE-lab research efforts are reviewed. As a result there is some question as to how balance is evaluated and adjusted in a research environment where high priority questions change over relatively short time scales.
**Q 6. Does the process solicit and encourage a reasonable amount of exploratory, high-risk research?**
- Programs need to increase their investment in high-risk (10%) and innovative (25%) research. Perhaps more focused research challenges in solicitations? Consultation with reviewers to develop a measure of success?

## Q 8. Does the process enable the support of coherent suites of projects that are integrated and collectively of added scientific value to the program?
Final reports should be required of all projects and should be included in project jackets.
PMs should prepare overall program reports of accomplishments and proposed future directions every 3 years as part of COV preparation process.
Close interaction of the Program manager with the scientific community is essential to identification of innovative rather than routine projects, of demand driven rather than safe projects, of relevant to societal needs rather than of personal interest themes, and to the management of such efforts once approved and funded. PMs need to get out into the community.

- Final reports should be required of all projects and should be included in project jackets.
- PMs should prepare overall program reports of accomplishments and proposed future directions every 3 years as part of COV preparation process.
- Close interaction of the Program manager with the scientific community is essential to identification of innovative rather than routine projects, of demand driven rather than safe projects, of relevant to societal needs rather than of personal interest themes, and to the management of such efforts once approved and funded. PMs need to get out into the community.

## Q 10. Does the process result in a portfolio of research elements and programs that have national and international scientific standing?
Program should conduct periodic citation index reviews and analyze them through time to understand their significance. Publication impacts over time can be used as a metric for evaluating high profile funding decisions.
It would be of value to support “program” documents / websites that identify the spectrum of DOE investments, lab locations, principal points of contact and potential research opportunities.

Additional Issue:
Investments and core capabilities at DOE labs are not obviously or readily available for use by other federal agencies.

- Program should conduct periodic citation index reviews and analyze them through time to understand their significance. Publication impacts over time can be used as a metric for evaluating high profile funding decisions.
- It would be of value to support “program” documents / websites that identify the spectrum of DOE investments, lab locations, principal points of contact and potential research opportunities.
**Additional Issue:**
- Investments and core capabilities at DOE labs are not obviously or readily available for use by other federal agencies.